Complaints

Forms and Documents

Document Name	Status
Supporting Statement - EP 755 changes to existing collection of complaints (to ROCIS).pdf Supporting Statement A	2019-09-30
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: 201909-2140-001
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: 11/13/2019
	Date Received in OIRA: 09/30/2019
Terms of Clearance: OMB files this comment in accordance with 5 CFR 1320.11(c). This OMB action is not an approval to conduct or sponsor an information collection under the Paperwork Reduction Act of 1995. This action has no effect on any current approvals. If OMB has assigned this ICR a new OMB Control Number, the OMB Control Number will not appear in the active inventory. For future submissions of this information collection, reference the OMB Control Number provided. OMB is withholding approval at this time. Prior to publication of the final rule, the agency should provide a summary of any comments related to the information collection and their response, including any changes made to the ICR as a result of comments. In addition, the agency must enter the correct burden estimates.

	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). In two notices of proposed rulemakings (NPRMs), Final Offer Rate Review, EP 755 (84 Fed. Reg. 48872 (Sept. 17, 2019)) (FORR NPRM) and Market Dominance Streamlined Approach, EP 756 (84 Fed. Reg. 48882 (Sept. 17, 2019)) (Market Dominance NPRM), the Board proposed to modify the collection of complaints. These modification are intended to help the Board meet its statutory obligations to adjudicate these complaints. This modification and approval request, pertains to the FORR NPRM only. (The modification and approval request pertaining to Market Dominance NPRM will be submitted in a separate ICR.)

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Authorizing Statute(s): 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 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
   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 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)
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
2140-AB46	Proposed rulemaking	84 FR 48872	09/17/2019

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Federal Register Notices & Comments

Did the Agency receive public comments on this ICR? No

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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: Yes

Burden Increase Due to: Changing Regulations

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

Burden Reduction Due to:

Short Statement: The proposed rule in FORR NPRM would include principle-based, non-prescriptive criteria to allow for innovation with respect to rate review methodologies. To decide a case brought under FORR, the Board would select either the complainant’s or the defendant’s final offer, subject to an expedited procedural schedule that adheres to firm deadlines and results in a Board decision 135 days from the filing of a complaint. By lowering the costs, complexity, and time involved in litigating smaller rate disputes, the Board expects that complainants with smaller rate disputes, who otherwise might have been deterred from challenging a rate due to the cost of bringing a case under the Board’s existing rate reasonableness methodologies, would have a more accessible avenue for rate reasonableness review by the Board. The proposed modification of the existing collection of complaints would facilitate the Board’s ability to meet its statutory directives.

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Annual Cost to Federal Government: $0

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: 09/30/2019

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