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motion, application, notice, or other paper in proceedings pending before the Commission on its formal docket filed and served as provided in § 1.6 shall be furnished for the use of the Commission.
(b) Replies to petitions, motions, etc., service, time for filing, copies. Within 10 days after service of any paper specified in paragraph (a) of this section, any adverse party may file and serve a reply thereto, furnishing a like number of copies for the use of the Commission. Parties or attorneys served at El Paso, Tex., Salt Lake City, Utah, and Butte and Helena, Mont., or points west thereof, will be allowed 5 days' additional time for filing and serving a reply. A reply to a reply is not permitted.**
1.16 Transcript of testimony-(a) Free copies in complaint and investigation and suspension proceedings. One copy of the transcript of testimony will be furnished by the Commission without charge for the use of the complainant and one copy for the use of the defendant. If two or more complainants or defendants have appeared at the hearing, such complainants or defendants must designate to whom the copy for their use shall be delivered. A similar course will be pursued in proceedings involving the suspension of tariffs.
(b) Copies not furnished by Commission in other cases. other cases and in proceedings instituted by the Commission on its own motion other than proceedings involving the suspension of tariffs, no copies of the transcript will be furnished by the Commission..**
1.17 Compliance with orders; notification to Commission; tariff references required. When an order has been issued the defendants or respondents named therein must promptly notify the Commission on or before the date upon which such order becomes effective whether or not compliance has been made therewith. If a change in rates is required the notification must be given in addition to the filing of proper tariffs, and must specify the Interstate Commerce Commission numbers of the tariffs so filed.**
1.18 Applications under fourth section-(a) Carriers may file application for relief; conformity with rules. Any common carrier subject to the Act may apply to the Commission, under the proviso clause of section 4 (1) of the Act, for such authorization as it is empowered to grant thereunder. Such application must conform to the requirements of this section, and of § 1.21.
(b) Freight and passenger applications separate. Separate applications shall be made for relief as to freight rates and passenger fares.
(c) Long-and-short-haul and aggregate-of-intermediates applications separate. Separate applications shall be made for relief under the long-and-short-haul provision and for relief from the aggregate-of-intermediates provisions of section 4 of the Act.
(d) Number of copies, signature, and verification. (1) Five copies of the application, including exhibits and maps, must be furnished.
(2) The original application must be over the personal signature of an executive officer, a responsible traffic officer, or a duly authorized
**For statutory and source citations, see note to § 1.1.
attorney or agent, specifying his title, and sworn to before a notary public or other officer authorized by law to administer oaths.
(e) Matters to be shown in applications. All applications shall show:
(1) The names of the carriers for or on whose behalf they are made, or, if made on behalf of all carriers parties to a particular tariff, the application may refer thereto by Interstate Commerce Commission number.
(2) The Interstate Commerce Commission number of all tariffs in which rates, fares, or charges are published, to which reference is made in the application.
(3) The rates, fares, or charges proposed to be established, and articles or classes upon which they are to apply, the points of origin and destination, and the routes between the said points over which the said rates, fares, or charges will be applicable. When relief is desired from "related" points or "group" points, the points or groups should be defined and indicated on the map hereinafter required to be furnished.
(4) The intermediate points at which it is proposed to maintain rates, fares, or charges higher than those proposed between more distant points, and the rates, fares, or charges at such points.
(5) A complete and accurate statement of the grounds relied upon in justification of the relief prayed.
(f) Hearings upon applications; pertinent information required. If a hearing is not desired, the application must so state. It is not to be understood that when such information is included in the application, hearings will not be held in all cases. It is the uniform practice of the Commission to hold hearings upon the request of any interested party. Applicants for relief from the long-andshort-haul provision of section 4 should be prepared to show at hearings in support of their application the information outlined below. If a hearing is desired, this information must be included in the application.
(1) That the rates which it is desired to establish or maintain are compelled rates and lower than reasonable rates for application by way of the petitioning line or route, and not within its control.
(2) That the lower rates for longer than shorter hauls over the same line or route are reasonably compensatory.
NOTE: In Transcontinental Cases of 1922, 74 I. C. C. 48 (71), it was held that in the administration of the fourth section the words "reasonably compensatory" imply that a rate properly so described must (1) cover and more than cover the extra or additional expenses incurred in handling the traffic to which it applies; (2) be no lower than necessary to meet existing competition; (3) not be so low as to threaten the extinction of legitimate competition by other carriers; and (4) not impose an undue burden on other traffic or jeopardize the appropriate return on the value of carrier property generally, as contemplated in section 15a of the Act [since amended]. It was also held that when carriers apply for relief from the long-and-short-haul clause of the fourth section and propose the application of rates which they designate as "reasonably compensatory" they should affirmatively show that the rates proposed conform to the criteria indicated. Carriers should not propose rates or rate structures for approval in a fourth section application which create infractions of other provisions of the Interstate Commerce Act.
The following information is considered pertinent in a showing as to the reasonably compensatory nature of rates:
(a) Statement of ton-mile, car-mile, and per-car earnings under the competitive rates. When a general adjustment is involved covering rates between numerous competitive points and applicable or to be applied by numerous routes, it will be sufficient, ordinarily, to give representative examples of rates throughout the territory yielding the lowest earnings for the longest and shortest hauls involved.
(b) Average revenue per ton-mile, car-mile, and per car on revenue freight traffic hauled over petitioning lines and average haul of revenue freight.
(c) Approximate average cost per ton-mile, car-mile, and per car of hauling revenue freight over petitioning lines.
(d) Approximate average cost per ton-mile, car-mile, and per car of hauling added traffic over petitioning lines.
(e) Traffic density.
(3) A statement of rates at representative intermediate points at which rates exceed or would exceed the rates at competitive points, including rates at the highest and lowest rated intermediate points and the distances to and from all of the said intermediate points, together with a statement of ton-mile, car-mile, and per-car earnings under the rates to and from such representative intermediate points. (4) That the higher rates for the shorter than for the longer hauls over the same line or route are reasonable. (The usual facts tending to show the reasonableness of rates should be presented.)
(5) Whether there is a complaint pending as to the reasonableness of the rates at the intermediate points on the petitioning line or route. (g) Additional matters to be shown. In addition to the matters required in paragraphs (e), (f), and (h) of this section to be shown, the following should also be shown in applications based upon the grounds indicated.
(1) Applications based on circuity. That the transportation of the competitive traffic by way of the petitioning route and the diversion of such traffic from the rate-making and other routes would not constitute wasteful transportation, considering the degree of circuity and the respective financial conditions of the competing carriers. The following are considered pertinent facts: The financial condition of the petitioning line as compared with that of the competing lines; the traffic density on the petitioning line as compared with that of the competing lines; and the number of routes in operation between the competitive points.
The distances over the petitioning and rate-making lines or routes and the percentages of circuity. If the petitioning route is a waterand-rail route, the prorating mileage of the water carrier or the rail mileage to which the water haul is equivalent should be given. If a general readjustment is involved covering rates between numerous competitive points over numerous routes, examples should be given of the degree of circuity of the petitioning lines or routes at representative points throughout the territory involved, including the minimum and maximum degree of circuity both in percentage and number of miles.
Whether the rates over the direct or rate-making line conform to the fourth section.
(2) Applications based on water competition. The names of the water lines and the number of steamers or vessels actually plying between the water points and their tonnage capacity or capacities.
The service over the water lines as compared with that over the petitioning rail lines, and whether the commodities as to which relief is sought are adapted to transportation by water.
The volume of the traffic involved moving over the water lines and also over the rail lines between the same points.
The charges over the water lines, including marine insurance, wharfage, handling, and other incidental charges.
(3) Applications based on motor-truck competition. The service over the motor-truck lines as compared with that over the petitioning rail lines, and whether the commodities as to which relief is sought are adapted to transportation by motor trucks.
The volume of traffic involved moving over the motor-truck lines and also over the rail lines between the same points.
The charges over the motor-truck lines, including incidental charges, if any.
(4) Applications based on market competition. The names of the competitive producing points.
The distances over the direct lines or routes from the various producing points to the common market and the names of the lines or routes over which such distances are made.
Whether the rates from the other producing points conform to the provisions of the fourth section.
The volume of traffic involved.
Whether similar competition is to be met at intermediate markets. (5) Applications based upon the weak financial condition or high operating costs of the petitioning line. Financial statistics and operating conditions.
The same information as required in applications based on circuity. (h) Miscellaneous provisions. In addition to the above indicated information, applications should show:
(1) Any other circumstances which are relied on as constituting a special case within the meaning of section 4 (1) of the Act.
(2) The relative location of the various lines or routes, the competitive points, and representative intermediate points at which higher rates are to be charged should be shown on a map, made a part of each application.
(3) The fact that a point is a large producing or consuming market and that intermediate points are not consuming or producing points is not considered by the Commission to be a sufficient reason for relief from the fourth section. Rule 27 of tariff circular 20 (§ 141.27) was promulgated for the purpose of covering such situations and obviating the necessity of publishing "paper" rates from or to intermediate points.
(4) Applications which upon analysis are found to contain incomplete and inaccurate or unreliable data will be denied forthwith without prejudice to the filing of a new application.
(5) If the Commission denies an application and the carrier presents a new application based upon new or additional facts in justification of the proposed rates, fares, or charges, such facts should be clearly indicated as such, and the modified application must specifi
cally refer to the previous application and the number of the order denying the same.
(6) Applications should be in the approved form shown in Part 2 and should conform to the specifications contained in § 1.21.*†
1.18a Applications under the Inland Waterways Corporation Act-(a) Matters to be stated in application for certificate of convenience and necessity. Applications for certificates of public convenience and necessity for operation as a common carrier and for joint rates and through routes with rail carriers under section 3 of the Inland Waterways Corporation Act, as amended (sec. 3, 43 Stat. 361, sec. 2, 45 Stat. 978, 48 Stat. 968, 49 Stat. 958; 49 U.S.C. 153 and Sup.), shall set forth, in the order indicated, the following information: (1) Exact corporate name of the applicant, if a corporation.
(2) Date of incorporation, and Government, State, or Territory under the laws of which the applicant was organized. If incorporated under the laws of, or authorized to operate in, several States, give the facts in regard thereto.
(3) Amount of paid-up and authorized capital stock and list of principal stockholders, if a corporation.
(4) Names of partners, if applicant is a partnership.
(5) Names of waterways on which applicant will operate and the names of applicant's terminal ports and ports of call, and names of rail carriers serving such terminal ports of call with which joint rates and through routes are desired, and the names of the water carriers with which applicant will compete.
(6) Each State through, within, or along which applicant will operate.
(7) The reasons, briefly stated, why the present or future public convenience and necessity require or will require the proposed operation.
(8) Name, title, and post-office address of counsel or official to whom correspondence in regard to application is to be addressed. (9) Whether the applicant desires a hearing upon the application. (b) Procedure governing submission of application. The submission of such application shall be governed by the following procedure:
(1) Subscription and verification of application. The original application shall be signed by an executive officer of the applicant having knowledge of the matters and things therein set forth, shall be verified under oath, which shall show, among other things, that the affiant has knowledge of the matters and things therein stated and is duly authorized by the applicant to verify and file the application.
(2) Number of copies furnished; completeness. Applicant shall file with the original application 15 copies for the use of the Commission and 2 additional copies for each State in which applicant will operate, and shall furnish additional copies as directed by the Commission. Each copy shall bear the dates and signatures that appear in the original and shall be complete in itself; the signatures
**For statutory and source citations, see note to § 1.1.