Annual Waybill Compliance Survey

Annual Waybill Compliance Survey

49 CFR 1244

Annual Waybill Compliance Survey

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Surface Transportation Board, DOT

§ 1244.3

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[72 FR 45386, Aug. 14, 2007]

PART 1244—WAYBILL ANALYSIS OF
TRANSPORTATION
OF
PROPERTY—RAILROADS
Sec.
1244.1 Definitions.
1244.2 Applicability.
1244.3 Reporting contract shipment waybills
and Canadian and Mexican international
waybills.
1244.4 Sampling of waybills.
1244.5 Date of filing.
1244.6 Retention of files.
1244.7 Special studies.
1244.8 Analysis of waybill data.
1244.9 Procedures for the release of waybill
data.
AUTHORITY: 49 U.S.C. 721, 10707, 11144, 11145.
SOURCE: 46 FR 26784, May 15, 1981, unless
otherwise noted.

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§ 1244.1 Definitions.
(a) Railroad—an individual railroad
or terminal company subject to the
Interstate Commerce Act and every receiver, trustee, executor, administrator
or assignee of any such railroad. If a
railroad and its railroad subsidiaries
report to the Board on a consolidated
basis, they would collectively be considered as a railroad.
(b) A railroad subsidiary—a railroad
owned or controlled by another railroad.
(c) A waybill, which may be referred
to by other names such as mine tickets, is the document or instrument prepared from the bill of lading contract
or shipper’s instructions as to the disposition of the freight, and used by the
railroad(s) involved as the authority to
move the shipment and as the basis for
determining the freight charges and
interline settlements.
§ 1244.2 Applicability.
(a) Effective July 1, 1981 and thereafter, unless otherwise ordered, each
railroad as defined in § 1244.1 above is
required to file waybill sample information for all line-haul revenue waybills terminated on its lines if it terminates at least 4,500 revenue carloads in
any of the three preceding years, or if

it terminates at least 5% of the revenue carloads terminating in any state
in any of the three preceding years. A
railroad required to file waybill sample
information under this section shall
herein be referred to as subject railroad.
(b) Waybill terminations shall include all line-haul revenue movements
terminating for waybilling purposes on
the subject railroad’s line whether the
lading is destined for the terminating
station as denoted on the waybill or
the shipment is being rebilled or forwarded to the ultimate destination by
another railroad or another mode of
transportation (e.g., lake cargo, inbound transit, or other rebilled movements).
(c) Each subject railroad shall also
file the required waybill sample information for all of its railroad subsidiaries.
(d) Each subject railroad shall also
file the required waybill sample information for any other railroad for which
it performs revenue billing and/or
interline settlements under special
agreement.
(e) The surviving corporate entity of
railroads (subject to the Interstate
Commerce Act) who have merged or reorganized shall be required to report
waybill sample information if its predecessor railroad or any of its predecessor railroads were required to report
under this section.
(f) In order to determine the number
of carloads terminated in each state,
railroads not otherwise submitting
waybill information must report annually the number of carloads terminated
by state for the last calendar year.
These reports shall be submitted by
March 1 of the year following the report year.
(g) Transition. This final rule will
apply to all subject waybills which are
in the subject railroad’s audit month of
July 1981 and all audit months thereafter. The former rule will continue to
apply to all subject waybills for the
prior audit months up to and including
June 1981.
§ 1244.3 Reporting contract shipment
waybills and Canadian and Mexican
international waybills.
(a) All railroads shall identify (flag)
contract shipment waybills.

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§ 1244.4

49 CFR Ch. X (10–1–12 Edition)

(b) The revenue associated with contract shipments may be encrypted
(masked) to safeguard the confidentiality of the contract rates.
(1) Upon written request, the Board
will provide a masking procedure for a
railroad’s use or will mask the contract revenues when the Waybill Sample is filed with the Board.
(2) When a railroad intends to use its
own proprietary masking procedure,
those procedures, and any changes in
those procedures, must be approved by
the Board thirty (30) days prior to their
use.
(3) All railroads that use a proprietary masking procedure, and intend to
continue to use the same procedure,
must certify, by letter to the Board,
prior to January 31 each year, that the
contract revenue masking procedures
are unchanged.
(4) All correspondence and certifications concerning masking procedures
should be addressed to: Director, Office
of Economics, Environmental Analysis,
and Administration, Surface Transportation Board, Washington, DC 20423–
0001,
ATTN:
WAYBILL
COORDINATOR.
(c) Railroads moving traffic on the
U.S. rail system to the Canadian or
Mexican border shall include a representative sample of such international export traffic in the Waybill
Sample.
(d) Railroads shall identify (flag)
such movements as international traffic in the waybill records.
(e) Railroads may report information
on the complete rail routing or report
only information related to the U.S.
portion of the movement.
(f) Railroads may mask revenue divisions associated with cross-border traffic following the masking procedures
set forth in paragraphs (a) and (b) of
this section.

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[65 FR 37711, June 16, 2000, as amended at 66
FR 53735, Oct. 24, 2001]

§ 1244.4 Sampling of waybills.
(a) Subject railroads shall file waybill sample information in one of the
following two ways. (1) Authenticated
copies of a sample of audited revenue
waybills—the
manual
system
(§ 1244.3(b)). (2) A computer tape containing specified information from a

sample of waybills—the computerized
system (§ 1244.3(c)).
(b) The Manual System. (1) The sample
of subject waybills shall be as follows:
(i) All waybills with less than 6 carloads per waybill whose serial numbers
are 1 or end in 01,
(ii) All waybills with 6 to 25 carloads
per waybill whose serial numbers end
in 1; and,
(iii) All waybills with 26 or more carloads per waybill whose serial numbers
end in 1 or 7.
(2) The expected sampling rates for
the manual system are as follows:

Numbers of carloads on waybill

Expected
sample
rate

1 to 5 ...........................................................................
6 to 25 .........................................................................
26 and over .................................................................

1/100
1/10
1/5

(3) Upon giving the subject roads 60
days notice, the Board may require
random serial number endings in lieu
of the respective endings shown in
§ 1244.3(b). These random serial number
endings would have the expected sample rates shown in § 1244.3(b)(2).
(4) If the subject waybills have no
waybill numbers or serial numbers, or
have seriously flawed waybill or serial
numbers, then the subject railroad
should serialize those documents in
blocks of 1,000 or blocks of multiples of
1,000 (e.g., 1, 2, . . . 1,000; 1, 2, . . .) and
use these constructed serial numbers
for selection purposes.
(c) The Computerized System. (1) The
tape shall be required to conform to
the standards and format specified in
Statement No. 81–1, Procedure for Sampling Waybill Records by Computer (2009
edition), issued by the Surface Transportation Board. The Director of the
Federal Register has approved this incorporation by reference in accordance
with 5 U.S.C. 552(a) and 1 CFR part 51.
To enforce any editions other than
those specified in this section, the STB
must publish notice of change in the
FEDERAL REGISTER and the material
must be available to the public. You
may obtain or inspect a copy of these
standards from the Surface Transportation Board, 395 E Street, SW., Washington, DC 20423–0001; from the Surface

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Surface Transportation Board, DOT

§ 1244.6

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Transportation Board Web site at
http://www.stb.dot.gov; or by calling
(202) 245–0323. You may also inspect a
copy at the National Archives and
Records Administration (NARA). For
information on the availability of this
material at NARA, call (202) 741–6030,
or
go
to:
http://www.archives.gov/
federallregister/
codeloflfederallregulations/
ibrllocations.html.
(2) The sampling rates for the computerized system are as follows:
Number of carloads on waybill

Sample
rate

1 to 2 .............................................................................
3 to 15 ...........................................................................
16 to 60 .........................................................................
61 to 100 .......................................................................
101 and over .................................................................

1/40
1/12
1/4
1/3
1/2

(d) Controls and Annual Counts. (1)
Each subject railroad shall maintain a
control procedure to ensure complete
and accurate reporting for the waybill
sampling. All pertinent waybill data
shall be included on hard copy waybill
submissions including inbound references for transit waybills. All such
pertinent waybill data shall be legible.
(2) All subject railroads shall maintain a record of the number of line-haul
revenue carloads that terminated on
their line in a calendar year and shall
furnish this number when requested by
the Board.
(3) All subject railroads using the
manual system of reporting shall furnish the Board, in accordance with instructions on the Transmittal Form
OPAD–2, the total counts of line-haul
revenue waybills terminated in each
reporting period for the following three
categories:
(i) Waybills, with less than six carloads per waybill,
(ii) Waybills with 6 to 25 carloads per
waybill, and
(iii) Waybills with 26 or more carloads per waybill.
(4) All subject railroads on the computerized system of reporting shall furnish the Board the control counts and
tape specification information as required by the Statement No. 81–1.
(5) Certification by a responsible officer of the subject railroad as to the
completeness and accuracy of sample
shall be made once a year in accord-

ance with the instructions on the
Transmittal Forms OPAD–1 or OPAD–
2.
[46 FR 26784, May 15, 1981, as amended at 46
FR 45141, Sept. 10, 1981. Redesignated at 65
FR 37711, June 16, 2000; 73 FR 66803, Nov. 12,
2008]

§ 1244.5

Date of filing.

(a) The reporting period for which
subject railroads submit waybill sample information shall be the audit (accounting) month except as specified
below:
(1) Subject railroads using the computerized system may submit waybill
sample information quarterly as specified in Statement 81–1.
(2) Subject railroad using the manual
system may submit waybill sample information quarterly if it submits fewer
than 1,000 waybills per year.
(b) Waybill sample information shall
be forwarded no later than 60 days from
the end of the reporting period to the
Board.
(c) When the submitted waybill sample information is returned to the submitting railroad for correction, that
railroad shall resubmit corrected data
to the Board promptly but no later
than 60 days after its receipt.
(d) Transmittal Forms. (1) Subject railroads using the manual system of reporting shall complete the Transmittal
Form OPAD–2, to accompany each
waybill sample submission.
(2) Subject railroads using the computerized system of reporting shall
complete the Transmittal Form OPAD–
1, to accompany each waybill tape submission.
[46 FR 26784, May 15, 1981. Redesignated at 65
FR 37711, June 16, 2000]

§ 1244.6

Retention of files.

(a) Subject railroads which submit
waybill sample data by the computerized system instead of the manual system shall retain the underlying hard
copy waybills or facsimilies capable of
producing legible copies, which shall be
complete including inbound references
for transit waybills, for a minimum period of four years.
(b) This file of retained waybills shall
be maintained in such a manner that

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§ 1244.7

49 CFR Ch. X (10–1–12 Edition)

the railroads on the computerized system may readily retrieve waybill copies using the waybill identifier code as
shown on the submitted computerized
waybill record.
[46 FR 26784, May 15, 1981. Redesignated at 65
FR 37711, June 16, 2000]

§ 1244.7 Special studies.
(a) Although routine submission of
hard copy waybills is eliminated when
a railroad reports under the computerized system, the Board may order that
railroad to submit hard copies of the
underlying waybills for special studies.
(b) The Board may order the subject
railroads to supply additional data for
submitted waybill copies or records for
special studies.
[46 FR 26784, May 15, 1981. Redesignated at 65
FR 37711, June 16, 2000]

§ 1244.8 Analysis of waybill data.
Users of the waybill sample when
presenting waybill analysis before the
Board shall ensure that the appropriate
weighting factors are applied to account for the stratified sampling. See
Statement 81–1 for guidelines for
weighting waybill data and for computing sampling errors.

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[46 FR 26784, May 15, 1981. Redesignated at 65
FR 37711, June 16, 2000]

§ 1244.9 Procedures for the release of
waybill data.
(a) General. The procedures for the release of waybill data identify five
classes of users of the STB Waybill
Sample, define the waybill information
or data that each class of users may
obtain, and set forth the applicable requirements for the data’s release. They
also formalize notice and protest procedures for the possible release of waybill data to other users to protect
against the inappropriate release of
confidential data. The Director of the
Office of Economics, Environmental
Analysis, and Administration shall be
responsible for releasing waybill data
in accordance with these procedures.
(b) Class of user, available data, and
applicable release requirements—(1) Railroads. Each requesting railroad may
obtain any waybill record from the
STB Waybill Sample covering traffic
that originated, terminated, or was

bridged by that railroad. The railroad
shall not have access to waybill data
pertaining to traffic in which it did not
participate. Also, it must meet all STB
and legal requirements concerning release of shipper information in accordance with 49 U.S.C. 11910(a).
(2) Federal agencies. Each requesting
Federal agency (including quasi-governmental agencies) may obtain any
waybill record from the STB Waybill
Sample subject to the following requirements:
(i) The Federal agency shall make
the information contained in the STB
Waybill Sample available only to its
employees or those contractors working on the particular project or study
requiring the waybill data.
(ii) The Federal agency will ensure
that railroads and shippers are afforded
the same privilege and protection
against disclosure of the waybill data
as the Board provides.
(iii) The Federal agency will not release any data to the public unless the
data elements are aggregated to contain at least three shippers and to prevent identification of an individual
railroad.
(iv) The Federal agency will refer
any requests for waybill data and accompanying documentation to the STB
for processing and will so inform the
requesting party of such referral to the
Board.
(v) The Federal agency must sign an
agreement annually with the Board
agreeing to these restrictions.
(3) States. Each requesting State may
obtain any waybill record pertaining to
traffic that was originated, terminated,
interchanged in, or that passed
through its State subject to the same
requirements imposed on federal agencies under paragraphs (b)(2)(i) through
(v) of this section.
(4) Transportation practitioners, consulting firms, and law firms—specific proceedings. Transportation practitioners,
consulting firms and law firms may use
data from the STB Waybill Sample in
preparing verified statements to be
submitted in formal proceedings before
the STB and/or State Boards (Board)
subject to the following requirements:
(i) The STB Waybill Sample is the
only single source of the data or obtaining the data from other sources is

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Surface Transportation Board, DOT

§ 1244.9

burdensome or costly, and the data is
relevant to issues pending before the
Board.
(ii) The requestor submits to the STB
a written waybill request that complies
with § 1244.8(e).
(iii) All waybill data must be returned to the STB, and the firm must
not keep any copies.
(iv) A transportation practitioner,
consulting firm, or law firm must submit any evidence drawn from the STB
Waybill Sample to the Board only unless the evidence is aggregated to the
level of at least three shippers and will
prevent the identification of an individual railroad. Nonaggregated evidence submitted to the Board will be
made part of the public record only if
the Board finds that it does not reveal
competitively sensitive data. However,
evidence found to be sensitive may be
provided to counsel or other independent representatives for other parties subject to the usual and customary
protective order issued by the Board or
appropriate authorized official.
(v) For each Board proceeding, a firm
must sign a confidentiality agreement
with the STB agreeing to the above restrictions before any data will be released. This agreement will permit use
of the released data for a period of one
year from the date the agreement is
signed by the user. If the data is required for an additional period of time
because a proceeding is still pending
before the Board, the firm must sign a
new confidentiality agreement covering the data needed for each additional year the proceeding is opened.
(5) Public use. Nonconfidential waybill data may be obtained from the
‘‘Public Use Waybill File’’. Reports
produced from the Public Use Waybill
File may be used, published, or released. The Public Use Waybill File
contains the following nonconfidential
items:
(i) Waybill Date (Month, Day, Year).
(ii) Accounting
Period
(Month,
Year).
(iii) Number of Carloads.
(iv) Car Ownership (Rail or Private).
(v) AAR Car Type.
(vi) AAR Mechanical Designation.
(vii) STB Car Type.
(viii) TOFC/COFC Plan.
(ix) Number of TOFC/COFC Units.

(x) TOFC/COFC Unit Ownership.
(xi) TOFC/COFC Unit Type (Trailer
or Container).
(xii) Hazardous/Bulk Material in
Box Car Flag.
(xiii) Commodity Code—Excluding
STCC 49/50 (All 5 digit STCC Codes, except STCC 19).
(xiv) Billed Weight in Tons.
(xv) Actual Weight in Tons.
(xvi) Linehaul Freight Revenue.
(xvii) Transit Revenue.
(xviii) Miscellaneous Revenue.
(xix) Interstate/Intrastate Code.
(xx) Type of Move (Import/Export/
Minibridge).
(xxi) All Rail/Intermodal Code.
(xxii) Type Move Via Water.
(xxiii) Outbound Transit Code.
(xxiv) Substituted Truck for Rail
Service.
(xxv) Rebill Code.
(xxvi) Estimate of Miles.
(xxvii) Stratum Identification.
(xxviii) Replicate Number.
(xxix) Population
Count/Strata
Count (expansion factor).
(xxx) Theoretical Expansion Factor.
(xxxi) Number of Interchanges.
(xxxii) Origin BEA (omitted if STCC
and BEA pair reveals competitively
sensitive shipper data).
(xxxiii) Origin STB Rate Territory.
(xxxiv) States of Interchanges (first
through ninth).
(xxxv) Termination BEA (omitted if
STCC and BEA pair reveals competitively sensitive shipper data).
(xxxvi) Termination STB Rate Territory.
(xxxvii) Waybill Reporting Period
Length.
(xxxviii) AAR Provided UMBLER
Data.
(xl) Bad Routing Code.
(xli) Miscellaneous Factored Expanded Data (e.g., carloads).
(c) Other Users. (1) Users other than
those described in paragraphs (b)(1)
through (b)(5) of this section may file
written requests in accordance with
paragraph (e) of this section for permission to use data from the STB Waybill Sample.
(2) All written requests filed by such
users are subject to the notice and protest procedures described in paragraph
(d) of this section.
(d) Notice and protest procedures for
waybill requests by other users. Railroads

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§ 1244.9

49 CFR Ch. X (10–1–12 Edition)

and shippers will be notified and afforded the opportunity to protest waybill requests filed by users other than
those described in paragraphs (b)(1)
through (b)(5) of this section in accordance with the following procedures:
(1) Notice of request for confidential
waybill data. Affected railroads and
shippers will receive notice by FEDERAL REGISTER Publication. If railroad
specific or shipper specific data are requested, those parties will be given
written notice of the request.
(2) Form of notice. The notice shall
identify the parties requesting the
data; describe the type of waybill data
requested; and state the purpose for
which the data is requested. The notice
shall include a statement that parties
seeking information concerning the filing of objections should refer to Ex
Parte No. 385 (Sub-No. 2), 49 CFR 1224.8,
or contact the Surface Transportation
Board’s Office of Economics, Environmental Analysis, and Administration.
(3) Objections to release. (i) Objections
to release of the confidential waybill
data must be filed by the railroad and/
or shipper no later than 14 calendar
days from publication of the notice in
the FEDERAL REGISTER.
(ii) An original and 3 copies of each
objection shall be filed with the Director, Office of Economics, Environmental Analysis, and Administration,
Surface Transportation Board, Washington, DC 20423.
(iii) The objection shall identify the
parties seeking the confidential waybill data, reiterate the purpose for
which the data is sought, and state all
grounds for objection to full or partial
disclosure of the requested data.
(4) Board determination. (i) The Director of the Office of Economics, Environmental Analysis, and Administration will consider all objections in determining whether to release the requested waybill data. Each railroad or
shipper who filed objections will be
sent written notice of the Director’s
decision not less than 14 calendar days
prior to the disclosure date.
(ii) The Board reserves the right to
deny the release of waybill data although no objections may be filed.
(iii) Appeals must be filed with the
Chairman within 10 days of the date of
the Director’s decision. Responses to

appeals must be filed within 10 days
thereafter (49 CFR 1011.7(b)(1)). The filing of an appeal will automatically
stay the effect of the Director’s decision.
(e) Content of waybill requests. (1) All
requestors under paragraphs (b)(4) and
(c) of this section shall include the following information:
(i) A complete and detailed explanation of the purpose for which the requested data are needed.
(ii) A description of the specific waybill data or fields actually required (including pertinent geographic areas).
(iii) A detailed justification as to
why the specified waybill data are
needed.
(2) An original and 2 copies of the
waybill request shall be filed with the
Director, Office of Economics, Environmental Analysis, and Administration,
Surface Transportation Board, Washington, DC 20423.
(f) Aggregation of confidential shipper data.
(1) Any shipper data obtained from
the Waybill Sample shall not be publicly released unless the data are aggregated to include at least three shippers.
(2) To aggregate the waybill data to
the level of three shippers, the threeFSAC Rule shall be used. Under this
rule, there must be at least three different freight stations as identified by
the Freight Station Accounting Code
(FSAC) on one railroad or there must
be at least two more FSAC’s than there
are railroads present in the waybill
data being aggregated.
(3) The three-FSAC Rule shall apply
to every number and calculation publicly released.
(4) The Director of OTA will consider
requests to apply an alternative aggregation method provided the requestor
establishes that a particular project
necessitates an alternative approach
and that approach effectively protects
the identity of individual shippers.
(g) Complaint procedures. (1) Complaints for alleged breaches of confidentiality or misuse of confidential
waybill data must include the following:
(i) Identification of all known parties
involved in the alleged violation.

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Surface Transportation Board, DOT

§ 1245.2

(ii) The approximate date(s) of the alleged violations.
(iii) A full and detailed description of
the alleged violation.
(iv) A description of any resulting
harm to the complainant.
(2) Prior to filing a complaint, a complainant, upon written request, may
obtain a copy of the incoming waybill
request and the applicable confidentiality agreement. This request must
identify the party involved, give the
approximate date the data was released, briefly describe the alleged violation, and substantiate the need for
this information for purposes of filing a
complaint.
(3) An original and three (3) copies of
the complaint shall be filed with the
Director, Office of Economics, Environmental Analysis, and Administration,
Surface Transportation Board, Washington, DC 20423. A copy of the complaint shall also be served on the alleged violator(s).
(4) An answer must be filed within 20
days after service of the complaint.
(5) All parties will be notified in writing of the Director’s decision. If the Director determines that a violation has
occurred, the offending parties will be
denied access to the waybill sample for
a period of time commensurate with
the nature of the violation.
(6) Appeals to the Director’s determination shall be filed in accordance
with paragraph (d)(4)(iii) of this section.
(h) Munitions shipments. All waybill
requests for munition data at the 3digit Standard Transportation Commodity Code (STCC) level or greater
will be forwarded by the STB to the
Department of Defense’s Military Traffic Management Command (MTMC).
The STB will not release this type of
information without MTMC’s consent.
[52 FR 12416, Apr. 16, 1987. Redesignated at 65
FR 37711, June 16, 2000, as amended at 67 FR
57534, Sept. 11, 2002]

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PART 1245—CLASSIFICATION OF
RAILROAD EMPLOYEES; REPORTS
OF SERVICE AND COMPENSATION
Sec.
1245.1 Rules governing classification of employees, service, and compensation.

1245.2 Reports of railroad employees, service and compensation.
1245.3 Employees; definition, service hours,
and compensation.
1245.4 Forms required to be used.
1245.5 Classification of job titles.
1245.6 Cross reference to standard occupational classification manual.
AUTHORITY: 49 U.S.C. 721, 11145.
SOURCE: 32 FR 20462, Dec. 20, 1967, unless
otherwise noted.
NOTE: The report forms prescribed by part
1245 are available upon request from the Office of Economics, Environmental Analysis,
and Administration, Surface Transportation
Board, Washington, DC 20423–0001.

§ 1245.1 Rules governing classification
of employees, service, and compensation.
The rules governing the classification of railroad employees and reports
of their service and compensation outlined in §§ 1245.3 and 1245.4 are required,
and all Class I railroads within the
scope of Section 11145 of the Interstate
Commerce Act shall be governed by
such rules in the preparation and submission of their annual and other periodic reports to the Surface Transportation Board in accordance with the
forms
adopted
for
such
returns
(§ 1245.2); and also with respect to any
other matters covered by these rules.
[47 FR 53867, Nov. 30, 1982]

§ 1245.2 Reports of railroad employees,
service and compensation.
Beginning with the reporting period
commencing January 1, 1983, and quarterly thereafter until further ordered,
each Class I railroad is required to file
a Quarterly Report of Railroad Employees, Service, and Compensation,
(Form QRSC). In addition, such carriers shall also file an Annual Report of
Railroad Employees, Service, and Compensation, (Form ARSC) for each calendar year. Both reports shall be filed
with the Bureau of Accounts, Surface
Transportation Board, Washington, DC
20423. The quarterly report shall be
filed within thirty days after the end of
each calendar quarter. The annual report shall be filed within forty five
days after the end of the reporting
year.
[47 FR 53867, Nov. 30, 1982]

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File Typeapplication/pdf
File Modified2012-12-06
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