49 CFR Part 1111 — Complaint and Investigation Procedures

PART 1111—COMPLAINT AND INVESTIGATION PROCEDURES Authority: 49 U.S.C. 10701, 10704, 11701 and 1321. Source: 82 FR 57379, Dec. 5, 2017, unless otherwise noted. § 1111.1 Pre-filing procedures in stand-alone cost cases. (a) General. (1) Identify the rate to be challenged; (2) Identify the origin/destination pair(s) to be challenged; (3) Identify the affected commodities; and (4) Include a motion for protective order as set forth at 49 CFR 1104.14(c). (b) Liaison. § 1111.2 Content of formal complaints; joinder. (a) General. (1) The carrier or region identifier. (2) The type of shipment (local, received-terminated, etc.). (3) The one-way distance of the shipment. (4) The type of car (by URCS code). (5) The number of cars. (6) The car ownership (private or railroad). (7) The commodity type (STCC code). (8) The weight of the shipment (in tons per car). (9) The type of movement (individual, multi-car, or unit train). (10) A narrative addressing whether there is any feasible transportation alternative for the challenged movements. (11) For matters for which voluntary, binding arbitration is available pursuant to 49 CFR part 1108, the complaint shall state that arbitration was considered, but rejected, as a means of resolving the dispute. (b) Disclosure with simplified standards complaint. (c) Multiple causes of action. (d) Joinder. (e) Request for access to waybill data. (f) Discovery in stand-alone cost cases. § 1111.3 Amended and supplemental complaints. (a) Generally. (b) Stand-alone cost. (c) Simplified standards. [82 FR 57379, Dec. 5, 2017, as amended at 88 FR 318, Jan. 4, 2023; 90 FR 24079, June 6, 2025] § 1111.4 Service. A complainant is responsible for serving formal complaints, amended or supplemental complaints, and cross complaints on the defendant(s). Service shall be made by sending a copy of such complaint to the chief legal officer of each defendant by either confirmed facsimile and first-class mail or express overnight courier. The cover page of each such facsimile and the front of each such first-class mail or overnight express courier envelope shall include the following legend: “Service of STB Complaint”. Service of the complaint shall be deemed completed on the date on which the complaint is served by confirmed facsimile or, if service is made by express overnight courier, on the date such complaint is actually received by the defendant. When the complaint involves more than one defendant, service of the complaint shall be deemed completed on the date on which all defendants have been served. The complaint should be filed with the Board together with an acknowledgment of service by the persons served or proof of service in the form of a statement of the date and manner of service, of the names of the persons served, and of the addresses to which the papers were mailed or at which they were delivered, certified by the person who made service. [82 FR 57379, Dec. 5, 2017, as amended at 84 FR 12944, Apr. 3, 2019] § 1111.5 Answers and cross complaints. (a) Generally. (b) Disclosure with simplified standards answer. (c) Time for filing; copies; service. (d) Cross complaints. (e) Failure to answer complaint. (f) Discovery in stand-alone cost cases. [82 FR 57379, Dec. 5, 2017, as amended at 84 FR 12944, Apr. 3, 2019; 88 FR 318, Jan. 4, 2023; 90 FR 24079, June 6, 2025] § 1111.6 Motions to dismiss or to make more definite. An answer to a complaint or cross complaint may be accompanied by a motion to dismiss the complaint or cross complaint or a motion to make the complaint or cross complaint more definite. A motion to dismiss can be filed at anytime during a proceeding. A complainant or cross complainant may, within 10 days after an answer is filed, file a motion to make the answer more definite. Any motion to make more definite must specify the defects in the particular pleading and must describe fully the additional information or details thought to be necessary. § 1111.7 Satisfaction of complaint. If a defendant satisfies a formal complaint, either before or after answering, a statement to that effect signed by the complainant must be filed (original only need be filed), setting forth when and how the complaint has been satisfied. This action should be taken as expeditiously as possible. § 1111.8 Investigations on the Board's own motion. (a) Service of decision. (b) Default. § 1111.9 Procedural schedule in stand-alone cost cases. (a) Procedural schedule. (1) Day 0—Complaint filed, discovery period begins. (2) Day 7 or before—Conference of the parties convened pursuant to § 1111.11(b). (3) Day 20—Defendant's answer to complaint due. (4) Day 150—Discovery completed. (5) Day 210—Complainant files opening evidence on absence of intermodal and intramodal competition, variable cost, and stand-alone cost issues. (6) Day 270—Defendant files reply evidence to complainant's opening evidence. (7) Day 305—Complainant files rebuttal evidence to defendant's reply evidence. In cases using the streamlined market dominance approach, a telephonic evidentiary hearing before an administrative law judge, as described in § 1111.12(d) of this chapter, will be held at the discretion of the complainant in lieu of the submission of a written rebuttal on market dominance issues. The hearing will be held on or about the date that the complainant's rebuttal evidence on rate reasonableness is due. (8) Day 335—Complainant and defendant file final briefs. (9) Day 485 or before—The Board issues its decision. (b) Staggered filings; final briefs. e.g., (2) Final briefs are limited to 30 pages, inclusive of exhibits. (c) Conferences with parties. (2) In addition, the Board may convene a conference of the parties with Board staff, after discovery requests are served but before any motions to compel may be filed, to discuss discovery matters in stand-alone cost rate cases. The parties should jointly propose a schedule for this discovery conference. [82 FR 57379, Dec. 5, 2017, as amended at 85 FR 47697, Aug. 6, 2020] § 1111.10 Procedural schedule in cases using simplified standards. (a) Procedural schedule. (1)(i) In cases relying upon the Simplified-SAC methodology: (A) Day 0—Complaint filed (including complainant's disclosure). (B) Day 10—Mediation begins. (C) Day 20—Defendant's answer to complaint (including defendant's initial disclosure). (D) Day 30—Mediation ends; discovery begins. (E) Day 140—Defendant's second disclosure. (F) Day 150—Discovery closes. (G) Day 220—Opening evidence. (H) Day 280—Reply evidence. (I) Day 310—Rebuttal evidence. In cases using the streamlined market dominance approach, a telephonic evidentiary hearing before an administrative law judge, as described in § 1111.12(d) of this chapter, will be held at the discretion of the complainant in lieu of the submission of a written rebuttal on market dominance issues. The hearing will be held on or about the date that the complainant's rebuttal evidence on rate reasonableness is due. (J) Day 320—Technical conference (market dominance and merits, except for cases using the streamlined market dominance approach, in which the technical conference will be limited to merits issues). (K) Day 330—Final briefs. (ii) In addition, the Board will appoint a liaison within 10 business days of the filing of the complaint. (2)(i) In cases relying upon the Three-Benchmark methodology: (A) Day 0—Complaint filed (including complainant's disclosure). (B) Day 10—Mediation begins. (STB production of unmasked Waybill Sample.) (C) Day 20—Defendant's answer to complaint (including defendant's initial disclosure). (D) Day 30—Mediation ends; discovery begins. (E) Day 60—Discovery closes. (F) Day 90—Complainant's opening (initial tender of comparison group and opening evidence on market dominance). Defendant's opening (initial tender of comparison group). (G) Day 95—Technical conference on comparison group. (H) Day 120—Parties' final tenders on comparison group. Defendant's reply on market dominance. (I) Day 150—Parties' replies to final tenders. Complainant's rebuttal on market dominance. In cases using the streamlined market dominance approach, a telephonic evidentiary hearing before an administrative law judge, as described in § 1111.12(d) of this chapter, will be held at the discretion of the complainant in lieu of the submission of a written rebuttal on market dominance issues. The hearing will be held on or about the date that the complainant's rebuttal evidence on rate reasonableness is due. (ii) In addition, the Board will appoint a liaison within 10 business days of the filing of the complaint. (b) Staggered filings; final briefs. e.g., (2) In cases relying upon the Simplified-SAC methodology, final briefs are limited to 30 pages, inclusive of exhibits. (c) Defendant's second disclosure. (1) Identification of all traffic that moved over the routes replicated by the SARR in the Test Year. (2) Information about those movements, in electronic format, aggregated by origin-destination pair and shipper, showing the origin, destination, volume, and total revenues from each movement. (3) Total operating and equipment cost calculations for each of those movements, provided in electronic format. (4) Revenue allocation for the on-SARR portion of each cross-over movement in the traffic group provided in electronic format. (5) Total trackage rights payments paid or received during the Test Year associated with the route replicated by the SARR. (6) All workpapers and documentation necessary to support the calculations. (d) Conferences with parties. (e) Complaint filed with a petition to revoke a class exemption. [82 FR 57379, Dec. 5, 2017, as amended at 85 FR 47697, Aug. 6, 2020; 88 FR 318, Jan. 4, 2023; 90 FR 24079, June 6, 2025] § 1111.11 Meeting to discuss procedural matters. (a) Generally. (b) Stand-alone cost or simplified standards complaints. [82 FR 57379, Dec. 5, 2017, as amended at 88 FR 318, Jan. 4, 2023; 90 FR 24079, June 6, 2025] § 1111.12 Streamlined market dominance. (a) A complainant may elect to pursue the streamlined market dominance approach to market dominance if the challenged movement satisfies the factors listed in paragraphs (a)(1) through (7) of this section. The Board will find a complainant has made a prima facie showing on market dominance when it can demonstrate the following with regard to the traffic subject to the challenged rate: (1) The movement has an R/VC ratio of 180% or greater; (2) The movement would exceed 500 highway miles between origin and destination; (3) There is no intramodal competition from other railroads; (4) There is no barge competition; (5) There is no pipeline competition; (6) The complainant has used truck for 10% or less of its volume (by tonnage) subject to the rate at issue over a five-year period; and (7) The complainant has no practical build-out alternative due to physical, regulatory, financial, or other issues (or combination of issues). (b) A complainant may rely on any competent evidence, including a verified statement from an appropriate official(s) with knowledge of the facts, in demonstrating the factors set out in paragraph (a) of this section. An appropriate official is any individual who has either direct or supervisory responsibility for, or otherwise has knowledge or understanding of, the complainant's transportation needs and options. The official(s) should provide his or her title and a short description of his or her duties in the verified statement. In demonstrating the revenue to variable cost ratio, a complainant must show its quantitative calculations. (c) A defendant's reply evidence under the streamlined market dominance approach may address the factors in paragraph (a) of this section and any other issues relevant to market dominance. A complainant may elect to submit rebuttal evidence on market dominance issues. Reply and rebuttal filings under the streamlined market dominance approach are each limited to 50 pages, inclusive of exhibits and verified statements. (d)(1) Pursuant to the authority under § 1011.6 of this chapter, an administrative law judge will hold a telephonic evidentiary hearing on the market dominance issues at the discretion of the complainant in lieu of the submission of a written rebuttal on market dominance issues. (2) The hearing will be held on or about the date that the complainant's rebuttal evidence on rate reasonableness is due. The complainant shall inform the Board by letter submitted in the docket, no later than 10 days after defendant's reply is due, whether it elects an evidentiary hearing in lieu of the submission of a written rebuttal on market dominance issues. (3) The Board will provide an unofficial copy of the hearing transcript no later than 5 days after the conclusion of the hearing. The Board will provide the official hearing transcript shortly thereafter. The hearing transcript will be part of the docket in the proceeding. [85 FR 47697, Aug. 6, 2020, as amended at 88 FR 318, Jan. 4, 2023; 90 FR 24080, June 6, 2025]

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