Complaints

Forms and Documents

Document Name	Status
Supporting Statement - EP 733 changes to existing collection of complaints (Update to ROCIS).pdf Supporting Statement A	2018-01-23
49 USC 1321.pdf Supplementary Document	2017-03-08
49 USC 15901-15906.pdf Supplementary Document	2014-01-10
49 USC 14701-14707.pdf Supplementary Document	2014-01-10
49 USC 11701-11707.pdf Supplementary Document	2014-01-10
49 USC 11101-11103.pdf Supplementary Document	2014-01-10
49 USC 10701-10707.pdf Supplementary Document	2014-01-10
49 CFR 1111.pdf Supplementary Document	2014-01-10

IC Document Collections

IC ID	Document Title	Status
209954	Complaints Instruction	Modified

ICR Details

OMB Control No: 2140-0029	ICR Reference No: 201711-2140-001
Status: Historical Inactive	Previous ICR Reference No: 201703-2140-001
Agency/Subagency: STB	Agency Tracking No:
Title: Complaints
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Comment filed on proposed rule and continue	Conclusion Date: 01/23/2018
	Date Received in OIRA: 11/28/2017
Terms of Clearance: The agency will respond to comments at the final rule stage.

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	05/31/2020	36 Months From Approved	05/31/2020
Responses	5	0	5
Time Burden (Hours)	2,335	0	2,335
Cost Burden (Dollars)	7,310	0	7,310

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Abstract: The Board's regulations, under 49 C.F.R. § 1111, provide procedures for persons to make a written complaint before the Board for a broad range of claims and to seek a broad range of remedies under 49 U.S.C. §§ 1321, 10701-10707, 11101-11103 (common carriage), 11701-11707 (rail), 14701-14707 (motor, water & intermediaries), and 15901-15906 (pipelines). This request for modification and approval is precipitated by the addition of a pre-filing notice requirement for what are known as Stand-Alone Cost (SAC) rate complaints. These are usually large and time-consuming proceedings to determine the reasonableness of a railroad’s freight transportation rates. The pre-filing notice was developed to expedite these large proceedings to meet recent statutory deadline requirements.

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Authorizing Statute(s): US Code: 49 USC 15906 Name of Law: Liability of pipeline carriers under receipts and bills of lading
   US Code: 49 USC 11101 Name of Law: Common carrier obligations
   US Code: 49 USC 11102 Name of Law: Use of terminal facilities
   US Code: 49 USC 11103 Name of Law: Switch connections and tracks
   US Code: 49 USC 1321 Name of Law: Powers
   US Code: 49 USC 14707 Name of Law: Private enforcement of registration requirement
   US Code: 49 USC 15901 Name of Law: General authority -- complaints, investigation, and Compliance (pipelines)
   US Code: 49 USC 15902 Name of Law: Enforcement by the Board (pipelines)
   US Code: 49 USC 15903 Name of Law: Enforcement by the Attorney General (pipelines)
   US Code: 49 USC 15904 Name of Law: Rights and remedies of persons injured by pipeline carriers
   US Code: 49 USC 15905 Name of Law: Limitation on actions by and against pipeline carriers
   US Code: 49 USC 10701 Name of Law: Standards for rates, classifications, through routes, rules, and pracitces
   US Code: 49 USC 10702 Name of Law: Authority for rail carriers to establish rates, classifications, rules, and practices
   US Code: 49 USC 10703 Name of Law: Authority for rail carriers to establish through routes
   US Code: 49 USC 10704 Name of Law: Authority and criteria: rates, classifications, rules, and practices prescribed by Board
   US Code: 49 USC 10705 Name of Law: Authority: through routes, joint classifications, rates, and divisions prescribed by Board
   US Code: 49 USC 10706 Name of Law: Rate agreements: exemption from antitrust laws
   US Code: 49 USC 10707 Name of Law: Determination of market dominance in rail rate proceedings
   US Code: 49 USC 11701 Name of Law: General authority -- complaints (rail)
   US Code: 49 USC 11702 Name of Law: Enforcement by the Board (rail)
   US Code: 49 USC 11703 Name of Law: Enforcement by the Attorney General (rail)
   US Code: 49 USC 11704 Name of Law: Rights and remedies of persons injured by rail carriers
   US Code: 49 USC 11705 Name of Law: Limitation on actions by and against rail carriers
   US Code: 49 USC 11706 Name of Law: Liability of rail carriers under receipts and bills of lading
   US Code: 49 USC 11707 Name of Law: Liability when property is delivered in violation of routing instructions (rail)
   US Code: 49 USC 14701 Name of Law: General authority -- complaints (motor, water & intermediaries)
   US Code: 49 USC 14702 Name of Law: Enforcement by regulatory authority
   US Code: 49 USC 14703 Name of Law: Enforcement by the Attorney General
   US Code: 49 USC 14704 Name of Law: Rights and remedies of persons injured by carriers and brokers
   US Code: 49 USC 14705 Name of Law: Limitation on actions by and against carriers
   US Code: 49 USC 14706 Name of Law: Liability of carriers under receipts and bills of lading
  

Citations for New Statutory Requirements: PL: Pub.L. 114 - 110 11 Name of Law: STB Reauthorization Act

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
2140-AB33	Proposed rulemaking	82 FR 16550	04/05/2017

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	82 FR 16550	04/05/2017
Did the Agency receive public comments on this ICR? Yes

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Number of Information Collection (IC) in this ICR: 1

IC Title	Form No.	Form Name
Complaints

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Burden increases because of Program Change due to Agency Discretion: No

Burden Increase Due to:

Burden decreases because of Program Change due to Agency Discretion: Yes

Burden Reduction Due to: Miscellaneous Actions

Short Statement: There are two adjustment to the burden. The Board estimates that it would receive fewer complaints annually in the future than it has in the past. It also adds the pre-filing requirement in rate complaint proceedings. While the added prefiling requirement will increase the burden of bringing any given complaint before the Board, our estimate that the number of responses will decrease from five to four annually will decrease the burden overall. In other words, because reduced number of responses will have a larger effect than the increased burdens for individual cases associated with the new pre-filing requirement, the overall burden of the collection will decrease.

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Annual Cost to Federal Government: $513,368

Does this IC contain surveys, censuses, or employ statistical methods? No

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.     No

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.     No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? Uncollected

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Common Form ICR:  No

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On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(i) Why the information is being collected;

(ii) Use of information;

(iii) Burden estimate;

(iv) Nature of response (voluntary, required for a benefit, or mandatory);

(v) Nature and extent of confidentiality; and

(vi) Need to display currently valid OMB control number;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.

Certification Date: 11/28/2017

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