49 CFR part 1104

Pt. 1104

49 CFR Ch. X (10–1–16 Edition)

member not duly authorized to practice. No person should be held as a
practitioner who is not duly qualified
under § 1103.2 or § 1103.3 of these rules.
No person who is not duly admitted to
practice should be held out in a way
which will give the impression that he
is so admitted. No false or assumed or
trade name should be used to disguise
the practitioner or his partnership or
professional corporation.

PART 1104—FILING WITH THE
BOARD-COPIES-VERIFICATIONSERVICE-PLEADINGS,
GENERALLY
Sec.
1104.1 Address, identification, and electronic filing option.
1104.2 Document specifications.
1104.3 Copies.
1104.4 Attestation and verification.
1104.5 Affirmation or delegations under penalty of perjury in accordance with 18
U.S.C. 1621 in lieu of oath.
1104.6 Timely filing required.
1104.7 Computation and extension of time.
1104.8 Objectionable matter.
1104.9 [Reserved]
1104.10 Rejection of a deficient document.
1104.11 Amendments.
1104.12 Service of pleadings and papers.
1104.13 Replies and motions.
1104.14 Protective orders to maintain confidentiality.
1104.15 Certification of eligibility for Federal benefits under 21 U.S.C. 862.
AUTHORITY: 5 U.S.C. 553 and 559; 18 U.S.C.
1621; 21 U.S.C. 862; and 49 U.S.C. 721.

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SOURCE: 47 FR 49554, Nov. 1, 1982, unless
otherwise noted.

§ 1104.1 Address, identification, and
electronic filing option.
(a) Except as provided in § 1115.7,
pleadings should be addressed to the
‘‘Chief, Section of Administration, Office of Proceedings, Surface Transportation Board, Washington, DC 20423–
0001,’’ and should designate the docket
number and title of the proceeding, if
known.
(b) The address of the person filing
the pleading should be included on the
first page of the pleading.
(c) All envelopes in which a pleading
is being submitted should be marked in
the lower left hand corner with the
docket number, if known, (not the full
title) and the pleading type.

(d) All multi-volume pleadings must
be sequentially numbered on the cover
of each volume to indicate the volume
number of the pleading and the total
number of volumes filed (e.g., the first
volume in a 4-volume set should be labeled ‘‘volume 1 of 4,’’ the second volume ‘‘volume 2 of 4’’ and so forth).
(e) Persons filing pleadings and documents with the Board have the option
of electronically filing (e-filing) certain types of pleadings and documents
instead of filing paper copies. Details
regarding the types of pleadings and
documents eligible for e-filing, the procedures to be followed, and other pertinent information are available on the
Board’s Web site, http://www.stb.dot.gov.
If the e-filing option is chosen (for
those pleadings and documents that
are appropriate for e-filing, as determined by reference to the information
on the Board’s Web site), then the applicable requirements will be those
specified on the Web site, and any requirements of 49 CFR part 1104 that are
specifically applicable to filing of paper
copies will not apply to the e-filed
pleadings and documents (these requirements include, but are not limited
to, number of copies, stapling or binding specifications, submission of compact disks or floppy diskettes for documents of 20 pages or more, signature
‘‘in ink,’’ etc.). Persons are not required to e-file, and may continue to
use the Board’s processes for filing
paper copies.
[47 FR 49554, Nov. 1, 1982, as amended at 48
FR 34475, July 29, 1983; 53 FR 20854, June 7,
1988; 61 FR 52711, Oct. 8, 1996; 69 FR 18498,
Apr. 8, 2004; 74 FR 52906, Oct. 15, 2009]

§ 1104.2

Document specifications.

(a) Documents, except electronic filings, filed with the Board must be on
white paper not larger than 81⁄2 by 11
inches, including any tables, charts, or
other documents that may be included.
Ink must be dark enough to provide
substantial contrast for scanning and
photographic reproduction. Text must
be double-spaced (except for footnotes
and long quotations, which may be single-spaced), using type not smaller
than 12 point. Printing may appear
only on one side of the paper for original documents, but copies of filings

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Surface Transportation Board

§ 1104.3

may be printed on both sides of the
paper.
(b) In order to facilitate automated
processing in document sheet feeders,
original documents of more than one
page may not be bound in any permanent form (no metal, plastic, or adhesive staples or binders) but must be
held together with removable metal
clips or similar retainers. Original documents may not include divider tabs,
but copies must if workpapers or expert witness testimony are submitted.
All pages of original documents, and
each side of pages that are printed on
both sides, must be paginated continuously, including cover letters and attachments. Where, as a result of assembly processes, such pagination is impractical, documents may be numbered
within the logical sequences of volumes or sections that make up the filing and need not be renumbered to
maintain a single numbering sequence
throughout the entire filing.
(c) Some filings or portions of filings
will not conform to the standard paper
specifications set forth in paragraph (a)
of this section and may not be scannable. For example, electronic spreadsheets are not susceptible to scanning,
but oversized documents, such as oversized maps and blueprints, may or may
not be scannable. Filings that are not
scannable will be referenced on-line
and made available to the public at the
Board’s offices. If parties file oversized
paper documents, they are encouraged
to file, in addition to the oversized documents, representations of them that
fit on the standard paper, either
through reductions in size that do not
undermine legibility, or through division of the oversized whole into multiple sequential pages. The standard
paper representations must be identified and placed immediately behind the
oversized documents they represent.
(d) Color printing may not be used
for textual submissions. Use of color in
filings is limited to images such as
graphs, maps and photographs. To facilitate automated processing of color
pages, color pages may not be inserted
among pages containing text, but may
be filed only as appendices or attachments to filings. Also, the original of
any filing that includes color images
must bear an obvious notation, on the

cover sheet, that the filing contains
color.
[67 FR 5514, Feb. 6, 2002, as amended at 69 FR
18499, Apr. 8, 2004]

§ 1104.3 Copies.
(a) An executed original, plus 10 copies, of every paper pleading, document,
or paper permitted or required to be
filed under this subchapter, including
correspondence, must be furnished for
the use of the Board, unless otherwise
specifically directed by another Board
regulation or notice in an individual
proceeding. Copies may be reproduced
by any duplicating process, provided
all copies are clear and legible. Appropriate notes or other indications shall
be used so that matters shown in color
on the original, but in black and white
on the copies, will be accurately identified on all copies. When confidential
documents are filed, redacted versions
must also be filed.
(b) Electronic submissions accompanying paper filings must be furnished
as follows:
(1) Textual submissions of 20 or more
pages must be accompanied by three
electronic copies submitted on compact discs or 3.5-inch IBM-compatible
formatted floppy diskettes.
(2) Three sets of evidence or
workpapers consisting of mathematical
computations must be submitted as
functioning electronic spreadsheets in
Lotus 1–2–3 Release 9 or Microsoft
Excel 97, or compatible versions, on
compact discs or 3.5-inch IBM-compatible formatted floppy diskettes. In
order to fully evaluate evidence, all
spreadsheets must be fully accessible
and manipulable. Electronic databases
placed in evidence or offered as support
for spreadsheet calculations must be
compatible with the Microsoft Open
Database Connectivity (ODBC) standard. ODBC is a Windows technology
that allows a database software package to import data from a database created using a different software package. We currently use Microsoft Access
97 and databases submitted should be
in either this format or another ODBCcompatible format. All databases must
be supported with adequate documentation on data attributes, SQL
queries, programmed reports, and so
forth.

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§ 1104.4

49 CFR Ch. X (10–1–16 Edition)

(3) One copy of each diskette or compact disc submitted to the Board
should, if possible, be provided to any
other party requesting a copy.
(4) Each diskette and compact disc
must be clearly labeled with the Docket Number of the proceeding in which
it is filed; the name(s) of the party(ies)
on whose behalf the filing is made, and
‘‘CONFIDENTIAL’’ or ‘‘REDACTED’’
as appropriate. If more than one diskette or disc is submitted for one filing,
the label of each must be sequentially
numbered to indicate the diskette or
disc number and the total number of
diskettes or discs filed (e.g., the first
disc of a 4-disc set should be labeled
‘‘Disc 1 of 4,’’ the second disc ‘‘Disc 2 of
4,’’ and so forth).
[67 FR 5515, Feb. 6, 2002, as amended at 69 FR
18499, Apr. 8, 2004; 81 FR 8853, Feb. 23, 2016]

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§ 1104.4

Attestation and verification.

(a) Signature of attorney or practitioner. If a party is represented by a
practitioner or an attorney, the original of each paper filed should be signed
in ink by the practitioner or attorney,
whose address should be stated. The
signature of a practitioner or attorney
constitutes a certification that the representative:
(1) Has read the pleading, document
or paper;
(2) Is authorized to file it;
(3) Believes that there is good ground
for the document;
(4) Has not interposed the document
for delay;
A pleading, document or paper thus
signed need not be verified or accompanied by affidavit unless required
elsewhere in these rules.
(b) Signature by one not authorized to
represent others before the Board. The
original of each document not signed
by a practitioner or attorney must be:
(1) Signed in ink;
(2) Accompanied by the signer’s address; and
(3) Verified, if it contains allegations
of fact, under oath by the person, in
whose behalf it is filed, or by a duly authorized officer of the corporation in
whose behalf it is filed. If the pleading

is a complaint, at least one complainant must sign and verify the pleading.
[47 FR 49554, Nov. 1, 1982, as amended at 61
FR 52711, Oct. 8, 1996]

§ 1104.5 Affirmation or declarations
under penalty of perjury in accordance with 18 U.S.C. 1621 in lieu of
oath.
(a) An affirmation will be accepted in
lieu of an oath.
(b) Whenever any rule of this Board
requires or permits matter to be supported, evidenced, established, or
proved
by
sworn
declaration,
verification, certificate, statement,
oath, or affidavit, in writing of the person making the same (other than a
deposition, oath of office, or an oath
required to be taken before a special
official other than a notary public),
such matter may, with like force and
effect, be supported, evidenced, established, or proven by the unsworn declaration, certificate, verification, or
statement, in writing of such person
which is subscribed by him, as true
under penalty of perjury and dated, in
the following form:
I llllllllllllll, declare (certify, verify, or state) under penalty of perjury (‘‘under the laws of the United States,’’
if executed outside of the United States) that
the foregoing is true and correct. Further, I
certify that I am qualified and authorized to
file this (specify type of document). Executed on (date).
Signature

(c)
Knowing
and
willful
misstatements or omissions of material facts constitute federal criminal
violations punishable under 18 U.S.C.
1001. Additionally, these misstatements
are punishable as perjury under 18
U.S.C. 1621.
[47 FR 49554, Nov. 1, 1982, as amended at 61
FR 52711, Oct. 8, 1996; 81 FR 8853, Feb. 23,
2016]

§ 1104.6 Timely filing required.
Documents must be received for filing at the Board’s offices in Washington, DC within the time limits set
for filing. The date of receipt at the
Board, and not the date of deposit in
the mail, determines the timeliness of
filing. However, if a document is
mailed by United States express mail,
postmarked at least one day prior to

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Surface Transportation Board

§ 1104.12

the due date, it will be accepted as
timely. Other express mail, received by
the private express mail carrier at
least one day prior to the due date,
also will be accepted as timely filed.
The term express mail means that the
carrier or delivery service offers next
day delivery to Washington, DC. If the
e-filing option is chosen (for those
pleadings and documents that are appropriate for e-filing, as determined by
reference to the information on the
Board’s Web site), then the e-filed
pleading or document is timely filed if
the e-filing process is completed before
11:59 p.m. eastern time on the due date.

(c) Exception to time computation rules.
See 49 CFR part 1152 for special abandonment rules.

[47 FR 49554, Nov. 1, 1982, as amended at 61
FR 52711, Oct. 8, 1996; 69 FR 18499, Apr. 8, 2004;
81 FR 8853, Feb. 23, 2016]

§ 1104.10 Rejection of a deficient document.
(a) The Board may reject a document, submitted for filing if the Board
finds that the document does not comply with the rules.
(b) The Board may either return the
material unfiled or tentatively accept
the material for filing and advise the
person tendering it of the deficiency
and require that the deficiency be corrected.

§ 1104.7 Computation and extension of
time.
(a) Computation. In computing any
period of time, the day of the act,
event, or default upon which the designated period of time begins to run is
not included. The last day of the period
is included unless it is Saturday, Sunday, or a legal holiday in the District
of Columbia, in which event the period
runs until the end of the next day
which is not a Saturday, Sunday or
holiday. This rule applies to forward
and backward measurement of time.
(b) Extensions. Any time period, except those provided by law or specified
in these rules respecting informal complaints seeking damage may be extended by the Board in its discretion,
upon request and for good cause. Requests for extensions must be served on
all parties of record at the same time
and by the same means as service is
made on the Board, except if service is
made on the Board in person and personal service on other parties is not
feasible, service on other parties should
be made by first class or express mail.
A request for an extension must be
filed not less than 10 days before the
due date. Only the original of the request and certificate of service need be
filed with the Board. If granted, the
party making the request should
promptly notify all parties to the proceeding of the extension and so certify
to the Board, except that this notification is not required in rulemaking proceedings.

[47 FR 49554, Nov. 1, 1982, as amended at 61
FR 52711, Oct. 8, 1996]

§ 1104.8 Objectionable matter.
The Board may order that any redundant, irrelevant, immaterial, impertinent, or scandalous matter be stricken from any document.
[47 FR 49554, Nov. 1, 1982, as amended at 61
FR 52711, Oct. 8, 1996]

§ 1104.9

[Reserved]

[47 FR 49554, Nov. 1, 1982, as amended at 61
FR 52711, Oct. 8, 1996]

§ 1104.11 Amendments.
Leave to amend any document is a
matter of the Board’s discretion.
[47 FR 49554, Nov. 1, 1982, as amended at 61
FR 52711, Oct. 8, 1996]

§ 1104.12 Service of pleadings and papers.
(a) Generally. Every document filed
with the Board should include a certificate showing simultaneous service
upon all parties to the proceeding.
Service on the parties should be by the
same method and class of service used
in serving the Board, with charges, if
any, prepaid. One copy should be served
on each party. If service is made on the
Board in person, and personal service
on other parties is not feasible, service
should be made by first-class or express
mail. If a document is filed with the
Board through the e-filing process, a
copy of the e-filed document should be
emailed to other parties if that means
of service is acceptable to those other
parties, or a paper copy of the document should be personally served on

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§ 1104.13

49 CFR Ch. X (10–1–16 Edition)

the other parties, but if email is not
acceptable to the receiving party and
personal service is not feasible, service
of a paper copy should be by first-class
or express mail. When a party is represented by a practitioner or attorney,
service upon the practitioner is deemed
to be service upon the party. If a document is filed with the Board through
the e-filing process, a copy of the efiled document should be emailed to
other parties, or a paper copy of the
document should be personally served
on the other parties, but if neither
email nor personal service is feasible,
service of a paper copy should be by
first-class or express mail.
(b) Exceptions. Copies of letters to the
Board relating to oral argument under
part 1116, and subpoenas under § 1113.2,
need not be served on other parties of
the proceeding. Service of comments in
rulemaking proceedings is not required, unless specifically directed by
the Board.
(c) Sample Certificate of Service.
I certify that I have this day served copies
of document upon all parties of record in this
proceeding, by (here state the method of
making service which must be consistent
with this part).
llllllllllllllllllllllll
Signature

Date

(49 U.S.C. 721, 5 U.S.C. 553)
[47 FR 49554, Nov. 1, 1982, as amended at 48
FR 44827, Sept. 30, 1983; 61 FR 52711, Oct. 8,
1996; 69 FR 18499, Apr. 8, 2004; 81 FR 8853, Feb.
23, 2016]

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§ 1104.13

Replies and motions.

(a) Time. A party may file a reply or
motion addressed to any pleading within 20 days after the pleading is filed
with the Board, unless otherwise provided.
(b) Number of copies. The original of a
reply or motion should be accompanied
by the same number of copies required
to be filed with the pleading to which
the reply or motion is addressed.
(c) Reply to a Reply. A reply to a reply
is not permitted.
[47 FR 49554, Nov. 1, 1982, as amended at 61
FR 52711, Oct. 8, 1996]

§ 1104.14 Protective orders to maintain
confidentiality.
(a) Segregation of confidential material.
A party submitting materials which it
believes are entitled to be kept confidential and not made part of the public docket should submit these materials as a separate package, clearly
marked on the outside ‘‘Confidential
materials subject to a request for a
protective order.’’ When confidential
documents are filed, redacted versions
must also be filed.
(b) Requests for protective orders. A request that materials submitted to the
Board be kept confidential should be
submitted as a separate pleading and
clearly headed ‘‘Motion for protective
order.’’
[48 FR 44827, Sept. 30, 1983, as amended at 61
FR 52711, Oct. 8, 1996; 81 FR 8853, Feb. 23,
2016]

§ 1104.15 Certification of eligibility for
Federal benefits under 21 U.S.C.
862.
(a) An individual who is applying in
his or her name for a certificate, license or permit to operate as a rail carrier must complete the certification
set forth in paragraph (b) of this section. This certification is required if
the transferee in a finance proceeding
under 49 U.S.C. 11323 and 11324 is an individual. The certification also is required if an individual applies for authorization to acquire, to construct, to
extend, or to operate a rail line.
(b) Certification:
I lll (Name) lll, certify under penalty of perjury under the laws of the United
States, that I have not been convicted, after
September 1, 1989, of any Federal or State offense involving the distribution or possession
of a controlled substance, or that if I have
been so convicted, I am not ineligible to receive Federal Benefits, either by court order
or by operation of law, pursuant to 21 U.S.C.
862.
[54 FR 48250, Nov. 22, 1989, as amended at 61
FR 52711, Oct. 8, 1996; 64 FR 53268, Oct. 1, 1999;
67 FR 5515, Feb. 6, 2002]

PART 1105—PROCEDURES FOR IMPLEMENTATION OF ENVIRONMENTAL LAWS
Sec.
1105.1

Purpose.

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