[Code of Federal Regulations]
[Title 49, Volume 8]
[Revised as of October 1, 2005]
From the U.S. Government Printing Office via GPO Access
[CITE: 49CFR1111.1]

[Page 124-125]
 
                        TITLE 49--TRANSPORTATION
 
  CHAPTER X--SURFACE TRANSPORTATION BOARD, DEPARTMENT OF TRANSPORTATION
 
PART 1111_COMPLAINT AND INVESTIGATION PROCEDURES--Table of Contents
 
Sec. 1111.1  Content of formal complaints; joinder.




Sec.
1111.1 Content of formal complaints; joinder.
1111.2 Amended and supplemental complaints.
1111.3 Service.
1111.4 Answers and cross complaints.
1111.5 Motions to dismiss or to make more definite.
1111.6 Satisfaction of complaint.
1111.7 Investigations on the Board's own motion.
1111.8 Procedural schedule in stand-alone cost cases.
1111.9 Procedural schedule to determine whether to use simplified 
          procedures.
1111.10 Meeting to discuss procedural matters.

    Authority: 49 U.S.C. 721, 10704, and 11701.

    Source: 61 FR 52711, Oct. 8, 1996, unless otherwise noted.


    (a) General. A formal complaint must contain the correct, 
unabbreviated names and addresses of each complainant and defendant. It 
should set forth briefly and in plain language the facts upon which it 
is based. It should include specific reference to pertinent statutory 
provisions and Board regulations, and should advise the Board and the 
defendant fully in what respects these provisions or regulations have 
been violated. The complaint should contain a detailed statement of the 
relief requested. Relief in the alternative or of several different 
types may be demanded, but the issues raised in the formal complaint 
should not be broader than those to which complainant's evidence is to 
be directed at the hearing. In a complaint challenging the 
reasonableness of a rail rate, the complainant should indicate whether, 
in its view, the reasonableness of the rate should be examined using 
constrained market pricing or using the simplified standards adopted 
pursuant to 49 U.S.C. 10701(d)(3). If the complainant seeks to use the 
simplified standards, it should support this request by submitting, at a 
minimum, the following information:
    (1) A general history of the traffic at issue, including how the 
traffic has moved in the past, how it currently moves, and how it can 
and will be moved in the future. This information should address not 
only the physical movement of the traffic, but the type and level of 
rates actually used. It should include all carriers (rail and nonrail) 
that have participated in the transportation of this traffic or could do 
so.
    (2) The specific commodity description(s) for the traffic at issue, 
the shipping characteristics and requirements of the traffic, and the 
type of railroad cars required or used for the traffic.
    (3) All origins, destinations, and origin-destination (O-D) pairs 
involved in the complaint, by commodity type.
    (4) The amount of traffic involved (by commodity type), including 
total annual carloadings, average tons per car, number of carloads per 
shipment, and number of carloads per week or month.
    (5) Total or average revenue per carload paid to the defendant 
railroad(s), by commodity type.
    (6) The feasibility and anticipated cost of preparing a stand-alone 
cost presentation in the case.
    (7) An estimate of the other costs to be incurred in pursuing the 
rate complaint, including preparing necessary jurisdictional threshold 
and market dominance evidence.
    (8) The relief sought, including all reparations as well as the 
level and duration of any rate prescription.
    (9) The present value of the relief sought.
    (10) The assumptions, calculations and any documentation necessary 
to support the responses to the above listed factors.

[[Page 125]]

    (11) For matters for which voluntary, binding arbitration is 
available pursuant to 49 CFR part 1108, the complaint shall state that 
arbitration was considered, but rejected, as a means of resolving the 
dispute.
    (b) Multiple causes of action. Two or more grounds of complaint 
concerning the same principle, subject, or statement of facts may be 
included in one complaint, but should be stated and numbered separately.
    (c) Joinder. Two or more complainants may join in one complaint 
against one or more defendants if their respective causes of action 
concern substantially the same alleged violations and like facts.
    (d) Request for access to waybill data. Parties needing access to 
the Waybill Sample to prepare their case should follow the procedures 
set forth at 49 CFR 1244.8.

[61 FR 52711, Oct. 8, 1996, as amended at 63 FR 2639, Jan. 16, 1998; 67 
FR 36822, May 28, 2002]