49 CFR Part 1313 — Railroad Contracts for the Transportation of Agricultural Products

PART 1313—RAILROAD CONTRACTS FOR THE TRANSPORTATION OF AGRICULTURAL PRODUCTS Authority: 49 U.S.C. 1321(a) and 10709. Source: 61 FR 68669, Dec. 30, 1996, unless otherwise noted. § 1313.1 Scope; definition of terms. (a) This part addresses the provisions of 49 U.S.C. 10709 that require rail carriers to file with the Board a summary of each contract for the transportation of agricultural products (including grain, as defined in 7 U.S.C. 75 and products thereof) and that allow complaints to be filed with the Board regarding such contracts. (b) The provisions of this part do not apply to any transportation that is exempted from the Board's contract regulation pursuant to an exemption issued under 49 U.S.C. 10502 or former 49 U.S.C. 10505 (repealed effective January 1, 1996). (c) For purposes of this part, the term contract means an agreement, including any amendment thereto, entered into by one or more rail carriers and one or more purchasers of rail services to provide specified transportation of agricultural products (including grain, as defined in 7 U.S.C. 75 and products thereof) under specified rates and conditions. The term amendment includes contract modifications agreed to by the parties. (d) An amended contract is treated as a new contract under this part. Remedies are revived and review is again available, upon complaint. § 1313.2 Contract summary filing requirement. (a) Rail carriers subject to the jurisdiction of the Surface Transportation Board under 49 U.S.C. 10501 must promptly file with the Board a summary of each contract entered into for the transportation of agricultural products. (b) Contract summaries not in compliance with this part may be rejected by the Board. If a contract summary is rejected, it will be considered as not filed, and the carrier must promptly file a corrected contract summary to replace the rejected summary. § 1313.3 Board review; contract disapproval. (a) Board review. (1) No later than 30 days after a contract summary is filed, the Board may, on complaint, begin a proceeding to review such contract on the grounds described in § 1313.9. (2) If the Board begins a proceeding, it shall determine, within 30 days after the proceeding is commenced, whether the contract is in violation of 49 U.S.C. 10709. (b) Contract disapproval. If the Board finds that the contract is in violation of 49 U.S.C. 10709, it will: (1) Disapprove the contract; or (2) Where the Board finds unreasonable discrimination, in accordance with 49 U.S.C. 10709(g)(2)(B)(i), order the contracting carrier(s) to provide to the complainant(s) rates and service substantially similar to those contained in the contract at issue, with such differences in terms and conditions as are justified by the evidence. (c) Applicable rates/charges if a contract is disapproved. § 1313.4 Filing procedures and formats for contract summaries. (a) Filing of Summaries. (2) The outside envelope or wrapper containing one or more contract summaries must be prominently marked “Rail Contract Summary” and addressed to: Tariffs Branch, Surface Transportation Board, Washington, DC 20423. (3) A transmittal letter identifying the submitted publication(s), and the name and telephone number of a contact person, must accompany each filing of one or more contract summaries. Each transmittal letter shall clearly indicate in the upper left-hand corner thereof: (i) The assigned alpha code of the filing carrier; (ii) The number of summaries transmitted; (iii) The filing fee enclosed (pursuant to 49 CFR 1002.2(a)); and (iv) The transmittal number if the filer utilizes transmittal numbers. (b) Contract summary title page. (1) In the upper right corner, the contract summary number (see paragraph (c) of this section), followed by the amendment number if an amended contract summary. (2) In the center of the page, the filing carrier's name, followed by the words “CONTRACT SUMMARY” or “AMENDED CONTRACT SUMMARY”, as applicable, in large print. (3) Date of contract and its effective date. (4) In the center lower portion, the individual submitting the filing, and the name of the individual(s) for service of complaints (if not the same individual). If not otherwise noted, a complainant may rely on service to the individual submitting the filing. (c) Contract summary numbering system. (2) At its option, the carrier may issue contract summaries with nonconsecutive numbers if it assigns blocks of numbers for specific uses. An index to the blocks of reserved numbers shall be filed with the Board. (d) Format requirements for contract summary information. (2) Changes in prior contract summaries must be underscored and must be followed by the words “addition,” “deletion,” “extension,” “cancellation,” or other appropriate descriptive phrase in parentheses. If the change to the contract is only in confidential matter, a statement to that effect must be made in the amended contract summary and must indicate the particular feature to which the change applies (i.e., rate, special feature, etc.). If “not applicable” is permitted in the original summary under §§ 1313.6 through 1313.8 of this part, the amended summary may use “not applicable” with a notation that a change pertained only to confidential data. (3) Amended contract summaries may not substitute phrases such as “not applicable” or “no change” where disclosure was required in the original contact summary (such as in the commodity description); amended contract summaries must set forth all required non-confidential terms in the contract, whether amended or not. [61 FR 68669, Dec. 30, 1996, as amended at 84 FR 12946, Apr. 3, 2019] § 1313.5 Contract and contract summary availability. (a)(1) A contract summary filed under these rules shall be made available for public inspection in the Tariffs Branch of the Surface Transportation Board. (2) A contract summary filed under these rules also shall be made available by the carrier(s) participating in the contract, upon reasonable request. (b) Where not already required by § 1313.10(a)(5) of this part, the contract for which a summary is filed under these rules shall be provided immediately to the Board, upon request, for its use in carrying out its functions under the statute. § 1313.6 Contract summary for agricultural commodities. (a) Summary information. (1) Carrier names. (2) Specific commodity. (3) Shipper identity. (4) Specific origins, destinations, transit points, and other shipper facilities. (ii) Each port involved. (iii) Each transit point identified in the contract. (iv) Each shipper facility affecting performance under the contract (if not included in the origin/destination points or transit points), to the extent identified in the contract or known to the contracting parties. (5) Contract duration. (ii) The termination date of the contract, and any terms for automatic extension or renewal of the contract. (iii) Any provisions for optional extension. (6) Rail car data. (A) The number of dedicated cars (or, at the carrier's option, car days), by major car type, to be used to fulfill the contract or contract options, including those that are: ( 1 ( 2 ( 3 (B) A certified statement that: ( 1 ( 2 (ii) For contract summaries filed on or before September 30, 1998, a certified statement that the cumulative equipment total for all contracts for the transportation of agricultural commodities (including forest products, but not including wood pulp, wood chips, pulpwood or paper) does not exceed 40 percent of the capacity of carrier-owned and -leased cars by applicable car type. (7) Rates and charges. (ii) A summary of any escalation provisions in the contract. (8) Volume. (i) Movement type (single-car, multiple-car, unit-train). (ii) Minimum and actual volume requirements under the contract, by applicable period(s) (annual, quarterly, etc.). (iii) Volume breakpoints affecting the contract. (9) Special features. (b) Supplemental information. (1) Total bad-car orders; (2) Assigned car obligations; and (3) Free-running cars. § 1313.7 Contract summary for grain products—involving a port. (a) Summary information. (1) Carrier names. (2) Specific commodity. (3) Contract duration. (ii) The termination date of the contract, and any terms for automatic extension or renewal of the contract. (4) Rates and charges. (ii) The existence (but not the terms or amount) of any escalation provisions. (5) Volumes. (6) Special features. (7) Rail car data. (i) The number of dedicated cars (or, at the carrier's option, car days), by major car type, to be used to fulfill the contract or contract options, including those that are: (A) Available and owned by the carrier(s) listed in paragraph (a)(1) of this section; (B) Available and leased by those carrier(s), with average number of bad-order cars identified; and (C) (Optional) On order (for ownership or lease), along with delivery dates. (ii) A certified statement that: (A) The shipper will furnish the rail cars used for the transportation provided under the contract, and that those rail cars will not be leased from the carrier; or (B) The contract is restricted to services which do not entail car supply. (8) Ports. (ii) Either the mileages (rounded to the nearest 50 miles) between the port and each inland origin or destination, or the specific inland origin and destination points. (b) Supplemental information. (1) Total bad-car orders; (2) Assigned car obligations; and (3) Free-running cars. § 1313.8 Contract summary for grain products—not involving a port. (a) Summary information. (b) Supplemental information. § 1313.9 Grounds for complaints and contract review. (a) A complaint may be filed against a contract covered by this part: (1) By any shipper on the ground that such shipper individually will be harmed because the contract unduly impairs the ability of the contracting rail carrier or carriers to meet their common carrier obligations to the complainant under 49 U.S.C. 11101; (2) By a port on the ground that such port individually will be harmed because the contract will result in unreasonable discrimination against such port; and (3) By a shipper of agricultural commodities on the ground that such shipper individually will be harmed because: (i) The rail carrier has unreasonably discriminated by refusing to enter into a contract with such shipper for rates and services for the transportation of the same type of commodity under similar conditions to the contract at issue, and that such shipper was ready, willing, and able to enter into such a contract at a time essentially contemporaneous with the period during which the contract at issue was offered; or (ii) The contract constitutes a destructive competitive practice. (b) Unreasonable discrimination, § 1313.10 Procedures for complaints and discovery. (a) Complaints, discovery petitions, replies, and appeals Initial filing. (2) Complaint. (3) Discovery petition. (i) Standing—grounds. (ii) Standing—affected party. (A) The nature and volume of petitioner's relevant business. (B) The relevant commodities that petitioner ships or receives. (C) Comparisons of the petitioner's commodities, locations of shipping facilities and serving carriers, actual or potential traffic patterns and serving carrier(s), with the traffic patterns and serving carrier(s) identified in the contract summary. State whether petitioner is a consignor or consignee. (D) The petitioner's ability to ship the commodity in question at a time generally simultaneous with the challenged contract. (E) The potential effect of the contract on the petitioner's relevant business. (F) Any additional supporting information, including prior negotiations, if any. (iii) Relevance. (iv) Nexus. (4) Service of pleadings. (5) Submission of contract. (6) Replies. (7) Filings. (8) Discovery appeals. (i) An appeal must be received within 2 days of the initial decision, but in no event later than the 28th day after the contract summary is filed. (ii) The appeal must be marked “Appeal of Delegated Authority Action Regarding Rail Contract Discovery”. (iii) Telegraphic notice or its equivalent must be given to the opposing parties. (iv) Replies to the appeal must be filed within one day after the appeal is filed. (9) Furnishing of information. (b) Informal discovery. (2) The carrier must promptly grant or deny the request. (3) Agreements between carriers and shippers for informal discovery are permitted under these rules. (c) Confidentiality. (d) Protective order. (e) Contract review proceeding. [61 FR 68669, Dec. 30, 1996, as amended at 84 FR 12946, Apr. 3, 2019]

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