Regulations Governing Fees for Services Performed in Connection With Licensing and Related Services1996 Update

DEPARTMENT OF TRANSPORTATION

Surface Transportation Board

49 CFR Part 1002

[STB Ex Parte No. 542]

Regulations Governing Fees for Services Performed in Connection

With Licensing and Related Services--1996 Update

AGENCY: Surface Transportation Board.

ACTION: Final rules.

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SUMMARY: In compliance with its fee update regulations, the Surface

Transportation Board (Board) adopts its 1996 User Fee Update and

revises its fee schedule at this time to recover the costs associated

with providing services to the public.

EFFECTIVE DATE: September 16, 1996.

FOR FURTHER INFORMATION CONTACT: Kathleen M. King, (202) 927-5249 or

David T. Groves, (202) 927-6395. [TDD for the hearing impaired: (202)

927-5721.]

SUPPLEMENTARY INFORMATION: The Board's regulations in 49 CFR 1002.3

require the Board to update its user fee schedule annually. By notice

of proposed rulemaking published on April 5, 1996, at 61 FR 15208, the

Board requested comments on its 1996 proposed fee schedule. Upon

reviewing the comments, the Board is adopting the proposed fee schedule

with the following modifications: (1) Fee Item (27)--Trails use

requests is established at $150; (2) Fee Item (47)--National Railroad

Passenger Corporation conveyance proceeding is established at $150; (3)

Fee Item (48)--National Railroad Passenger Corporation compensation

proceeding is established at $150; (4) Fee Item (56)(i)--Formal

complaints filed under the coal rate guidelines is tentatively set at

$23,300, Fee Item (56)(ii)--All other formal complaints is tentatively

set at $2,300; 1 (5) Fee Item (58)(i)--A petition for declaratory

order involving an existing rate or practice remains at $1,000, and Fee

Item (58)(ii)--All other petitions for declaratory order remains at

$1,400; (6) Fee Item (61)--Appeals to Board decisions and petitions to

revoke an exemption is established at $150; and (7) Fee Item (62)--

Motor carrier undercharge proceeding is established at $150. In

addition, Fee Item (12)--Petition

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\1\ Fee items 56(i) and 56(ii) are currently the subject of

legislative debate. Therefore, these items are being set

tentatively, but will not take effect at this time. The Board will

issue a further decision addressing these items after the

legislative debate is concluded. In the meantime, they will remain

at $1,000 each in the Board's fee schedule.

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[[Page 42191]]

for exemption involving construction of a rail line is modified so that

the $41,700 fee also applies to construction applications.

We note that in Class Exemption For Acquisition or Operation of

Rail Lines By Class III Rail Carriers Under 49 U.S.C. 10902, STB Ex

Parte No. 529, published in the Federal Register on June 24, 1996 at 61

FR 32355, the Board adopted Fee Item 36, Notice of exemption under 49

CFR 1150.41-1150.45, with a fee of $950. To be consistent with the

revisions that are being made to the fee schedule in this proceeding,

that fee item will be renumbered as Fee Item 14(ii) and the fee item

[proposed Fee Item 14(ii)] for petition for exemption under 49 U.S.C.

10502 relating to an exemption from the provisions of 49 U.S.C. 10902

will be renumbered as Fee Item 14(iii).

The Board also adopts the proposed modifications to update these

regulations to reflect the recent enactment of the ICC Termination Act

of 1995, Pub. L. No. 104-88, 109 Stat. 803.

The Board certifies that the fee changes adopted here will not have

a significant economic impact on a substantial number of small entities

because the modifications made in these rules and the Board's

regulations in 49 CFR 1002.2(e) provide for waiver of filing fees for

those entities which can make the required showing of financial

hardship.

Additional information is contained in the Board's decision. To

obtain a copy of the full decision, write, call, or pick up in person

from DC News & Data, Inc., Room 2229, 1201 Constitution Ave. NW.,

Washington, DC 20423. Telephone: (202) 289-4357/4359. [Assistance for

the hearing impaired is available through TDD services (202) 927-5721.]

List of Subjects in 49 CFR Part 1002

Administrative practice and procedure, Common carriers, Freedom of

information, User fees.

Decided: August 2, 1996.

By the Board, Chairman Morgan, Vice Chairman Simmons, and

Commissioner Owen.

Vernon A. Williams,

Secretary.

For the reasons set forth in the preamble, title 49, chapter X,

part 1002, of the Code of Federal Regulations is amended as follows:

PART 1002--FEES

1. The authority citation for part 1002 continues to read as

follows:

Authority: 5 U.S.C. 552(a)(4)(A) and 553; 31 U.S.C. 9701 and 49

U.S.C. 721(a).

Sec. 1002.1 [Amended]

2. Section 1002.1 is amended as follows:

a. In the introductory paragraph remove the words ``Interstate

Commerce Commission'' and add in their place the words ``Surface

Transportation Board''.

b. In paragraph (e)(2) remove the word ``Commission's'' and add in

its place the word ``Board's''; remove the words ``Section of Systems

Development, Interstate Commerce Commission,'' and add in their place

the words ``System Services Branch, Surface Transportation Board,''.

c. In paragraph (f)(11) remove the word ``Commission's'' and add in

its place the word ``Board's''.

d. In the concluding text of paragraph (f)(14) remove the phrase

``ICC's Freedom of Information Office, 12th and Constitution Avenue

N.W. Room 3132, Washington, DC 20423.'' and add in their place the

words ``Surface Transportation Board's Freedom of Information Office,

Washington, DC 20423.''.

e. In paragraph (g) remove the words ``Interstate Commerce

Commission,'' and in their place add the words ``Surface Transportation

Board,''.

f. In paragraph (h) remove the word ``Commission's'' and in its

place add the word ``Board's''; remove the words ``Interstate Commerce

Commission,'' and in their place add the words ``Surface Transportation

Board,''

g. Paragraphs (b), (e)(1) and the chart in paragraph (f)(6) are

revised to read as follow:

Sec. 1002.1 Fees for records search, review, copying, certification,

and related services.

* * * * *

(b) Service involved in examination of tariffs or schedules for

preparation of certified copies of tariffs or schedules or extracts

therefrom at the rate of $24.00 per hour.

* * * * *

(e) * * *

(1) A fee of $42.00 per hour for professional staff time will be

charged when it is required to fulfill a request for ADP data.

* * * * *

(f) * * *

(6) * * *

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Grade Rate

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GS-1.......................................................... $7.13

GS-2.......................................................... 7.76

GS-3.......................................................... 8.75

GS-4.......................................................... 9.82

GS-5.......................................................... 10.99

GS-6.......................................................... 12.25

GS-7.......................................................... 13.61

GS-8.......................................................... 15.07

GS-9.......................................................... $16.65

GS-10......................................................... 18.33

GS-11......................................................... 20.14

GS-12......................................................... 24.14

GS-13......................................................... 28.71

GS-14......................................................... 33.93

GS-15 and over................................................ 39.91

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* * * * *

Sec. 1002.2 [Amended]

3. Section 1002.2 is amended as follows:

a. In paragraph (a)(2) introductory text remove the word

``Commission's'' and add in its place the word ``Board's''.

b. In paragraph (a)(2)(ii) after the words ``Debt Collection Act''

add the words ``of 1982'', remove the word ``Commission's'' and add in

its place the word ``Board's''.

c. In paragraph (a)(2)(iii) remove the words ``room 1330,

Interstate Commerce Commission, Washington, DC 20423:'' and add in

their place the words ``Surface Transportation Board, Washington,

DC:''.

d. In paragraph (a)(3) remove the words ``Interstate Commerce

Commission'' and add in their place the words ``Surface Transportation

Board''.

e. In paragraphs (b), (c), and (d)(4) remove the word

``Commission'' wherever it appears and add in its place the word

``Board''.

f. In paragraph (e), the heading, remove the first ``of'' and add

in its place the word ``or''. Also, in the introductory text,

paragraphs (e)(2), (e)(2)(i), and in the heading of paragraph

(e)(2)(iii) remove the word ``Commission'' and add in its place the

word ``Board''.

g. In paragraphs (g)(1), (g)(1)(ii), (g)(1)(iii) and (g)(2) remove

the word ``Commission'' wherever it appears and add in its place the

word ``Board''.

h. In Sec. 1002.2, paragraphs (a)(1), (d), and (f) are revised to

read as follows:

Sec. 1002.2 Filing fees.

(a) Manner of payment. (1) Except as specified in this section, all

filing fees will be payable at the time and place the application,

petition, notice, tariff, contract summary, or other document is

tendered for filing. The filing fee for tariffs, including schedules,

and contracts summaries including supplements (Item 78) may be charged

to tariff filing fee accounts established by the Board in accordance

with paragraph (a)(2) of this section.

* * * * *

(d) Related or consolidated proceedings. (1) Separate fees need not

be paid for related applications filed by the same applicant which

would be the subject of one proceeding.

[[Page 42192]]

(2) A separate fee will be assessed for the filing of an

application for temporary authority to operate a motor carrier of

passengers as provided for in paragraph (f)(5) of this section

regardless of whether such application is related to a corresponding

transfer proceeding as provided for in paragraph (f)(2) of this

section.

(3) The Board may reject concurrently filed applications,

petitions, notices, contracts, or other documents asserted to be

related and refund the filing fee if, in its judgment, they embrace two

or more severable matters which should be the subject of separate

proceedings.

* * * * *

(f) Schedule of filing fees.

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Type of proceeding Fee

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Part I: Non-Rail Applications or

Proceedings to Enter Upon a Particular

Financial Transaction or Joint

Arrangement:

(1) An application for the pooling or $2,400.

division of traffic.

(2) An application involving the $1,100.

purchase, lease, consolidation,

merger, or acquisition of control of a

motor carrier of passengers under 49

U.S.C. 14303.

(3) An application for approval of a $15,400.

non-rail rate association agreement.

49 U.S.C. 13706.

(4) An application for approval of an

amendment to a non-rail rate

association agreement:

(i) Significant amendment.......... $2,500.

(ii) Minor amendment............... $50.

(5) An application for temporary $250.

authority to operate a motor carrier

of passengers. 49 U.S.C. 14303(i).

(6)-(10) [Reserved]

Part II: Rail Licensing Proceedings other

than Abandonment or Discontinuance

Proceedings:

(11) (i) An application for a $4,000.

certificate authorizing the extension,

acquisition, or operation of lines of

railroad. 49 U.S.C. 10901.

(ii) Notice of exemption under 49 $1,000.

CFR 1150.31-1150.35.

(iii) Petition for exemption under $7,000.

49 U.S.C. 10502 (except petitions

involving construction of a rail

line).

(12) An application or a petition for $41,700.

exemption under 49 U.S.C. 10502

involving the construction of a rail

line.

(13) A Feeder Line Development Program $2,600.

application filed under 49 U.S.C.

10907(b)(1)(A)(i) or

10907(b)(1)(A)(ii).

(14) (i) An application of a class II $3,400

or class III carrier to acquire an

extended or additional rail line under

49 U.S.C. 10902..

(ii) Notice of exemption under 49 $950.

CFR 1150.41-1150.45.

(iii) Petition for exemption under $3,700.

49 U.S.C. 10502 relating to an

exemption from the provisions of

49 U.S.C. 10902.

(15) A notice of a modified certificate $950.

of public convenience and necessity

under 49 CFR 1150.21-1150.24.

(16)-(20) [Reserved]

Part III: Rail Abandonment or

Discontinuance of Transportation Services

Proceedings:

(21) (i) An application for authority $12,400.

to abandon all or a portion of a line

of railroad or discontinue operation

thereof filed by a railroad (except

applications filed by Consolidated

Rail Corporation pursuant to the

Northeast Rail Service Act [Subtitle E

of Title XI of Pub. L. 97-35],

bankrupt railroads, or exempt

abandonments).

(ii) Notice of an exempt $2,000.

abandonment or discontinuance

under 49 CFR 1152.50.

(iii) A petition for exemption $3,500.

under 49 U.S.C. 10502.

(22) An application for authority to $250.

abandon all or a portion of a line of

a railroad or operation thereof filed

by Consolidated Rail Corporation

pursuant to Northeast Rail Service Act.

(23) Abandonments filed by bankrupt $1,000.

railroads.

(24) A request for waiver of filing $1,000.

requirements for abandonment

application proceedings.

(25) An offer of financial assistance $900.

under 49 U.S.C. 10904 relating to the

purchase of or subsidy for a rail line

proposed for abandonment.

(26) A request to set terms and $12,700.

conditions for the sale of or subsidy

for a rail line proposed to be

abandoned.

(27) A request for a trail use $150.

condition in an abandonment proceeding

under 16 U.S.C. 1247(d).

(28)-(35) [Reserved]

Part IV: Rail Applications to Enter Upon a

Particular Financial Transaction or Joint

Arrangement:

(36) An application for use of terminal $10,600.

facilities or other applications under

49 U.S.C. 11102.

(37) An application for the pooling or $5,700.

division of traffic. 49 U.S.C. 11322.

(38) An application for two or more

carriers to consolidate or merge their

properties or franchises (or a part

thereof) into one corporation for

ownership, management, and operation

of the properties previously in

separate ownership. 49 U.S.C. 11324:

(i) Major transaction.............. $830,500.

(ii) Significant transaction....... $166,100.

(iii) Minor transaction............ $3,400.

(iv) Notice of an exempt $950.

transaction under 49 CFR 1180.2(d).

(v) Responsive application......... $3,400.

(vi) Petition for exemption under $5,200.

49 U.S.C. 10502.

(39) An application of a non-carrier to

acquire control of two or more

carriers through ownership of stock or

otherwise. 49 U.S.C. 11324:

(i) Major transaction.............. $830,500.

(ii) Significant transaction....... $166,100.

(iii) Minor transaction............ $3,400.

(iv) A notice of an exempt $750.

transaction under 49 CFR 1180.2(d).

(v) Responsive application......... $3,400.

(vi) Petition for exemption under $5,200.

49 U.S.C. 10502.

(40) An application to acquire trackage

rights over, joint ownership in, or

joint use of any railroad lines owned

and operated by any other carrier and

terminals incidental thereto. 49

U.S.C. 11324:

(i) Major transaction.............. $830,500.

(ii) Significant transaction....... $166,100.

(iii) Minor transaction............ $3,400.

(iv) Notice of an exempt $650.

transaction under 49 CFR 1180.2(d).

(v) Responsive application......... $3,400.

[[Page 42193]]

(vi) Petition for exemption under $5,200.

49 U.S.C. 10502.

(41) An application of a carrier or

carriers to purchase, lease, or

contract to operate the properties of

another, or to acquire control of

another by purchase of stock or

otherwise. 49 U.S.C. 11324:

(i) Major transaction.............. $830,500.

(ii) Significant transaction....... $166,100.

(iii) Minor transaction............ $3,400.

(iv) Notice of an exempt $800.

transaction under 49 CFR 1180.2(d).

(v) Responsive application......... $3,400.

(vi) Petition for exemption under $3,700.

49 U.S.C. 10502.

(42) Notice of a joint project $1,300.

involving relocation of a rail line

under 49 CFR 1180.2(d)(5).

(43) An application for approval of a $39,000.

rail rate association agreement. 49

U.S.C. 10706.

(44) An application for approval of an

amendment to a rail rate association

agreement. 49 U.S.C. 10706:

(i) Significant amendment.......... $7,200.

(ii) Minor amendment............... $50

(45) An application for authority to $400.

hold a position as officer or director

under 49 U.S.C. 11328.

(46) A petition for exemption under 49 $4,400.

U.S.C. 10502 (other than a rulemaking)

filed by rail carrier not otherwise

covered.

(47) National Railroad Passenger $150.

Corporation (Amtrak) conveyance

proceeding under 45 U.S.C. 562.

(48) National Railroad Passenger $150.

Corporation (Amtrak) compensation

proceeding under Section 402(a) of the

Rail PassengerService Act.

(49)-(55) [Reserved]

Part V: Formal Proceedings:

(56) A formal complaint alleging

unlawful rates or practices of rail

carriers, motor carriers of passengers

or motor carriers of household goods:

(i) A formal complaint filed under $1,000.

the coal rate guidelines (Stand-

Alone Cost Methodology) alleging

unlawful rates and/or practices of

rail carriers under 49 U.S.C.

10704(c)(1).

(ii) All other formal complaints... $1,000.

(57) A complaint seeking or a petition $4,900.

requesting institution of an

investigation seeking the prescription

or division of joint rates, or

charges. 49 U.S.C. 10705.

(58) A petition for declaratory order:

(i) A petition for declaratory $1,000.

order involving a dispute over an

existing rate or practice which is

comparable to a complaint

proceeding.

(ii) All other petitions for $1,400.

declaratory order.

(59) An application for shipper $3,900.

antitrust immunity. 49 U.S.C.

10706(a)(5)(A).

(60) Labor arbitration proceedings..... $7,600.

(61) Appeals to a Surface $150.

Transportation Board decision and

petitions to revoke an exemption

pursuant to 49 U.S.C. 10502(d).

(62) Motor carrier undercharge $150.

proceedings.

(63)-(75) [Reserved]

Part VI: Informal Proceedings:

(76) An application for authority to $650.

establish released value rates or

ratings for motor carriers and freight

forwarders of household goods under 49

U.S.C. 14706.

(77) An application for special $70.

permission for short notice or the

waiver of other tariff publishing

requirements.

(78) (i) The filing of tariffs, $1 per page. ($13 minimum

including supplements, or contract charge).

summaries.

(ii) Tariffs transmitted by fax.... $1 per page.

(79) Special docket applications from

rail and water carriers:

(i) Applications involving $25,000 $40.

or less.

(ii) Applications involving over $80.

$25,000.

(80) Informal complaint about rail rate $300.

applications.

(81) Tariff reconciliation petitions

from motor common carriers:

(i) Petitions involving $25,000 or $40.

less.

(ii) Petitions involving over $80.

$25,000.

(82) Request for a determination of the $100.

applicability or reasonableness of

motor carrier rates under 49 U.S.C.

13710(a) (2) and (3).

(83) Filing of documents for $22 per document.

recordation. 49 U.S.C. 11301 and 49

CFR 1177.3(c).

(84) Informal opinions about rate $100.

applications (all modes).

(85) A railroad accounting $600.

interpretation.

(86) An operational interpretation..... $800.

(87)-(95) [Reserved]

Part VII: Services:

(96) Messenger delivery of decision to $17 per delivery.

a railroad carrier's Washington, DC,

agent.

(97) Request for service or pleading $13 per list.

list for proceedings.

(98) (i) Processing the paperwork $150.

related to a request for the Carload

Waybill Sample to be used in a Surface

Transportation Board or State

proceeding that does not require a

Federal Register notice.

(ii) Processing the paperwork $350.

related to a request for Carload

Waybill Sample to be used for

reasons other than a Surface

Transportation Board or State

proceeding that requires a Federal

Register notice.

(99) (i) Application fee for the $100

Surface Transportation Board's

Practitioners' Exam.

(ii) Practitioners' Exam $25.

Information Package.

(100) Uniform Railroad Costing System

(URCS) software and information:

(i) Initial PC version URCS Phase $50.

III software program and manual.

(ii) Updated URCS PC version Phase $10.

III cost file, if computer disk

provided by requestor.

(iii) Updated URCS PC version Phase $20.

III cost file, if computer disk

provided by the Board.

(iv) Public requests for Source $500.

Codes to the PC version URCS Phase

III.

[[Page 42194]]

(v) PC version or mainframe version $400.

URCS Phase II.

(vi) PC version or mainframe $50.

version Updated Phase II databases.

(vii) Public requests for Source $1,500.

Codes to PC version URCS Phase II.

(101) Carload Waybill Sample data on

recordable compact disk (R-CD):

(i) Requests for Public Use File on $450.

R-CD--First Year.

(ii) Requests for Public Use File $150.

on R-CD Each Additional Year.

(iii) Waybill--Surface $650.

Transportation Board or State

proceedings on R-CD--First Year.

(iv) Waybill--Surface $450.

Transportation Board or State

proceedings on R-CD--Second Year

on same R-CD.

(v) Waybill--Surface Transportation $500.

Board of State proceeding on R-CD--

Second Year on different R-CD.

(vi) User Guide for latest $50.

available Carload Waybill Sample.

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Sec. 1002.3 [Amended]

4. Section Sec. 1002.3 is amended as follows:

a. In paragraph (a) remove the word ``Commission'' and add in its

place the word ``Board''.

b. In paragraph (d)(1) remove the word ``Commission'' and add in

its place the word ``Board''; remove the phrase ``the Commission's FY

1983-1984 User Fee Cost Study.'' and add in its place the phrase ``the

cost study set forth in Revision of Fees For Services, 1 I.C.C.2d 60

(1984) or subsequent cost studies.''.

c. In paragraph (d)(3)(i) remove the words ``and Bureaus''

following the words ``the Offices''.

d. In paragraph (d)(3)(ii) remove the word ``Commission'' wherever

it appears and add in its place the word ``Board''.

e. In paragraph (d)(4) add a period after the words ``Federal

Register'' and remove the remainder of the sentence.

[FR Doc. 96-20647 Filed 8-13-96; 8:45 am]

BILLING CODE 4915-00-P