1、227 Surface Transportation Board, DOT 1313.3 1312.16 Substitution of service. If a water or motor carrier (hereafter referred to as Carrier A) desires to have the option of substituting the services of a carrier of a different transpor-tation mode (hereafter referred to as Carrier B) for part of its
2、 movement of a shipment, it may do so if: (a) The shipment moves on the bill of lading that would be used if Carrier A were performing the service; (b) Carrier A assumes the responsi-bility for the lading while it is in the possession of Carrier B; and (c) Movement of the lading has been made prior
3、to, or will be made subse-quent to, the service performed by Car-rier B. PART 1313RAILROAD CON-TRACTS FOR THE TRANSPOR-TATION OF AGRICULTURAL PRODUCTS Sec. 1313.1 Scope; definition of terms. 1313.2 Contract summary filing require-ment. 1313.3 Board review; contract disapproval. 1313.4 Filing procedu
4、res and formats for contract summaries. 1313.5 Contract and contract summary availability. 1313.6 Contract summary for agricultural commodities. 1313.7 Contract summary for grain prod-uctsinvolving a port. 1313.8 Contract summary for grain prod-uctsnot involving a port. 1313.9 Grounds for complaints
5、 and contract review. 1313.10 Procedures for complaints and dis-covery. AUTHORITY: 49 U.S.C. 721(a) and 10709. SOURCE: 61 FR 68669, Dec. 30, 1996, unless otherwise noted. 1313.1 Scope; definition of terms. (a) This part addresses the provisions of 49 U.S.C. 10709 that require rail car-riers to file
6、with the Board a summary of each contract for the transportation of agricultural products (including grain, as defined in 7 U.S.C. 75 and products thereof) and that allow com-plaints to be filed with the Board re-garding such contracts. (b) The provisions of this part do not apply to any transportat
7、ion that is ex-empted from the Boards contract regu-lation pursuant to an exemption issued under 49 U.S.C. 10502 or former 49 U.S.C. 10505 (repealed effective January 1, 1996). (c) For purposes of this part, the term contract means an agreement, in-cluding any amendment thereto, en-tered into by one
8、 or more rail carriers and one or more purchasers of rail services to provide specified transpor-tation of agricultural products (includ-ing grain, as defined in 7 U.S.C. 75 and products thereof) under specified rates and conditions. The term amendment includes contract modifications agreed to by th
9、e parties. (d) An amended contract is treated as a new contract under this part. Rem-edies are revived and review is again available, upon complaint. 1313.2 Contract summary filing re-quirement. (a) Rail carriers subject to the juris-diction of the Surface Transportation Board under 49 U.S.C. 10501
10、must promptly file with the Board a sum-mary of each contract entered into for the transportation of agricultural products. (b) Contract summaries not in com-pliance with this part may be rejected by the Board. If a contract summary is rejected, it will be considered as not filed, and the carrier mu
11、st promptly file a corrected contract summary to replace the rejected summary. 1313.3 Board review; contract dis-approval. (a) Board review. (1) No later than 30 days after a contract summary is filed, the Board may, on complaint, begin a proceeding to review such contract on the grounds described i
12、n 1313.9. (2) If the Board begins a proceeding, it shall determine, within 30 days after the proceeding is commenced, whether the contract is in violation of 49 U.S.C. 10709. (b) Contract disapproval. If the Board finds that the contract is in violation of 49 U.S.C. 10709, it will: (1) Disapprove th
13、e contract; or (2) Where the Board finds unreason-able discrimination, in accordance with 49 U.S.C. 10709(g)(2)(B)(i), order the contracting carrier(s) to provide to the complainant(s) rates and service VerDate Mar2010 08:56 Nov 10, 2010 Jkt 220220 PO 00000 Frm 00237 Fmt 8010 Sfmt 8010 Y:SGML220220.
14、XXX 220220erowe on DSK5CLS3C1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-228 49 CFR Ch. X (10110 Edition) 1313.4 substantially similar to those con-tained in the contract at issue, with such differences in terms and condi-tions as ar
15、e justified by the evidence. (c) Applicable rates/charges if a con-tract is disapproved. If the Board dis-approves a contract (or contract amendment), the appropriate non-con-tract rates/charges (or the contract provisions otherwise in effect) will be applicable. 1313.4 Filing procedures and formats
16、 for contract summaries. (a) Filing of Summaries. (1) Two copies of each contract summary, containing the applicable information specified in 1313.6, 1313.7, or 1313.8, as appropriate, must be filed with the Board as soon as possible, but no longer than 7 days after the date of the contract (or con-
17、tract amendment). (2) The outside envelope or wrapper containing one or more contract sum-maries must be prominently marked Rail Contract Summary and ad-dressed to: Tariffs Branch, Surface Transportation Board, Washington, DC 20423. (3) A transmittal letter identifying the submitted publication(s),
18、and the name and telephone number of a con-tact person, must accompany each fil-ing of one or more contract summaries. Each transmittal letter shall clearly indicate in the upper left-hand corner thereof: (i) The assigned alpha code of the fil-ing carrier; (ii) The number of summaries trans-mitted;
19、(iii) The filing fee enclosed, the ac-count number to be billed, or the credit card to be charged; (iv) The transmittal number if the filer utilizes transmittal numbers; and (v) If the filing fee is charged to a credit card, the information must in-clude the credit card number and expi-ration date,
20、and an authorized signa-ture. (b) Contract summary title page. The title page of each contract summary must contain only the following infor-mation: (1) In the upper right corner, the con-tract summary number (see paragraph (c) of this section), followed by the amendment number if an amended con-tra
21、ct summary. (2) In the center of the page, the fil-ing carriers name, followed by the words CONTRACT SUMMARY or AMENDED CONTRACT SUMMARY, as applicable, in large print. (3) Date of contract and its effective date. (4) In the center lower portion, the individual submitting the filing, and the name of
22、 the individual(s) for serv-ice of complaints (if not the same indi-vidual). If not otherwise noted, a com-plainant may rely on service to the in-dividual submitting the filing. (c) Contract summary numbering sys-tem. (1) The contract summary identi-fication number must include the word STB, the sta
23、ndard carrier alphabetic code for the filing railroad (limited to four letters), the letter C, and a se-quential number, with each separated by a hyphen. The following is an exam-ple: the 357th contract summary filed by the Conrail would have the fol-lowing identification number: STB- CR-C-357. (2)
24、At its option, the carrier may issue contract summaries with non-consecutive numbers if it assigns blocks of numbers for specific uses. An index to the blocks of reserved num-bers shall be filed with the Board. (d) Format requirements for contract summary information. (1) The contract summary must e
25、numerate and have each item required in 1313.6, 1313.7 or 1313.8 of this part, as applicable, com-pleted. When the item does not pertain to the contract, the term Not Appli-cable (NA) shall be used. (2) Changes in prior contract sum-maries must be underscored and must be followed by the words additi
26、on, deletion, extension, cancella-tion, or other appropriate descriptive phrase in parentheses. If the change to the contract is only in confidential matter, a statement to that effect must be made in the amended contract summary and must indicate the par-ticular feature to which the change ap-plies
27、 (i.e., rate, special feature, etc.). If not applicable is permitted in the original summary under 1313.6 through 1313.8 of this part, the amend-ed summary may use not applicable VerDate Mar2010 08:56 Nov 10, 2010 Jkt 220220 PO 00000 Frm 00238 Fmt 8010 Sfmt 8010 Y:SGML220220.XXX 220220erowe on DSK5C
28、LS3C1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-229 Surface Transportation Board, DOT 1313.6 with a notation that a change per-tained only to confidential data. (3) Amended contract summaries may not substitute phrases such as not a
29、pplicable or no change where disclosure was required in the original contact summary (such as in the com-modity description); amended contract summaries must set forth all required non-confidential terms in the contract, whether amended or not. 1313.5 Contract and contract sum-mary availability. (a)
30、(1) A contract summary filed under these rules shall be made avail-able for public inspection in the Tariffs Branch of the Surface Transportation Board. (2) A contract summary filed under these rules also shall be made available by the carrier(s) participating in the contract, upon reasonable reques
31、t. (b) Where not already required by 1313.10(a)(5) of this part, the contract for which a summary is filed under these rules shall be provided imme-diately to the Board, upon request, for its use in carrying out its functions under the statute. 1313.6 Contract summary for agricul-tural commodities.
32、(a) Summary information. The sum-mary of a contract for the transpor-tation of agricultural commodities must contain the following informa-tion: (1) Carrier names. A list, alphabeti-cally arranged, of the corporate names of all carriers that are parties to the contract, and their addresses for serv-
33、ice of complaints. (2) Specific commodity. The specific commodity or commodities to be transported under the contract. Vague commodity descriptions such as grain are not permitted, even if that is the commodity description in the contract. (3) Shipper identity. The specific iden-tity of the shipper
34、party to the con-tract, as well as any other party or par-ties on whose behalf that shipper is acting (to the extent known). (4) Specific origins, destinations, transit points, and other shipper facilities. (i) Each specific origin and destination point to and from which the contract applies. Vague
35、descriptions such as various points in Kansas are not ac-ceptable. Broad geographic descrip-tions such as all stations in Kansas are permitted only to the extent such terms are actually used in the contract and such origins and destinations are subject to specific identification by ref-erence to ava
36、ilable publications. (ii) Each port involved. (iii) Each transit point identified in the contract. (iv) Each shipper facility affecting performance under the contract (if not included in the origin/destination points or transit points), to the extent identified in the contract or known to the contra
37、cting parties. (5) Contract duration. (i) The date on which the contract has or will become applicable to the transportation serv-ices covered by the contract. (ii) The termination date of the con-tract, and any terms for automatic ex-tension or renewal of the contract. (iii) Any provisions for opti
38、onal ex-tension. (6) Rail car data. (i) Either the infor-mation in paragraph (a)(6)(A) of this section or the certified statement in paragraph (a)(6)(B) of this section as follows: (A) The number of dedicated cars (or, at the carriers option, car days), by major car type, to be used to fulfill the c
39、ontract or contract options, including those that are: (1) Available and owned by the car-rier(s) listed in paragraph (a)(1) of this section; (2) Available and leased by those car-rier(s), with average number of bad- order cars identified; and (3) (Optional) On order (for ownership or lease), along
40、with delivery dates. (B) A certified statement that: (1) The shipper will furnish the rail cars used for the transportation pro-vided under the contract, and that those rail cars will not be leased from the carrier; or (2) The contract is restricted to serv-ices which do not entail car supply. (ii)
41、For contract summaries filed on or before September 30, 1998, a certified statement that the cumulative equip-ment total for all contracts for the transportation of agricultural com-modities (including forest products, VerDate Mar2010 08:56 Nov 10, 2010 Jkt 220220 PO 00000 Frm 00239 Fmt 8010 Sfmt 80
42、10 Y:SGML220220.XXX 220220erowe on DSK5CLS3C1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-230 49 CFR Ch. X (10110 Edition) 1313.7 but not including wood pulp, wood chips, pulpwood or paper) does not ex-ceed 40 percent of the capacity
43、of car-rier-owned and -leased cars by applica-ble car type. (7) Rates and charges. (i) The specific base rates and/or charges that would apply without the contract. (ii) A summary of any escalation pro-visions in the contract. (8) Volume. All volume, car and/or train size requirements, as set forth
44、in the contract, including: (i) Movement type (single-car, mul-tiple-car, unit-train). (ii) Minimum and actual volume re-quirements under the contract, by ap-plicable period(s) (annual, quarterly, etc.). (iii) Volume breakpoints affecting the contract. (9) Special features. The existence (but not th
45、e terms or amount) of any spe-cial features, such as transit-time com-mitments, credit terms, discounts, switching, special demurrage, guaran-teed or minimum percentages, etc. (b) Supplemental information. In the event a complaint is filed that is di-rected at a carriers ability to fulfill its commo
46、n carrier obligation with car-rier-furnished cars, the carrier(s) shall immediately supplement the informa-tion contained in the contract sum-mary by submitting to the Board, and supplying to the complainant, addi-tional data on the cars used to fulfill the challenged contract. This addi-tional data
47、 shall include (by major car type used to fulfill the contract): (1) Total bad-car orders; (2) Assigned car obligations; and (3) Free-running cars. 1313.7 Contract summary for grain productsinvolving a port. (a) Summary information. The sum-mary of a contract for the transpor-tation of grain product
48、s that involves service to or from a port must contain the following information: (1) Carrier names. A list, alphabeti-cally arranged, of the corporate names of all carriers that are parties to the contract, and their addresses for serv-ice of complaints. (2) Specific commodity. The specific commodi
49、ties to be transported under the contract. Broad commodity de-scriptions such as grain products are permitted only to the extent that is the commodity description in the con-tract. (3) Contract duration. (i) The date on which the contract has or will become applicable to the transportation serv-ices covered by the contract. (ii) The termination date of the con-tract, and any terms
