Complaints

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
2140-0029 -- Supporting Statement - EP 755 Final Rule (to ROCIS).pdf	Supporting Statement A	Uploaded 2023-01-04	Repair queued
49 CFR 1111 (eCFR).pdf	Supplementary Document	Uploaded 2020-07-14	Repair queued
11112 Content of formal complaints joinder.pdf	Supplementary Document	Uploaded 2020-07-14	Repair queued
49 USC 1321.pdf	Supplementary Document	Uploaded 2017-03-08	Repair queued
49 USC 15901-15906.pdf	Supplementary Document	Uploaded 2014-01-10	Repair queued
49 USC 14701-14707.pdf	Supplementary Document	Uploaded 2014-01-10	Repair queued
49 USC 11701-11707.pdf	Supplementary Document	Uploaded 2014-01-10	Repair queued
49 USC 11101-11103.pdf	Supplementary Document	Uploaded 2014-01-10	Repair queued
49 USC 10701-10707.pdf	Supplementary Document	Uploaded 2014-01-10	Repair queued

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
257724	Final Offer Rate Review (FORR)		New
209954	Complaints (other than FORR complaints)	Instruction	Modified

ICR Details

OMB Control No: 2140-0029	ICR Reference No: 202212-2140-001
Status: Active	Previous ICR Reference No: 202007-2140-001
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: Approved without change	Conclusion Date: 04/21/2023
Retrieve Notice of Action (NOA)	Date Received in OIRA: 01/04/2023
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	04/30/2026	36 Months From Approved	08/31/2023
Responses	8	0	4
Time Burden (Hours)	2,876	0	1,876
Cost Burden (Dollars)	8,968	0	5,848

---

Abstract: Under its organizing statutes, the Board has broad authority to hear and act upon complaints. Shippers and other persons may bring claims for damages against railroads or other carriers regulated by the Board by filing a complaint before the Board under the procedures set forth in 49 C.F.R. § 1111 for claims under 49 U.S.C. §§ 10701-10707, 11101-11103, 11701-11707 (rail), 14701-14707 (motor, water & intermediaries), and 15901-15906 (pipelines). The Final Rule modifying this collection provides a less burdensome option for shippers in smaller rate matters before the Board.

---

Authorizing Statute(s): US Code: 49 USC 11703 Name of Law: Enforcement by the Attorney General (rail)
   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 11704 Name of Law: Rights and remedies of persons injured by rail carriers
   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 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 10703 Name of Law: Authority for rail carriers to establish through routes
   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 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 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: None

---

Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
2140-AB46	Final or interim final rulemaking	88 FR 299	01/04/2023

---

Federal Register Notices & Comments

Did the Agency receive public comments on this ICR? No

---

Number of Information Collection (IC) in this ICR: 2

table that charts list of burden

IC Title	Form No.	Form Name
Complaints (other than FORR complaints)
Final Offer Rate Review (FORR)

---

ICR Summary of Burden

table that charts list of burden

	Total Approved	Previously Approved	Change Due to New Statute	Change Due to Agency Discretion	Change Due to Adjustment in Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses	8	4	0	4	0	0
Annual Time Burden (Hours)	2,876	1,876	0	1,000	0	0
Annual Cost Burden (Dollars)	8,968	5,848	0	3,120	0	0

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: This modification request stems from the Board’s final rule to establish a new rate complaint review option for smaller complaint cases (called Final Offer Rate Review (FORR)), that utilizes procedural limitations to constrain the cost and complexity of a rate case. The FORR Final Rule relies on principle-based, non-prescriptive criteria to allow for innovation with respect to rate review methodologies. Under the new FORR procedure, if the Board finds a rate to be unreasonable, the Board will prescribe the rate by selecting either the complainant’s or the defendant’s final offer, subject to an expedited procedural schedule that adheres to firm deadlines.

---

Annual Cost to Federal Government: $16,926

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? No

---

Common Form ICR:  No

---

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: 01/04/2023

---