DOT 49 CFR PART 378-2010 PROCEDURES GOVERNING THE PROCESSING INVESTIGATION AND DISPOSITION OF OVERCHARGE DUPLICATE PAYMENT OR OVERCOLLECTION CLAIMS.pdf

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1、141 Federal Motor Carrier Safety Administration, DOT 378.2 (a) Has collected the amount of tariff charges represented in a freight bill presented by it as the total amount of such charges, and (b) Thereafter presents to the shipper another freight bill for additional charges the carrier may extend c

2、redit in the amount of such additional charges for a period of 30 calendar days from the date of the presentation of the freight bill for the additional charges. 377.211 Computation of time. Time periods involving calendar days shall be calculated pursuant to 49 CFR 386.32(a). 50 FR 2290, Jan 16, 19

3、85. Redesignated at 61 FR 54709, Oct. 21, 1996, as amended at 62 FR 15424, Apr. 1, 1997 377.213377.215 Reserved 377.217 Interline settlement of reve-nues. Nothing in this part shall be inter-preted as affecting the interline settle-ment of revenues from traffic which is transported over through rout

4、es com-posed of lines of common carriers sub-ject to the Secretarys jurisdiction under 49 U.S.C. subtitle IV, part B. 50 FR 2290, Jan 16, 1985. Redesignated at 61 FR 54709, Oct. 21, 1996, as amended at 62 FR 15424, Apr. 1, 1997 PART 378PROCEDURES GOV-ERNING THE PROCESSING, IN-VESTIGATION, AND DISPOS

5、ITION OF OVERCHARGE, DUPLICATE PAYMENT, OR OVERCOLLECTION CLAIMS Sec. 378.1 Applicability. 378.2 Definitions. 378.3 Filing and processing claims. 378.4 Documentation of claims. 378.5 Investigation of claims. 378.6 Claim records. 378.7 Acknowledgment of claims. 378.8 Disposition of claims. 378.9 Disp

6、osition of unidentified payments, overcharges, duplicate payments, and overcollections not supported by claims. AUTHORITY: 49 U.S.C. 13321, 14101, 14704 and 14705; and 49 CFR 1.73. SOURCE: 43 FR 41040, Sept. 14, 1978, unless otherwise noted. Redesignated at 61 FR 54707, Oct. 21, 1996. 378.1 Applicab

7、ility. The regulations set forth in this part govern the processing of claims for overcharge, duplicate payment, or overcollection for the transportation of property in interstate or foreign com-merce by motor common carriers and household goods freight forwarders subject to 49 U.S.C. subtitle IV, p

8、art B. 43 FR 41040, Sept. 14, 1978, as amended at 51 FR 44297, Dec. 9, 1986; 62 FR 15424, Apr. 1, 1997 378.2 Definitions. (a) Carrier means a motor common carrier or household goods freight for-warder subject to 49 U.S.C. subtitle IV, part B. (b) Overcharge means an overcharge as defined in 49 U.S.C

9、. 14704(b). It also includes duplicate payments as defined in paragraph (c) of this section and overcollections as defined in paragraph (d) of this section when a dispute exists between the parties concerning such charges. (c) Duplicate payment means two or more payments for transporting the same sh

10、ipment. Where one or more payment is not in the exact amount of the applicable tariff rates and charges, refunds shall be made on the basis of the excess amount over the applicable tariff rates and charges. (d) Overcollection means the receipt by a household goods carrier of a pay-ment in excess of

11、the transportation and/or accessorial charges applicable to a particular shipment of household goods, as defined in part 375 of this chapter, under tariffs lawfully on file with the United States Department of Transportations Surface Transpor-tation Board. (e) Unidentified payment means a pay-ment w

12、hich a carrier has received but which the carrier is unable to match with its open accounts receivable or otherwise identify as being due for the performance of transportation services. (f) Claimant means any shipper or re-ceiver, or its authorized agent, filing a request with a carrier for the refu

13、nd of VerDate Mar2010 08:20 Dec 16, 2010 Jkt 220216 PO 00000 Frm 00151 Fmt 8010 Sfmt 8010 Y:SGML220216.XXX 220216jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-142 49 CFR Ch. III (10110 Edition) 378.3 an overcharge,

14、 duplicate payment, or overcollection. 43 FR 41040, Sept. 14, 1978, as amended at 44 FR 66832, Nov. 21, 1979; 51 FR 34989, Oct. 1, 1986; 51 FR 44297, Dec. 9, 1986; 62 FR 15424, Apr. 1, 1997 378.3 Filing and processing claims. (a) A claim for overcharge, duplicate payment, or overcollection shall not

15、 be paid unless filed in writing or elec-tronically communicated (when agreed to by the carrier and shipper or re-ceiver involved) with the carrier that collected the transportation charges. The collecting carrier shall be the car-rier to process all such claims. When a claim is filed with another c

16、arrier that participated in the transportation, that carrier shall transmit the claim to the collecting carrier within 15 days after receipt of the claim. If the col-lecting carrier is unable to dispose of the claim for any reason, the claim may be filed with or transferred to any participating carr

17、ier for final disposi-tion. (b) A single claim may include more than one shipment provided the claim on each shipment involves: (1) The same tariff issue or authority or circumstances, (2) Single line service by the same carrier, or (3) Service by the same interline car-riers. 43 FR 41040, Sept 14,

18、1978, as amended at 47 FR 12804, Mar. 25, 1982 378.4 Documentation of claims. (a) Claims for overcharge, duplicate payment, or overcollection shall be ac-companied by sufficient information to allow the carriers to conduct an inves-tigation and pay or decline the claim within the time limitations se

19、t forth in 378.8. Claims shall include the name of the claimant, its file number, if any, and the amount of the refund sought to be recovered, if known. (b) Except when the original freight bill is not a paper document but is elec-tronically transmitted, claims for overcharge shall be accompanied by

20、 the original freight bill. Additional in-formation may include, but is not lim-ited to, the following: (1) The rate, classification, or com-modity description or weight claimed to have been applicable. (2) Complete tariff authority for the rate, classification, or commodity de-scription claimed. (3

21、) Freight bill payment information. (4) Other documents or data which is believed by claimant to substantiate the basis for its claim. (c) Claims for duplicate payment and overcollection shall be accompanied by the original freight bill(s) for which charges were paid (except when the original freigh

22、t bill is not a paper docu-ment but is electronically transmitted) and by freight bill payment informa-tion. (d) Regardless of the provisions of paragraphs (a), (b), and (c) of this sec-tion, the failure to provide sufficient information and documentation to allow a carrier to conduct an investiga-t

23、ion and pay or decline the claim with-in the allowable time limitation shall not constitute grounds for disallow-ance of the claim. Rather, the carrier shall comply with 378.5(c) to obtain the additional information required. (e) A carrier shall accept copies in-stead of the orginal documents re-qui

24、red to be submitted in this section where the carrier is furnished with an agreement entered into by the claim-ant which indemnifies the carrier for subsequent duplicate claims which might be filed and supported by the original documents. 43 FR 41040, Sept. 14, 1978, as amended at 44 FR 4679, Jan. 2

25、3, 1979; 47 FR 12804, Mar. 25, 1982; 62 FR 15424, Apr. 1, 1997 378.5 Investigation of claims. (a) Upon receipt of a claim, whether written or otherwise, the processing carrier shall promptly initiate an in-vestigation and establish a file, as re-quired by 378.6. (b) If a carrier discovers an over-ch

26、arge, duplicate payment, or over-collection which has not been the sub-ject of a claim, it shall promptly ini-tiate an investigation and comply with the provisions in 378.9. (c) In the event the carrier processing the claim requires information or doc-uments in addition to that submitted with the cl

27、aim, the carrier shall VerDate Mar2010 08:20 Dec 16, 2010 Jkt 220216 PO 00000 Frm 00152 Fmt 8010 Sfmt 8010 Y:SGML220216.XXX 220216jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-143 Federal Motor Carrier Safety Admin

28、istration, DOT 378.9 promptly notify the claimant and re-quest the information required. This includes notifying the claimant that a written or electronically transmitted claim must be filed before the carrier becomes subject to the time limits for settling such a claim under 378.8. 43 FR 41040, Sep

29、t. 14, 1978, as amended at 47 FR 12804, Mar. 25, 1982; 62 FR 15424, 15425, Apr. 1, 1997 378.6 Claim records. At the time a claim is received the carrier shall create a separate file and assign it a successive claim file number and note that number on all documents filed in support of the claim and a

30、ll records and correspondence with re-spect to the claim, including the writ-ten or electronic acknowledgment of receipt required under 378.7. If perti-nent to the disposition of the claim, the carrier shall also note that number on the shipping order and delivery re-ceipt, if any, covering the ship

31、ment in-volved. 47 FR 12804, Mar. 25, 1982, as amended at 62 FR 15425, Apr. 1, 1997 378.7 Acknowledgment of claims. Upon receipt of a written or elec-tronically transmitted claim, the car-rier shall acknowledge its receipt in writing or electronically to the claim-ant within 30 days after the date o

32、f re-ceipt except when the carrier shall have paid or declined in writing or electronically within that period. The carrier shall include the date of receipt in its written or electronic claim which shall be placed in the file for that claim. 47 FR 12804, Mar. 25, 1982 378.8 Disposition of claims. T

33、he processing carrier shall pay, de-cline to pay, or settle each written or electronically communicated claim within 60 days after its receipt by that carrier, except where the claimant and the carrier agree in writing or elec-tronically to a specific extension based upon extenuating circumstances.

34、If the carrier declines to pay a claim or makes settlement in an amount dif-ferent from that sought, the carrier shall notify the claimant in writing or electronically, of the reason(s) for its action, citing tariff authority or other pertinent information developed as a result of its investigation.

35、 47 FR 12804, Mar. 25, 1982 378.9 Disposition of unidentified pay-ments, overcharges, duplicate pay-ments, and overcollections not sup-ported by claims. (a)(1) Carriers shall establish proce-dures for identifying and properly ap-plying all unidentified payments. If a carrier does not have sufficient

36、 infor-mation with which properly to apply such a payment, the carrier shall no-tify the payor of the unidentified pay-ment within 60 days of receipt of the payment and request information which will enable it to identify the payment. If the carrier does not receive the information requested within

37、90 days from the date of the notice, the carrier may treat the unidentified pay-ment as a payment in fact of freight charges owing to it. Following the 90- day period, the regular claims proce-dure under this part shall be applica-ble. (2) Notice shall be in writing and clearly indicate that it is a

38、 final notice and not a bill. Notice shall include: The check number, amount, and date; the payors name; and any additional basic information the carrier is able to pro-vide. The final notice also must inform payor that: (i) Applicable regulations allow the carrier to conditionally re-tain the payme

39、nt as revenue in the ab-sence of a timely response by the payor; and (ii) following the 90-day pe-riod the regular claims procedure shall be applicable. (3) Upon a carriers receipt of infor-mation from the payor, the carrier shall, within 14 days: (i) Make a com-plete refund of such funds to the pay

40、or; or (ii) notify the payor that the infor-mation supplied is not sufficient to identify the unapplied payment and re-quest additional information; or (iii) notify the payor of the carriers deter-mination that such payment was appli-cable to particular freight charges law-fully due the carrier. Whe

41、re no refund is made by the carrier, the carrier shall advise the payor of its right to file a formal claim for refund with the car-rier in accordance with the regular claims procedure under this part. VerDate Mar2010 08:20 Dec 16, 2010 Jkt 220216 PO 00000 Frm 00153 Fmt 8010 Sfmt 8010 Y:SGML220216.X

42、XX 220216jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-144 49 CFR Ch. III (10110 Edition) Pt. 379 (b) When a carrier which participates in a transportation movement, but did not collect the transporation charges, f

43、inds that an overpayment has been made, that carrier shall immediately notify the collecting carrier. When the collecting carrier (when single or joint line haul) discovers or is notified by such a participating carrier that an overcharge, duplicate payment, or overcollection exists for any tranport

44、ation charge which has not been the subject of a claim, the carrier shall create a file as if a claim had been submitted and shall record in the file the date it discovered or was noti-fied of the overpayment. The carrier that collected the charges shall then refund the amount of the overpayment to

45、the person who paid the transpor-tation charges or to the person that made duplicate payment within 30 days from the date of such discovery or noti-fication. 43 FR 41040, Sept. 14, 1978, as amended at 44 FR 66832, Nov. 21, 1979 PART 379PRESERVATION OF RECORDS Sec. 379.1 Applicability. 379.3 Records

46、required to be retained. 379.5 Protection and storage of records. 379.7 Preservation of records. 379.9 Companies going out of business. 379.11 Waiver of requirements of the regula-tions in this part. 379.13 Disposition and retention of records. APPENDIX A TO PART 379SCHEDULE OF RECORDS AND PERIODS O

47、F RETENTION AUTHORITY: 49 U.S.C. 13301, 14122 and 14123; and 49 CFR 1.73. SOURCE: 62 FR 32044, June 12, 1997, unless otherwise noted. EDITORIAL NOTE: Nomenclature changes to part 379 appear at 66 FR 49871, Oct. 1, 2001. 379.1 Applicability. (a) The preservation of record rules contained in this part

48、 shall apply to the following: (1) Motor carriers and brokers; (2) Water carriers; and (3) Household goods freight for-warders. (b) This part applies also to the pres-ervation of accounts, records and memoranda of traffic associations, weighing and inspection bureaus, and other joint activities main

49、tained by or on behalf of companies listed in para-graph (a) of this section. 379.3 Records required to be re-tained. Companies subject to this part shall retain records for the minimum reten-tion periods provided in appendix A to this part. After the required retention periods, the records may be destroyed at the discretion of each companys management. It shall be the obligation of the subject company to maintain records t