§ 1312.4 Filing of tariffs. ( a ) *Paper filing requirements.* ( 1 ) Two copies of each tariff publication shall be filed with the Board. Packages containing tariff filings should be prominently marked “TARIFF FILING” and addressed to: Office of Public Assistance, Governmental Affairs and Compliance, Surface Transportation Board, Washington, DC 20423-0001. Tariffs shall be printed on paper not larger than 81 ⁄ 2 x 11 inches.
( 2 ) A paper tariff filing must be accompanied by an authorized document of transmittal identifying each publication filed, and by the appropriate filing fee (see 49 CFR part 1002). Acknowledgement of Board receipt of a paper tariff filing can be obtained by enclosing a duplicate transmittal letter and a postage-paid, self-addressed return envelope. Each transmittal letter shall clearly indicate in the upper left-hand corner thereof: ( i ) The assigned alpha code of the issuing carrier or agent;
( ii ) The number of pages transmitted;
( iii ) The filing fee enclosed method of payment (pursuant to 49 CFR 1002.2(a)); and
( iv ) The transmittal number if the filer utilizes transmittal numbers.
( b ) *Electronic filing requirements.* As an alternative to the paper tariff filing procedures set forth in paragraph (a) of this section, a water carrier may file its tariffs electronically in accordance with the procedures and requirements of this section. Tariffs published, filed, and kept electronically in accordance with the requirements of this section shall be deemed to be on file with the Board for purposes of 49 U.S.C. 13702(b). ( 1 ) *Annual certification.* A water carrier that seeks to file its tariff electronically must electronically file an annual certification with the Board, made by the water carrier's duly authorized corporate officer. The annual certification must be submitted to the Board on the first business day in October each year. The Director of the Office of Public Assistance, Governmental Affairs, and Compliance or a designee will acknowledge receipt of each carrier's certification in writing. The annual certification shall include the following: ( i ) Certification that it is a water carrier operating in the noncontiguous domestic trade subject to the Board's jurisdiction;
( ii ) Certification that it is in compliance with the regulations of this section for purposes of publishing, filing, and keeping its tariff electronically;
( iii ) Certification that it is in compliance with all other regulations in this part, except those specifically applicable to tariffs maintained in paper format;
( iv ) An active link to the internet address of tariffs;
( v ) The assigned alpha code of the issuing carrier or agent; and
( vi ) Confirmation of electronic payment of the filing fee (pursuant to 49 CFR 1002.2(a)).
( 2 ) *Sample text for the annual certification.* [Name of Director, Office of Public Assistance, Governmental Affairs, and Compliance], Office of Public Assistance, Governmental Affairs and Compliance, Surface Transportation Board, Washington, DC. Dear Director: I, [name of signor], certify that I am [title of office] of [name of water carrier], a water carrier operating in the noncontiguous domestic trade subject to the jurisdiction of the Surface Transportation Board, that [name of water carrier] is in compliance with the regulations at part 1312 for purposes of publishing, filing, and keeping its tariff electronically, and that it is in compliance with all other regulations at part 1312, except those specifically applicable to tariffs maintained in paper format. The internet address where [name of water carrier]'s tariffs can be located is: This internet address is current as of [date]. I further declare (certify, verify or state) under penalty of perjury [“under the laws of the United States of America” if executed outside of the United States of America] that the foregoing is true and correct. Executed on [date]. Sincerely, [signature of a duly authorized corporate officer of water carrier]
( 3 ) *Tariff access requirement.* ( i ) A water carrier must provide the Board with at least two business days advance notice of any planned outage when its tariff will not be available on the internet, and prompt notice on any occasion when the tariff becomes unavailable due to circumstances beyond the carrier's control. Notice shall be submitted by email to *tariffs@stb.gov*. In the event of any outage, carriers are required to make alternative arrangements with the agency to ensure that the Board receives the tariffs in effect during the outage.
( ii ) A water carrier may establish reasonable registration requirements for purposes of public access to its current tariff and historical tariff information, such as requiring a user to provide his or her name and email address; however, such requirements may not limit tariff access to any particular group or class of users (such as shippers or potential shippers) or impose unreasonable burdens on the user, such as access fees or a showing of need.
( 4 ) *Historical tariff information and archiving.* Tariffs kept on the internet by a water carrier must allow the Board and the public to retrieve historical versions, including all rates and applicable rules, for a period of not less than five years, beginning on the date when a carrier first electronically files its tariffs under these regulations.
[84 FR 20295, May 9, 2019]