[Federal Register Volume 62, Number 75 (Friday, April 18, 1997)]
[Rules and Regulations]
[Pages 19058-19061]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-9817]


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DEPARTMENT OF TRANSPORTATION

Surface Transportation Board

49 CFR Part 1312

[STB Ex Parte No. 618]


Regulations for the Publication, Posting and Filing of Tariffs 
for the Transportation of Property by or With a Water Carrier in the 
Noncontiguous Domestic Trade

AGENCY: Surface Transportation Board.

ACTION: Final rules.

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SUMMARY: The Board revises its tariff filing regulations to remove 
obsolete provisions, to provide carriers with additional flexibility to 
establish appropriate formats for the filed tariffs that continue to be 
required, and to reflect changes introduced by the ICC Termination Act 
of 1995.

EFFECTIVE DATE: These rules are effective May 18, 1997.

FOR FURTHER INFORMATION CONTACT: James W. Greene, (202) 565-1578. [TDD 
for the hearing impaired: (202) 565-1695.]

SUPPLEMENTARY INFORMATION: The Board's decision adopting these 
regulations is available to all persons for a charge by phoning DC NEWS 
& DATA, INC., at (202) 289-4357.

Small Entities

    The Board certifies that this rule will not have a significant 
economic effect on a substantial number of small entities.

Environment

    This action will not significantly affect either the quality of the 
human environment or the conservation of energy resources.

List of Subjects in 49 CFR Part 1312

    Motor carriers, Noncontiguous domestic trade, Tariffs, Water 
carriers.

    Decided: April 4, 1997.

    By the Board, Chairman Morgan and Vice Chairman Owen.
Vernon A. Williams,
Secretary.

    For the reasons set forth in the preamble, the Board revises part 
1312 of title 49, chapter X, of the Code of Federal Regulations to read 
as follows:

PART 1312--REGULATIONS FOR THE PUBLICATION, POSTING AND FILING OF 
TARIFFS FOR THE TRANSPORTATION OF PROPERTY BY OR WITH A WATER 
CARRIER IN NONCONTIGUOUS DOMESTIC TRADE

Sec.
1312.1  Scope; Definitions.
1312.2  Requirement to publish and file a tariff.
1312.3  Tariff contents and standards; Essential criteria.
1312.4  Filing of tariffs.
1312.5  Amendments to tariffs.
1312.6  Advance notice required.
1312.7  STB tariff designation.
1312.8  Identification of tariff publication.
1312.9  Statement of tariff application and other title page 
requirements.
1312.10  Notification of tariff changes and nature of changes.
1312.11  Special notification for ordered matter.
1312.12  Posting requirements.
1312.13  Furnishing copies of tariff publications.
1312.14  Powers of attorney and concurrences.
1312.15  Change of carrier or agent.
1312.16  Substitution of service.
1312.17  Electronic filing of tariffs.

    Authority: 49 U.S.C. 721(a), 13702(a), 13702(b) and 13702(d).


Sec. 1312.1  Scope; Definitions.

    (a) Applicability. The provisions of this part address the 
requirements in 49 U.S.C. 13702 that carriers subject to the Board's 
jurisdiction under 49 U.S.C. Chapter 135 and providing transportation 
or service for the movement of property (except bulk cargo, forest 
products, recycled metal scrap, waste paper, and paper waste) by or 
with a water carrier in noncontiguous domestic trade shall publish and 
file with the Board tariffs containing the rates for such 
transportation.
    (b) Exceptions. The provisions of this part do not apply to:
    (1) Any transportation or service provided by a carrier pursuant to 
49 U.S.C. 14101(b); or
    (2) The transportation of any cargo or type of cargo or service 
which was not subject to regulation by, or under the jurisdiction of, 
either the Federal Maritime Commission (FMC) or the Interstate Commerce 
Commission under Federal law in effect on November 1, 1995.
    (c) Definitions. For the purposes of this part:
    Act means part B of subtitle IV of title 49 of the United States 
Code.
    Agent means a person, association or corporation authorized to 
publish and file rates and provisions on behalf of one or more carriers 
in tariffs published in the agent's name.
    Agent's tariff means a tariff filed in the name of an agent.
    ATFI means the Automated Tariff Filing and Information System 
maintained by the FMC, a computer-based system for creating, filing, 
processing and retrieving tariffs.
    Board means the Surface Transportation Board.
    Bound tariff means a tariff consisting of two or more sheets bound 
at the left edge in pamphlet or book form or a single-sheet tariff.
    Carrier means a motor carrier, water carrier or freight forwarder 
subject to the Board's jurisdiction under 49 U.S.C. Chapter 135.
    Carrier's tariff means a tariff filed in the name of a carrier.
    Collectively established tariff matter means a rate, charge, rule 
or other tariff provision established pursuant to 49 U.S.C. 13703.
    Independently established tariff matter means any rate, charge, 
rule or other tariff provision not established pursuant to 49 U.S.C. 
13703.
    Item means a tariff provision of any kind bearing an item number 
designation.
    Joint rate means a rate that applies over the lines or routes of 
two or more carriers made by an agreement between the carriers and 
effected by a concurrence or power of attorney.
    Joint tariff means a tariff that contains joint rates or provisions 
affecting joint rates.
    Local rate means a rate that applies only to one carrier.
    Local tariff means a tariff that contains local rates or provisions 
affecting local rates.
    Looseleaf page means a single page published as part of a new or 
reissued looseleaf tariff or as an amendment to such a tariff.
    Looseleaf tariff means a tariff consisting of looseleaf pages.
    Noncontiguous domestic trade means transportation subject to 
jurisdiction under 49 U.S.C. Chapter 135 involving traffic originating 
in or destined to Alaska, Hawaii, or a territory or possession of the 
United States.

[[Page 19059]]

    Original tariff means a bound or looseleaf tariff as originally 
filed excluding amendments.
    Page means that portion of a tariff or supplement printed on one 
side of a sheet.
    Post refers to making filed tariffs available to the public.
    Publication means a bound tariff, a tariff supplement, or a 
looseleaf tariff page.
    Rate means a rate or charge.
    Service terms mean all classifications, rules and practices that 
affect the rates or level of service.
    Supplement means a single sheet, or two or more sheets bound at the 
left edge in pamphlet or book form, identified as a supplement and 
published to amend or cancel a bound or looseleaf tariff.
    Tariff means an issuance (in whole or in part) bearing designations 
required by this part and containing rates, rules, regulations, 
classifications or other provisions published and filed with the Board 
for compliance with 49 U.S.C. 13702.


Sec. 1312.2  Requirement to publish and file a tariff.

    (a) Requirement for tariff. Except when providing transportation 
for charitable purposes without charge, or when providing 
transportation or service described in Sec. 1312.1(b), carriers subject 
to the Board's jurisdiction under 49 U.S.C. Chapter 135 may provide 
transportation or service described in Sec. 1312.1(a) only if the 
rates, and related rules and practices, for such transportation or 
service are contained in a published tariff that is on file with the 
Board and in effect under this part.
    (b) Adherence to tariff. The carrier may not charge or receive a 
different compensation for the transportation or service than the rate 
specified in the tariff, whether by returning a part of that rate to a 
person, giving a person a privilege, allowing the use of a facility 
that affects the value of that transportation or service, or another 
device. The carrier shall keep such tariffs available for public 
inspection and shall make such tariffs available to subscribers as 
required in this part.
    (c) Other information. Provisions for information purposes only may 
be included in a tariff, provided they are clearly identified as such. 
Such provisions may include rates and service terms covering 
transportation not subject to regulation by the Board, and advertising 
and promotional material.
    (d) Effect of filing. The tender of a tariff and its receipt and 
acceptance by the Board do not relieve a carrier of liability for 
violations of the Act, other laws, the Board's regulations, or any 
decision of the Board or a court, or have any effect on the rights of 
persons to file complaints for substantive violations of the Act or the 
Board's regulations.
    (e) Tariff relief. Relief from the provisions of this part may be 
sought. Requests for such relief shall be submitted in duplicate and 
accompanied by the appropriate fee (see 49 CFR part 1002). Packages 
containing applications for relief shall be prominently marked 
``SPECIAL TARIFF AUTHORITY APPLICATION.'' The application shall cite 
all pertinent tariff matter and shall provide complete information 
regarding applicant's justification, purpose and manner of relief 
sought.
    (f) Invalidation of tariffs. Tariffs that violate section 13702 of 
the Act, or a regulation of the Board carrying out that section, may be 
invalidated by the Board. When a tariff is invalidated, the party that 
filed it will be furnished a written explanation of the reasons for 
such action. Tariffs issued in lieu of invalidated tariffs shall so 
state.


Sec. 1312.3  Tariff contents and standards; Essential criteria.

    (a) Contents. Tariffs filed with the Board must include an accurate 
description of the services offered to the public; must provide the 
specific applicable rates (or the basis for calculating the specific 
applicable rates) and service terms; and must be arranged in a way that 
allows for the determination of the exact rate(s) and service terms 
applicable to any given shipment (or to any given group of shipments).
    (b) Use of multiple tariffs. All information necessary to determine 
applicable rates and service terms for a given shipment need not be 
contained in a single tariff, but if multiple tariffs are used to 
convey that information, the tariff containing the rates must make 
specific reference (by STB tariff designation) to all other tariffs 
required to determine applicable rates and service terms, and the 
carrier(s) party to the rates must participate in all of the tariffs so 
linked.
    (c) Clarity. Tariff information must be presented in a way that 
facilitates the determination of the prices and services offered, and 
the related service terms. Ambiguous terms and complex methods of 
presentation shall not be used.
    (d) Explanations. Reference marks and abbreviations, other than 
commonly used abbreviations, shall be explained either in the item in 
which they are used or in a separate item.


Sec. 1312.4  Filing of tariffs.

    (a) Filing requirements. (1) Tariffs shall be filed in English with 
rates explicitly stated in U.S. dollars and cents. 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: Section of Tariffs, Surface Transportation Board, 1925 K 
Street, N.W., Washington, DC 20423-0001.
    (2) A 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). Acknowledgment of Board 
receipt of a 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, the account 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 credit card 
number and expiration date, and an authorized signature.
    (b) Paper size. Tariffs shall be printed on paper not larger than 
8\1/2\ x 11 inches.


Sec. 1312.5  Amendments to tariffs.

    (a) Manner of making changes. An amendment is a change in, addition 
to, or cancellation of part of a tariff. Supplements are the tariff 
publications used to amend bound tariffs, and new or revised pages are 
the tariff publications normally used to amend looseleaf tariffs, 
although looseleaf tariffs can also be amended by supplements. Tariffs 
can also be canceled by new or reissued tariffs (see Sec. 1312.7).
    (b) Supplements. Supplements issued to amend a tariff shall be 
consecutively numbered. Each new supplement shall identify any 
supplement(s) that it cancels, and any supplement(s) that are still in 
effect. A tariff amendment published in a supplement may be carried 
forward to later supplements if it is identified as reissued without 
change from the supplement in which it was originally published.
    (c) Looseleaf pages. Looseleaf pages to an original tariff shall be 
designated as ``Original'' (e.g., Original Title Page, Original Page 1, 
Original Page 2, etc.). Looseleaf pages issued to amend the tariff 
shall bear consecutive revision

[[Page 19060]]

numbers and shall cancel the prior version(s) of the same page (e.g., 
1st Revised Page 1 Cancels Original Page 1, 2nd Revised Page 1 Cancels 
1st Revised Page 1, etc.). Additional original pages may also be issued 
to amend a tariff, by adding new numbered pages after the last numbered 
page, or by adding existing numbered pages with alphabetic suffixes 
(e.g., a page designated as Original Page 2-A could be added between 
pages 2 and 3, etc.). Each looseleaf tariff shall include a Check 
Sheet, a Correction Number Check Sheet, or some other method of 
determining the looseleaf pages issued to amend such tariff.


Sec. 1312.6  Advance notice required.

    (a) Notice requirement. Unless otherwise specifically authorized by 
the Board, tariffs must be filed with the Board on not less than the 
notice shown in paragraph (b) of this section. Notice means the number 
of days the publication is on file with the Board prior to its 
effective date(s). The date the publication is received by the Board 
counts as the first day of notice.
    (b) Length of notice. A tariff may not become effective earlier 
than:
    (1) Thirty days after filing for all collectively established 
tariff matter.
    (2) Seven workdays after filing for independently established 
increased tariff matter.
    (3) Upon filing for independently established new tariff matter, 
independently established reduced tariff matter, the addition or 
restoration of a carrier's participation in a tariff, a correction to 
the list of participating carriers in a tariff (other than the 
cancellation of a carrier's participation), an extension of the 
expiration date of tariff matter, or a postponement of the effective 
date of proposed tariff matter.
    (c) Receipt of tariffs by the Board. The Board will receive printed 
tariff filings between the hours of 8:30 A.M. and 5:00 P.M. Eastern 
Time on workdays. Printed tariff filings delivered to the Board on 
other than a workday, or after 5:00 P.M. on a workday, will be 
considered as received the next workday. The Board will accept 
electronic tariff filings in accordance with the provisions of 46 CFR 
part 514, as provided in Sec. 1312.17.
    (d) Definitions. For the purposes of this section:
    Increased means any tariff change that results in higher charges to 
the payer of freight charges or reduced service at the same rate;
    New means an initial rate or other provision for a new service;
    Reduced means any tariff change that results in lower charges to 
the payer of freight charges or expanded service at the same rate; and
    Workdays means all days except Saturdays, Sundays and all Federal 
holidays observed in the District of Columbia.


Sec. 1312.7  STB tariff designation.

    (a) Format. Every tariff shall show an authorized tariff 
designation consisting of:
    (1) The characters ``STB'';
    (2) The assigned alpha code of the carrier or agent issuing the 
tariff; and
    (3)(i) The tariff number (selected by the carrier or agent) to 
distinguish that tariff from all other tariffs filed by the same 
issuing carrier or agent. Tariff numbers shall not exceed 5 numerical 
digits and may be followed by not more than 2 letter suffixes. Examples 
of tariff numbers are:

STB XXXX 100
STB XX 8000-A
STB XXXX 12345-AB

    (ii) Suffixes may be used only to designate reissues of tariffs. As 
an example, a reissue of tariff 1000 could be designated 1000-A, a 
reissue of tariff 1000-A could be designated 1000-B, etc.
    (b) Alpha codes. Alpha codes are assigned to carriers and tariff 
agents by the National Motor Freight Traffic Association, Inc., 2200 
Mill Road, Alexandria, VA 22314.
    (c) Fees for assignment. Fees may be assessed for the assignment of 
codes, but may not exceed the processing costs.
    (d) Code listing. A list of the assigned alphabetical codes, and 
the names of the carriers and agents to which they are assigned, as 
well as subsequent changes to the list, shall be submitted to the 
Board's Section of Tariffs.


Sec. 1312.8  Identification of tariff publication.

    (a) Every tariff publication filed with the Board shall include:
    (1) The STB tariff designation;
    (2) The name of the issuing carrier or agent;
    (3) The name of the tariff; and
    (4) The issue and effective dates of the publication.
    (b) If the publication contains matter effective on other than the 
general effective date, the notation (Except as Noted) shall be 
included with the general effective date.


Sec. 1312.9  Statement of tariff application and other title page 
requirements.

    Every new or reissued tariff or supplement filed with the Board 
shall lead with a title page. The title page of each tariff or 
supplement shall include the expiration date of the tariff or 
supplement, if applicable. The title page of each tariff shall also 
provide the complete name and address of the issuing carrier or agent; 
a contact person and telephone number; the certificate or operating 
authority number, if applicable; and a succinct statement of 
territorial application, mode of serving carrier(s), type of rates, and 
description of tariff content. EXAMPLES:
    (a) Local water carrier rates on FREIGHT, ALL KINDS from points in 
Alaska to points in the United States.
    (b) Joint motor/water commodity rates in containerized service 
between interior points in the United States and ports in Puerto Rico 
and Hawaii; and governing rules.


Sec. 1312.10  Notification of tariff changes and nature of changes.

    Every publication filed with the Board containing tariff changes 
shall clearly identify such changes and their nature (whether an 
increase or decrease in service, rates or transportation charges).


Sec. 1312.11  Special notification for ordered matter.

    Every tariff publication containing matter filed in compliance with 
a Board decision or court order shall indicate in the publication the 
relevant decision or order, and as well the number of days' notice 
authorized or required.


Sec. 1312.12  Posting requirements.

    (a) General posting requirements. (1) Each carrier shall maintain, 
at its principal office, a complete set of its tariffs (proposed and 
effective) and those to which it is a party.
    (2) Each carrier shall also maintain some or all of its tariffs at 
other locations, as may be useful. Carriers shall provide information 
regarding all locations where tariffs may be viewed.
    (3) At all points where tariffs are posted, they shall be made 
available for inspection by any person during the carrier's normal 
business hours. The tariffs shall be accessible and readable. The 
carrier shall also post, in a conspicuous place in those locations, a 
notice, in large print, which contains a statement that the tariffs are 
available for public inspection.
    (4) At all other carrier business offices, the carrier shall 
display a notice advising the public of the location of the nearest 
available tariff. The notice shall be in large print and posted in a 
conspicuous place. In addition, the carrier shall, upon request, make 
particular tariffs available at that location as soon as possible but 
not later than within 20 days, or provide the sought information orally 
if satisfactory to the requestor.
    (5) Any publication referred to in a tariff must be posted with 
that tariff.

[[Page 19061]]

    (b) Exception to the posting requirements. If any tariff maintained 
pursuant to paragraph (a)(2) of this section has not been used for a 
substantial length of time, the posting of that tariff, including its 
reissues, may be discontinued at that station until such time as a 
request is made to have it reposted. It shall then be reposted within 
20 days.


Sec. 1312.13  Furnishing copies of tariff publications.

    (a) Definitions. Subscriber, as used in this section, means any 
person (other than carrier participants in a tariff) that is 
voluntarily furnished, or that requests that it be furnished, one or 
more copies of a particular tariff with or without subsequent 
amendments or reissues of that tariff.
    (b) Sending new publications to subscribers. (1) The publishing 
carrier or agent shall send each newly-issued tariff, supplement, or 
loose-leaf page as requested to each subscriber by first class mail, or 
other means requested in writing by the subscriber.
    (2) Newly-issued tariffs, supplements, or loose-leaf pages shall be 
sent to each subscriber not later than the time the copies for official 
filing are sent to the Board.
    (3) Carriers or agents may, if acceptable to a subscriber, furnish 
only specific portions of original tariffs and amendments affecting 
those portions.
    (c) Certification. The letter of transmittal accompanying the 
copies filed with the Board shall contain the following certification:

    I certify that compliance with 49 CFR 1312.13 has been made.

    (d) Charges. (1) If any charge is made, the charge for copies of 
tariff publications sent to subscribers shall be reasonable, and 
identical for the same publications.
    (2) No charge may be made (even for the cost of sending the 
publication) for any publication that is invalidated by the Board.
    (e) Notice of invalidation. If a publication is invalidated, the 
subscribers shall be notified.
    (f) Alternative subscription services. The service described in 
this section must be available to any subscriber requesting it; 
however, the requirement to offer such service does not preclude the 
offering of different services to subscribers requesting those 
services.


Sec. 1312.14  Powers of attorney and concurrences.

    (a) Authorization. Rates and services of a carrier must be filed in 
a tariff issued in that carrier's name unless they are filed:
    (1) In an agent's tariff when the carrier has executed a power of 
attorney authorizing that individual or entity to serve as its tariff 
agent; or
    (2) In a tariff of another carrier through issuance of a 
concurrence to the latter carrier authorizing the first carrier's 
participation in joint rates and through routes.
    (b) Disclosure of authorization. If two or more carriers execute 
powers of attorney to the same agent, it is not necessary for those 
carriers to exchange concurrences to participate in joint rates in that 
agent's tariffs. Powers of attorney and concurrences are not to be 
filed with the Board, but shall be provided to any person on request.


Sec. 1312.15  Change of carrier or agent.

    (a) Change in carrier. When a carrier's name is lawfully changed, 
or a fiduciary assumes possession and control of a carrier's property, 
all affected tariffs must be amended to reflect the change. The 
amendments required by this paragraph shall be filed promptly and, if 
possible, prior to their effective date, but in no case later than 60 
days thereafter. Regardless of the date the tariff is actually filed, 
the effective date for an amendment required by this paragraph is the 
date the event occurs.
    (b) Change of agent. When a new agent is appointed to take over an 
agency, or when an alternate agent assumes the duties of the principal 
agent, each of the superseded agent's effective tariffs shall 
immediately be amended to reflect the change, bearing an effective date 
the same as the date of the transfer. In the case of a new agent, this 
may only occur after one or more of the participating carriers issues a 
power of attorney to the new agent, and revokes the previous power of 
attorney. At the same time, all affected tariffs will be amended to 
reflect the new powers of attorney, and all carriers who have not 
issued them must be canceled from the tariff.


Sec. 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 transportation mode (hereafter referred to as Carrier B) 
for part of its 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 responsibility for the lading while it is 
in the possession of Carrier B; and
    (c) Movement of the lading has been made prior to, or will be made 
subsequent to, the service performed by Carrier B.


Sec. 1312.17  Electronic filing of tariffs.

    (a) Use of FMC system. Subject to the requirements of this section, 
the tariffs required by this part may be filed electronically through 
the Federal Maritime Commission's ATFI system, in lieu of being filed 
in printed form.
    (b) Compliance with FMC requirements. All tariffs filed 
electronically must fully comply with the filing procedures, and the 
data record format and content requirements, established for the ATFI 
system (see 46 CFR part 514).
    (c) Fees. Electronically filed tariffs will be subject to the 
filing and retrieval fees established by the FMC in 46 CFR 514.21 (g) 
and (i), but such tariffs will not be subject to fee item 78 in 49 CFR 
1002.2(f).
    (d) Relief from this part. Electronically filed tariffs will not be 
subject to the filing procedures and format requirements for printed 
tariffs as set forth in Secs. 1312.4, 1312.5, and 1312.7 through 
1312.15; however, such tariffs must otherwise fully comply with the 
requirements of this part.

[FR Doc. 97-9817 Filed 4-17-97; 8:45 am]
BILLING CODE 4910-00-P