1、19 Surface Transportation Board, DOT 1005.1 the nearest $100. (This rounding proce-dure excludes copying, printing and search fees.) 49 FR 18494, May 1, 1984, as amended at 52 FR 46483, Dec. 8, 1987; 59 FR 44644, Aug. 30, 1994; 61 FR 42194, Aug. 14, 1996 PART 1003FORMS AUTHORITY: 49 U.S.C. 721, 1330
2、1(f). 1003.1 General information. (a) Printed forms are prescribed for various applications under the Inter-state Commerce Act and the Boards regulations contained in this chapter. (b) All prescribed forms include in-structions for their completion. (c) Copies of all prescribed forms ex-cept insuran
3、ce forms are available upon request from the Office of Public Assistance, Governmental Affairs, and Compliance, Surface Transportation Board, Washington, DC 20423. 57 FR 41112, Sept. 9, 1992, as amended at 64 FR 53266, Oct. 1, 1999; 74 FR 52903, Oct. 15, 2009 PART 1004INTERPRETATIONS AND ROUTING REG
4、ULATIONS Sec. 1004.1 Gifts, donations, and hospitality by carriers. 1004.2 Misrouting, adjustment of claims. AUTHORITY: 49 U.S.C. 721. SOURCE: 64 FR 47711, Sept. 1, 1999, unless otherwise noted. 1004.1 Gifts, donations, and hospi-tality by carriers. It is unlawful for any common car-rier engaged in
5、interstate or foreign commerce to offer, make, or cause any undue or unreasonable preference or advantage to any person. Gifts or serv-ices or anything of substantial value to particular shippers or their representa-tives are considered violations of the law. Expenditures for such gifts may not supp
6、ort requests to increase carrier rates. The Board shall take appropriate enforcement action to redress such un-lawful expenditures. 1004.2 Misrouting, adjustment of claims. Carriers should adjust claims for damages resulting from misrouting. Where a carrier admits responsibility for billing, forward
7、ing, or diverting a shipment over a higher rated route than that directed by the shipper or otherwise available, the misrouting carrier should refund the difference to the shipper (or reimburse the deliv-ering carrier, as the case may be). Where the misrouting carrier alleges justification for using
8、 the higher rated route, the Board may, at its discretion and upon appropriate petition, deter-mine or express an advisory opinion on the lawfulness of such routing. This in-terpretation must not be used to evade or defeat tariff rates or to meet the rate of a competing carrier or route, nor to reli
9、eve a shipper from responsi-bility for routing instruction. Damages caused by misrouting are not over-charges. PART 1005PRINCIPLES AND PRACTICES FOR THE INVESTIGA-TION AND VOLUNTARY DISPOSI-TION OF LOSS AND DAMAGE CLAIMS AND PROCESSING SAL-VAGE Sec. 1005.1 Applicability of regulations. 1005.2 Filing
10、 of claims. 1005.3 Acknowledgment of claims. 1005.4 Investigation of claims. 1005.5 Disposition of claims. 1005.6 Processing of salvage. 1005.7 Weight as a measure of loss. AUTHORITY: 49 U.S.C. 721, 11706, 14706, 15906. 1005.1 Applicability of regulations. The regulations set forth in this part shal
11、l govern the processing of claims for loss, damage, injury, or delay to property transported or accepted for transportation, in interstate or foreign commerce, by each railroad, express company, motor carrier, water carrier, and freight forwarder (hereinafter called carrier), subject to the Inter-st
12、ate Commerce Act. 46 FR 16224, Mar. 11, 1981 VerDate Mar2010 15:03 Nov 23, 2010 Jkt 220219 PO 00000 Frm 00029 Fmt 8010 Sfmt 8010 Y:SGML220219.XXX 220219jdjones on DSKHWCL6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-20 49 CFR Ch. X
13、(10110 Edition) 1005.2 1005.2 Filing of claims. (a) Compliance with regulations. A claim for loss or damage to baggage or for loss, damage, injury, or delay to cargo, shall not be voluntarily paid by a carrier unless filed, as provided in paragraph (b) of this section, with the receiving or deliveri
14、ng carrier, or car-rier issuing the bill of lading, receipt, ticket, or baggage check, or carrier on whose line the alleged loss, damage, in-jury, or delay occurred, within the specified time limits applicable thereto and as otherwise may be required by law, the terms of the bill of lading or other
15、contract of carriage, and all tar-iff provisions applicable thereto. (b) Minimum filing requirements. A written or electronic communication (when agreed to by the carrier and shipper or receiver involved) from a claimant, filed with a proper carrier within the time limits specified in the bill of la
16、ding or contract of carriage or transportation and: (1) Containing facts sufficient to identify the baggage or shipment (or shipments) of property, (2) asserting liability for alleged loss, damage, injury, or delay, and (3) mak-ing claim for the payment of a speci-fied or determinable amount of mone
17、y, shall be considered as sufficient com-pliance with the provisions for filing claims embraced in the bill of lading or other contract of carriage; Provided, however, That where claims are elec-tronically handled, procedures are es-tablished to ensure reasonable carrier access to supporting documen
18、ts. (c) Documents not constituting claims. Bad order reports, appraisal reports of damage, notations of shortage or dam-age, or both, on freight bills, delivery receipts, or other documents, or inspec-tion reports issued by carriers or their inspection agencies, whether the ex-tent of loss or damage
19、 is indicated in dollars and cents or otherwise, shall, standing alone, not be considered by carriers as sufficient to comply with the minimum claim filing require-ments specified in paragraph (b) of this section. (d) Claims filed for uncertain amounts. Whenever a claim is presented against a proper
20、 carrier for an uncertain amount, such as $100 more or less, the carrier against whom such claim is filed shall determine the condition of the baggage or shipment involved at the time of delivery by it, if it was de-livered, and shall ascertain as nearly as possible the extent, if any, of the loss o
21、r damage for which it may be respon-sible. It shall not, however, voluntarily pay a claim under such circumstances unless and until a formal claim in writ-ing for a specified or determinable amount of money shall have been filed in accordance with the provisions of paragraph (b) of this section. (e)
22、 Other claims. If investigation of a claim develops that one or more other carriers has been presented with a similar claim on the same shipment, the carrier investigating such claim shall communicate with each such other carrier and, prior to any agree-ment entered into between or among them as to
23、the proper disposition of such claim or claims, shall notify all claimants of the receipt of conflicting or overlapping claims and shall require further substantiation, on the part of each claimant of his title to the prop-erty involved or his right with respect to such claim. 37 FR 4258, Mar. 1, 19
24、72, as amended at 47 FR 12803, Mar. 25, 1982 1005.3 Acknowledgment of claims. (a) Each carrier shall, upon receipt in writing or by electronic transmission of a proper claim in the manner and form described in the regulations, ac-knowledge the receipt of such claim in writing or electronically to th
25、e claim-ant within 30 days after the date of its receipt by the carrier unless the carrier shall have paid or declined such claim in writing or electronically within 30 days of the receipt thereof. The carrier shall indicate in its acknowledgment to the claimant what, if any, addi-tional documentary
26、 evidence or other pertinent information may be required by it further to process the claim as its preliminary examination of the claim, as filed, may have revealed. (b) The carrier shall at the time each claim is received create a separate file and assign thereto a successive claim file number and
27、note that number on all documents filed in support of the claim and all records and correspond-ence with respect to the claim, includ-ing the acknowledgment of receipt. At VerDate Mar2010 15:03 Nov 23, 2010 Jkt 220219 PO 00000 Frm 00030 Fmt 8010 Sfmt 8010 Y:SGML220219.XXX 220219jdjones on DSKHWCL6B1
28、PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-21 Surface Transportation Board, DOT 1005.5 the time such claim is received the car-rier shall cause the date of receipt to be recorded on the face of the claim document, and the date of re
29、ceipt shall also appear in the carriers acknowl-edgment of receipt to the claimant. The carrier shall also cause the claim file number to be noted on the shipping order, if in its possession, and the de-livery receipt, if any, covering such shipment, unless the carrier has estab-lished an orderly an
30、d consistent inter-nal procedure for assuring: (1) That all information contained in shipping or-ders, delivery receipts, tally sheets, and all other pertinent records made with respect to the transportation of the shipment on which claim is made, is available for examination upon re-ceipt of a clai
31、m; (2) that all such records and documents (or true and complete reproductions thereof) are in fact examined in the course of the in-vestigation of the claim (and an appro-priate record is made that such exam-ination has in fact taken place); and (3) that such procedures prevent the dupli-cate or ot
32、herwise unlawful payment of claims. 37 FR 4258, Mar. 1, 1972, as amended at 37 FR 20943, Oct. 10, 1972; 47 FR 12803, Mar. 25, 1982 1005.4 Investigation of claims. (a) Prompt investigation required. Each claim filed against a carrier in the manner prescribed herein shall be promptly and thoroughly in
33、vestigated if investigation has not already been made prior to receipt of the claim. (b) Supporting documents. When a nec-essary part of an investigation, each claim shall be supported by the origi-nal bill of lading, evidence of the freight charges, if any, and either the original invoice, a photog
34、raphic copy of the original invoice, or an exact copy thereof or any extract made therefrom, certified by the claimant to be true and correct with respect to the property and value involved in the claim; or certification of prices or val-ues, with trade or other discounts, al-lowance, or deductions,
35、 of any nature whatsoever and the terms thereof, or depreciation reflected thereon; Pro-vided, however, That where property in-volved in a claim has not been invoiced to the consignee shown on the bill of lading or where an invoice does not show price or value, or where the prop-erty involved has be
36、en sold, or where the property has been transferred at bookkeeping values only, the carrier shall, before voluntarily paying a claim, require the claimant to estab-lish the destination value in the quan-tity, shipped, transported, or involved; Provided, further, That when supporting documents are de
37、termined to be a nec-essary part of an investigation, the supporting documents are retained by the carriers for possible Board inspec-tion. (c) Verification of Loss. When an as-serted claim for loss of an entire pack-age or an entire shipment cannot be otherwise authenticated upon inves-tigation, th
38、e carrier shall obtain from the consignee of the shipment involved a certified statement in writing that the property for which the claim is filed has not been received from any other source. 37 FR 4258, Mar. 1, 1972, as amended at 37 FR 23909, Nov. 10, 1972; 47 FR 12803, Mar. 25, 1982 1005.5 Dispos
39、ition of claims. (a) Each carrier subject to the Inter-state Commerce Act which receives a written or electronically transmitted claim for loss or damage to baggage or for loss, damage, injury, or delay to property transported shall pay, decline, or make a firm compromise settlement offer in writing
40、 or electronically to the claimant within 120 days after receipt of the claim by the carrier; Provided, however, That, if the claim cannot be processed and disposed of within 120 days after the receipt thereof, the car-rier shall at that time and at the expi-ration of each succeeding 60-day period w
41、hile the claim remains pending, ad-vise the claimant in writing or elec-tronically of the status of the claim and the reason for the delay in making final disposition thereof and it shall re-tain a copy of such advice to the claim-ant in its claim file thereon. (b) When settling a claim for loss or
42、damage, a common carrier by motor vehicle of household goods as defined in 1056.1(b)(1) shall use the replace-ment costs of the lost or damaged item as a base to apply a depreciation factor to arrive at the current actual value of the lost or damaged item: Provided, That where an item cannot be repl
43、aced VerDate Mar2010 15:03 Nov 23, 2010 Jkt 220219 PO 00000 Frm 00031 Fmt 8010 Sfmt 8010 Y:SGML220219.XXX 220219jdjones on DSKHWCL6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-22 49 CFR Ch. X (10110 Edition) 1005.6 or no suitable re
44、placement is obtain-able, the proper measure of damages shall be the original costs, augmented by a factor derived from a consumer price index, and adjusted downward by a factor depreciation over average use-ful life. 37 FR 4258, Mar. 1, 1972, as amended at 46 FR 16224, Mar. 11, 1981; 47 FR 12803, M
45、ar. 25, 1982 1005.6 Processing of salvage. (a) Whenever baggage or material, goods, or other property transported by a carrier subject to the provisions here-in contained is damaged or alleged to be damaged and is, as a consequence thereof, not delivered or is rejected or refused upon tender thereof
46、 to the owner, consignee, or person entitled to receive such property, the carrier, after giving due notice, whenever prac-ticable to do so, to the owner and other parties that may have an interest therein, and unless advised to the con-trary after giving such notice, shall un-dertake to sell or dis
47、pose of such prop-erty directly or by the employment of a competent salvage agent. The carrier shall only dispose of the property in a manner that will fairly and equally protect the best interests of all persons having an interest therein. The carrier shall make an itemized record suffi-cient to id
48、entify the property involved so as to be able to correlate it to the shipment or transportation involved, and claim, if any, filed thereon. The carrier also shall assign to each lot of such property a successive lot number and note that lot number on its record of shipment and claim, if any claim is
49、 filed thereon. (b) Whenever disposition of salvage material or goods shall be made di-rectly to an agent or employee of a car-rier or through a salvage agent or com-pany in which the carrier or one or more of its directors, officers, or man-agers has any interest, financial or otherwise, that carriers salvage records shall fully reflect the particu-lars of each such transaction or rela-tionship, or both, as the case may be. (c) Upon receipt of a c
