49 CFR Part 1104 — Filing with the Board-Copies-Verification-Service-Pleadings, Generally

PART 1104—FILING WITH THE BOARD-COPIES-VERIFICATION-SERVICE-PLEADINGS, GENERALLY Authority: 5.U.S.C. 553 and 559; 18 U.S.C. 1621; and 49 U.S.C. 1321. Source: 47 FR 49554, Nov. 1, 1982, unless otherwise noted. § 1104.1 Address, identification, and electronic filing option. (a) Except as provided in 49 CFR 1115.7, pleadings should be addressed to the “Chief of Case Administration, Office of Chief Counsel, 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) Unless otherwise directed by the Board, persons filing pleadings and documents with the Board have the option of electronically filing (e-filing) pleadings and documents instead of filing paper copies. Details regarding file size limitations, permissible formats, procedures to be followed, acceptable signature formats, and other pertinent information are available on the Board's website, www.stb.gov. [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; 83 FR 15078, Apr. 9, 2018; 84 FR 12943, Apr. 3, 2019; 91 FR 4853, Feb. 3, 2026] § 1104.2 Document specifications. (a) Documents, except electronic filings, filed with the Board must be on white paper not larger than 8 1/2 (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 Paper filings, electronic submissions, and copies. (a) The executed original of a paper pleading or document permitted or required to be filed under this subchapter, including correspondence, must be furnished for the use of the Board. Textual submissions of 20 or more pages must be accompanied by an electronic version. Details regarding electronic submissions, including evidence, workpapers, and other pertinent information are available on the Board's website, www.stb.gov. (b) The Board may, at its discretion, request paper copies of a pleading, document, or paper filed or e-filed with the Board. Any such copies must be 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 copies, will be accurately identified on all copies. [84 FR 12944, Apr. 3, 2019] § 1104.4 Attestation and verification. (a) Signature of attorney or practitioner. (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. (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 ______________, 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 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. [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] § 1104.7 Computation and extension of time. (a) Computation. (b) Extensions. (c) Exception to time computation rules. [47 FR 49554, Nov. 1, 1982, as amended at 61 FR 52711, Oct. 8, 1996; 89 FR 4578, Jan. 24, 2024] § 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] § 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. [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, papers, and decisions. (a) Generally. (b) Exceptions. (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). Signature Date (49 U.S.C. 721, 5 U.S.C. 553) (d) Service by the Board. [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; 84 FR 12944, Apr. 3, 2019] § 1104.13 Replies and motions. (a) Time. (b) Number of copies. (c) Reply to a Reply. [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. (b) Requests for protective orders. (c) Requests for protective orders in stand-alone cost and simplified standards cases. i.e., i.e., i.e., [48 FR 44827, Sept. 30, 1983, as amended at 61 FR 52711, Oct. 8, 1996; 81 FR 8853, Feb. 23, 2016; 82 FR 57378, Dec. 5, 2017] § 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 ___ (Name) ___, 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]

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