Registration of For-Hire Motor Carriers, Property Brokers, and Freight Forwarders

DEPARTMENT OF TRANSPORTATION

Federal Highway Administration

49 CFR Parts 365, 385, and 387

[FHWA Docket No. FHWA-97-2709]

RIN 2125-AE01

Registration of For-Hire Motor Carriers, Property Brokers, and

Freight Forwarders

AGENCY: Federal Highway Administration [FHWA], DOT.

ACTION: Notice of proposed rulemaking; request for comments.

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SUMMARY: The FHWA proposes to adopt interim rules governing

registration of for-hire motor property and passenger carriers,

property brokers, and freight forwarders. The interim rules are

required by 49 U.S.C. 13901-13905, provisions of the Interstate

Commerce Commission Termination Act of 1995 (ICCTA), Pub. L. 104-88,

109 Stat. 803, that mandate a registration system to be administered by

the Secretary of Transportation to replace the former Interstate

Commerce Commission's licensing system for motor carriers, property

brokers, and freight forwarders. It is anticipated that these interim

rules would be used until the FHWA completes the rulemaking required by

49 U.S.C.13908 which is currently underway.

DATES: Comments must be received on or before April 14, 1998.

ADDRESSES: Submit written, signed comments to the docket number that

appears in the heading of this document to the Docket Clerk, U.S. DOT

Dockets, Room PL-401, 400 Seventh Street, SW., Washington, DC 20590-

0001. All comments received will be available for examination at the

above address between 10 a.m. and 5 p.m., e.t., Monday through Friday,

except Federal holidays. Those desiring notification of receipt of

comments must include a self-addressed, stamped envelope or postcard.

FOR FURTHER INFORMATION CONTACT: For information regarding rulemaking

and operational issues: Patricia Burke, Office of Motor Carrier

Information Analysis, (202) 358-7028; and for information regarding

legal issues: Michael Falk, Office of Chief Counsel, (202) 366-0834,

Federal Highway Administration, Department of Transportation, 400

Seventh Street, SW., Washington, DC 20590.

SUPPLEMENTARY INFORMATION:

Electronic Access

Internet users can access all comments received by the U.S. DOT

Dockets, Room PL-401, by using the universal resource locator (URL):

http://dms.dot.gov. It is available 24 hours each day, 365 days each

year. Please follow the instructions online for more information and

help.

An electronic copy of this document may be downloaded using a modem

and suitable communications software from the Federal Register

Electronic Bulletin Board Service at (202) 512-1661. Internet users may

reach the Federal Register's home page at: http://www.nara.gov/nara/

fedreg and the Government Printing Office's database at: http://

www.access.gpo.gov/su__docs.

Statutory Background

The ICCTA eliminates the Interstate Commerce Commission (ICC),

transfers certain ICC functions to the Department of Transportation,

and, as particularly pertinent, at 49 U.S.C. 13901-13905, establishes a

registration system to replace the licensing system previously

administered by the ICC. The ICCTA requires that for-hire motor

property and passenger carriers, property brokers, and freight

forwarders operating in interstate or foreign commerce must register

with the Secretary of Transportation (the Secretary) to provide such

transportation or related services. The ICCTA further directs the

Secretary to register such entities when minimum prescribed criteria

are met.

Under 49 U.S.C. 13908, the Secretary, in cooperation with the

States and after notice and opportunity for public comment, is directed

to issue regulations to replace this registration system, as well as

DOT's current identification number system (see 49 CFR 385.21), the

single State registration system prescribed by 49 U.S.C. 14504, and the

financial responsibility information system prescribed by 49 U.S.C.

13906, with a single, on-line Federal system. The new system envisioned

by section 13908 is intended to ``serve as a clearinghouse and

depository of information on and identification of all foreign and

domestic motor carriers, brokers, and freight forwarders, and others

required to register with (DOT) as well as information on safety

fitness and compliance with required levels of financial

responsibility.''

The ICCTA makes clear that the registration system prescribed in 49

U.S.C. 13901-13905 is intended only as a temporary, stand-alone

procedure while DOT undertakes to design and implement the revised

identification

[[Page 7363]]

and safety oversight system as directed by Congress. In an advance

notice of proposed rulemaking (ANPRM), FHWA Docket No. MC-96-25 (FHWA

97-2349), Motor Carrier Replacement/Information System, 61 FR 43816

(August 26, 1996), the FHWA initiated the process required by section

13908 to develop a single, on-line Federal system. The ANPRM invited

comments from interested persons and entities concerning the four

information systems that potentially could be embraced by the single

system envisioned by section 13908. The ANPRM solicited responses to

specific questions and, in particular, expressly invited comments on

any necessary and appropriate changes to the registration system

established by the ICCTA and whether and how it should be modified to

contribute most effectively to the integrated system envisioned.

Comments received in response to the ANPRM currently are being

evaluated with a view toward developing a specific proposal as

contemplated by section 13908.

Procedural Background

Since the ICCTA's implementation date, the FHWA has been processing

registration requests submitted by motor property and passenger

carriers, property brokers, and freight forwarders, generally under the

licensing regulations of the former ICC, previously codified at 49 CFR

part 1160, redesignated as 49 CFR part 365 at 61 FR 54706 (October 21,

1996). To accommodate registration requests in this process, the FHWA

has been using the former ICC's application forms with minimal

revisions to reflect the ICCTA's jurisdictional changes. This approach

is consistent with section 204 of the ICCTA which preserves all ICC

regulations, orders, decisions, and authorities that remain viable

after enactment of the new law. On April 1, 1996, at 61 FR 14372, the

FHWA adopted, in general, all viable ICC rules and decisions until such

time as changes are warranted.

Under that general adoption principal, the FHWA has had ample

occasion to review registration requests submitted under the former

ICC's application procedures. The experience using the redesignated

part 365 rules suggests the need for further refinement of the former

ICC's regulations, procedures, and application forms on an interim

basis to accommodate a registration system as is now temporarily in

place rather than a licensing scheme for which they originally were

developed.

In addition, the rulemaking initiated by today's NPRM embraces

issues raised in petitions to reopen the ICC proceedings in which the

original part 1160 rules were developed, Ex Parte No. 55 (Sub-No. 94)

and Ex Parte No. 55 (Sub-No. 86), consolidated in 10 I.C.C.2d 386

(1994). The interim rules and application forms proposed here have been

developed with attention to those reopening petitions filed by the

American Bus Association (ABA) and the Transportation Lawyers

Association Committee on Federal Agency Practice (TLA), supported by

the American Insurance Association (AIA). The petitions were pending

before the ICC at the time of its termination and, accordingly, were

transferred to the FHWA for disposition.

The FHWA advises petitioners that their petitions and comments will

be considered in this rulemaking to the extent that they are relevant

to the registration system. Accordingly, the petitions and comments

that have been submitted by the TLA, the ABA, and the AIA in response

to the licensing rules issued by the former ICC will be placed in this

docket and considered as part of this rulemaking. In addition, these

parties are invited to amend their existing petitions or to submit

further comments as they deem appropriate.

Statutory and Procedural Parameters for Registration

In this NPRM, the FHWA proposes to adopt revisions to the

registration procedures and requirements as interim rules and proposes

corresponding changes to the registration application forms and

registration review and notification procedures. These revisions are

intended to produce a simplified registration process consistent with

the ICCTA, to accommodate other recent statutory changes that relate to

the registration process (such as specialized considerations for

certain registrant categories), and to consider relevant issues raised

by the TLA and the ABA in their petitions to reopen the proceedings on

which the former part 1160, now part 365, regulations are premised.

Given the generally simplified approach of the regulations now

codified at part 365, the intended transitional nature of the

registration system envisioned by the ICCTA, and the fact that the

system may be altered significantly in the proceeding mandated by 49

U.S.C. 13908, the FHWA is attempting to avoid unnecessary or premature

regulatory changes in this interim period. Accordingly, the part 365

interim rules proposed here essentially parallel the former part 1160

procedures to the extent they are compatible with the registration

system mandated by the ICCTA.

The ICCTA's registration parameters permit some further

streamlining, simplification, and modification of the rules and

application forms at this interim stage. Most of the revisions proposed

here are necessary to implement the statutorily prescribed registration

system consistently and effectively among all affected transportation

modes. Certain of the proposed procedural and information-gathering

revisions would permit the FHWA to align and integrate more effectively

the registration fitness and general safety screenings that now are

housed within the FHWA. For example, the proposed coordinated

submission of the MCS-150 forms with the registration applications

would ensure that safety performance information would start accruing

immediately with respect to even the newest registrant.

Certain other proposed procedural revisions are not statutorily

prescribed, but derive from the FHWA's interest in administering the

registration system in a manner that takes realistic account of

industry norms and practices. The proposed extension of registration

compliance time frames is so motivated. Finally, the proposed interim

rules and registration forms also incorporate several new explanatory

references and/or certification devices that are designed to best

accommodate statutory changes affecting specific registrant categories.

The expanded information directed to publicly funded passenger carriers

and carriers or freight forwarders of household goods is representative

of this approach.

Scope of Registration Obligation

With one significant revision discussed below, the FHWA's

registration jurisdiction over motor carriers, property brokers, and

freight forwarders essentially corresponds with that of the former ICC.

All persons or commercial entities providing for-hire motor carrier

transportation of property or passengers or forwarding or brokerage of

property in interstate or foreign commerce are required to register

with the FHWA pursuant to 49 U.S.C. 13901 et seq.

As specifically concerns freight forwarders, the ICCTA includes a

registration provision at 49 U.S.C. 13903 that represents an expansion

of the FHWA's jurisdiction as compared with the former ICC's licensing

jurisdiction under the predecessor provision at 49 U.S.C. 10923. The

ICCTA requires registration of both forwarders of general freight and

household goods. See FHWA Docket No. MC-96-43

[[Page 7364]]

(notice of proposed rulemaking, 62 FR 4096, January 28, 1997).

For licensing and most other purposes, the ICC's jurisdiction over

freight forwarders had been limited to the household goods segment of

the forwarding industry by the Surface Freight Forwarder Deregulation

Act of 1986, Pub. L. 99-521, 100 Stat. 2993 (October 22, 1986).

Consistent with the ICCTA's expansion of registration jurisdiction to

all interstate, for-hire surface freight forwarders, the freight

forwarder industry expressly is advised of its revised registration and

compliance obligations. All freight forwarders of general commodities,

as well as household goods, are required to register their operations

with the FHWA by filing Form OP-1(FF). This registration obligation

extends, not only to new forwarder entrants, but also to those general

commodities freight forwarders that previously held ICC authority

mooted by the Surface Freight Forwarder Deregulation Act of 1986 and

those forwarders previously issued authority by the former ICC

restricted to the forwarding of household goods, but that also forward

general freight.

The FHWA now is accepting and will continue to process registration

applications on behalf of such entities. The interim rules and revised

Form OP-1(FF) application proposed here would reflect the expansion of

jurisdiction to general commodities forwarders.

We note that 49 U.S.C. 13541(a) provides that the Secretary shall

exempt entities from the statutory provisions governing interstate

transportation by motor carriers, property brokers, and freight

forwarders upon a finding that application of an involved provision is

not necessary to carry out the transportation policy of section 13101,

is not necessary to protect shippers from the abuse of market power or

that the involved transaction or service is of limited scope, and that

such action is in the public interest. This exemption authority,

however, is limited by the subsection 13541(e) provision that it not be

used to relieve a person from the application of and compliance with

any law, rule, regulation, standard, or order pertaining, as pertinent

here, to insurance and safety fitness.

In view of the 49 U.S.C. 13541 exemption provisions, we

specifically invite comments on whether the FHWA should consider

relieving certain entities from specific interim registration

requirements proposed here. In particular, we would like to receive

views on the advisability of exempting from certain registration

requirements, to the extent permitted under 49 U.S.C. 13541(e),

specific transportation industry segments (e.g., general commodity

freight forwarders or transit operators that receive grants under 49

U.S.C. 5307, 5310, or 5311 as discussed subsequently in this notice).

The FHWA will consider any comments received on this issue to assess

the extent, if any, to which relief from particular registration

requirements might be available and feasible under 49 U.S.C. 13541 or,

alternatively, to evaluate the need for further legislative action to

achieve meaningful relief in this area.

Interim Rules. The proposed interim rules are set forth below. For

the most part they would provide for changes to the former part 1160

regulations only where necessary to render the registration process

fully consistent with that mandated by the ICCTA. Essentially, they

would represent a continuation of the procedures that have been

followed under section 204 of the ICCTA's general adoption provisions

since the FHWA initiated its registration responsibilities on January

1, 1996. To the limited extent that more significant changes to the

registration rules or procedures are proposed (e.g., provisions for

integrating with the registration process transfers of ownership and

submission of the MCS-150 forms), they either are mandated by

jurisdictional changes in the new statute or are necessary to realize

the full efficiencies inherent in the FHWA's unified registration and

safety compliance monitoring.

As previously noted, however, comments received will be accorded

full consideration with a view toward ensuring that the registration

process is in keeping with the terms of the ICCTA and is consistent

with administrative resources and other program elements within the

FHWA's purview, particularly safety compliance. In addition, comments

will assist the FHWA as it continually evaluates the effectiveness and

responsiveness of the interim registration process in developing the

single, on-line Federal replacement system mandated by 49 U.S.C. 13908.

Commenters are urged to formulate their responses to this

proceeding with a view toward the interim nature of the involved rules.

Although the rules proposed here are subject to full notice and comment

procedures, interested participants should be aware that the FHWA

intends to deal with such issues as the pre-registration safety fitness

certification methodology in its rulemaking under 49 U.S.C. 13908.

Interim forms. With the exception of Mexican owned or controlled

property carriers, all domestic and foreign for-hire motor property

carriers and property brokers are required to file the Form OP-1

registration application form. All domestic and foreign for-hire motor

passenger carriers are required to file the Form OP-1(P) registration

application form. Freight forwarders of general commodities and

household goods are required to file the form OP-1(FF) registration

application form.

The FHWA is in the process of developing registration rules and

procedures specifically applicable to Mexican carriers. Until such time

as those rules are implemented, the interim registration rules proposed

here would be applicable to Mexican carriers as follows:

(1) Mexican owned or controlled carriers that transport property

(including otherwise exempt items) in foreign commerce between the

U.S.-Mexico border and points in California, Arizona, New Mexico, and

Texas, and Mexican owned or controlled enterprises established in the

United States to transport international cargo in foreign commerce,

subject to special provisions of the North American Free Trade

Agreement (NAFTA), would file the Form OP-1(MX) registration

application; and

(2) Mexican owned or controlled passenger carriers operating

pursuant to special provisions of NAFTA, would file the Form OP-1(P)

registration application.

This notice incorporates in the appendices to part 365 proposed

revised versions of the registration application forms. As with the

proposed interim registration regulations, the proposed revised

application forms would closely resemble those used by the former ICC

and would incorporate primarily incremental changes to reflect new

statutory or jurisdictional references required by the ICCTA.

No materially new information collection procedures or uses are

contemplated. The proposed revised registration forms would preserve to

the extent feasible the information collection categories and format of

the former ICC's licensing application forms. The proposed integration

into the registration process of the MCS-150 filings would represent

merely an effort to coordinate ongoing information collection

processes, rather than a new information solicitation.

Indeed, the incremental revisions proposed to the forms, as well as

the general streamlining and simplification of the application format

and accompanying instructions, allow for a reduction in the estimated

burden hours required for completing the OP-1, OP-1(P), and OP-1(FF)

forms by prospective registrants. Concurrently with this

[[Page 7365]]

notice, we are submitting the forms as a revised information collection

to the Office of Management and Budget (OMB) for review under section 2

of the Paperwork Reduction Act of 1995, 44 U.S.C. 3501 et seq.

As with the interim regulations proposed here, the revised

registration forms would be used only as transitional devices while the

49 U.S.C. 13908 replacement system is being developed and implemented.

The FHWA has minimized the form revisions proposed to preserve all

viable aspects of a process with which the motor carrier, broker, and

freight forwarder industries are familiar and comfortable.

In addition, the proposed interim rules would embrace procedures at

Sec. 365.511 to accomplish voluntary revocation of registrations.

Essentially, this process and the accompanying Form OCE-46 closely

parallel those presently in place. Indeed, the proposed revisions to

the revocation request form only represent ministerial changes to

reflect the FHWA's assumption of jurisdiction in this area and no new

or revised information requests are involved. Accordingly, the

voluntary revocation form need not be evaluated by OMB as a revised

information collection device. Nonetheless, the FHWA will entertain

comments of interested parties in this area, as well.

Registration Effective Periods

Section 103 of the ICCTA, 49 U.S.C. 13905(b), permits the Secretary

to specify by regulation the effective dates for registrations issued

under 49 U.S.C. 13902-13904. The Conference Report states that such

terms are not to exceed periods of five years. H. Rep. No. 104-422, at

212 (1995). Registration applicants are advised that the comprehensive

replacement system prescribed in 49 U.S.C. 13908 will address the

issues of specific registration effective periods and registration

renewal procedures. Accordingly, the proposed interim registration

rules do not address such matters. Registrations issued pursuant to the

interim rules adopted in this proceeding and any other registrations as

provided in the rules issued pursuant to 49 U.S.C. 13908 will be

subject to the effective periods established in that proceeding.

In the interim, the proposed rules provide that registrations would

remain in effect as long as the registrant maintains compliance with

all applicable statutory and regulatory provisions, including those

pertaining to insurance coverage for the protection of the public,

designation of process agents, tariffs or schedules, and motor carrier

safety. Failure to maintain compliance would constitute sufficient

grounds for revocation of registration authority by the FHWA.

Safety Fitness Evaluation

As previously noted, the proposed revised application forms and

procedures would allow the FHWA to integrate effectively its recently

acquired jurisdiction over the registration process with its existing

safety compliance monitoring and rating responsibilities. This goal

will be a paramount feature of the FHWA's rulemaking responsibilities

under 49 U.S.C. 13908. The proposed interim registration process

affords numerous possibilities for realizing efficiencies and

collaborative safeguards in administering these unified safety fitness

responsibilities.

For-hire motor carriers now have the assurance that safety fitness

monitoring will be exercised consistently and continually--initially

when the carriers are scrutinized as registrants and then under the

FHWA's safety fitness monitoring and rating agenda. This affords

enhanced prospects for integrating the safety information collection

and evaluation processes administered within the FHWA. The more closely

coordinated procedures proposed in the interim rules should inure to

the benefit of the agency through administrative efficiencies, to the

benefit of registrants through unification of filing responsibilities,

and to the benefit of the motor carrier industry and general public

through improved safety fitness monitoring of new entrants.

Specific measures incorporated in the proposed interim rules to

effect these improvements include the following:

(1) Introduction of the requirement that all new motor carrier

entrants submit a Form MCS-150 concurrently with their registration

application forms;

(2) Expansion and clarification of the advisories provided on the

registration forms concerning the scope of exemptions from DOT safety

regulations; and

(3) Commitment of the FHWA to continual monitoring of the

performance of new and unrated registrants from the onset of their

operations under the Safety Compliance and Evaluation system.

Now that the FHWA's jurisdiction extends to both safety screening

of prospective registrants and ongoing safety fitness evaluation and

rating of operating carriers, the interim registration process offers

significant prospects for effectively integrating pre-and post-

registration safety monitoring and oversight. The safety compliance

obligations of prospective registrants best can be highlighted by

apprising them of their concurrent obligations to introduce themselves

into the FHWA's safety surveillance processes using the Form MCS-150.

Their compliance with this process can be facilitated by including the

Form MCS-150 as an enclosure with the registration application. The

proposed interim rules would specify that all motor carrier

registration applications must be accompanied by a completed Form MCS-

150 or must provide a U.S. DOT number for the registrant, indicating

that a Form MCS-150 currently is on file. To conform with this

requirement, the proposed interim rules would provide for a technical

amendment to 49 CFR 385.21(b).

Revisions Concerning Household Goods Service

Motor Carriers and Property Brokers

The former part 1160 rules and the corresponding licensing forms

used by the ICC recognized specialized service categories that

distinguished motor property carriers and brokers of household goods

from their general freight counterparts. These distinctions derived

from statutory provisions previously codified at 49 U.S.C. 10922(c),

10923(a) and (c)(3) and (5), and 10924(a), that established distinct

public need or public interest licensing criteria for household goods

common carriers, household goods contract carriers, and household goods

brokers, respectively. Accordingly, the licensing application forms

that pertained to household goods carriers or brokers included specific

certifications or information requests reflecting the heightened public

need and public interest standards that distinguished the licensing

criteria for such entrants from the more general fitness standards

applicable to general freight carriers and brokers. Consistent with the

need to conduct specialized pre-licensing evaluations of household

goods carriers and brokers, such entities also were assessed a separate

application filing fee.

Because the registration provisions of the ICCTA did not preserve

the above-referenced distinct licensing criteria for household goods

carriers and brokers, there is no need to continue separately

evaluating such entrants in the interim registration system. With the

exception of the arbitration provision discussed subsequently, the

proposed interim rules and registration forms would no longer require

household goods carriers and brokers to provide separate or

[[Page 7366]]

additional information, certifications, or fees in order to fulfill

their registration obligations.

To identify household goods carriers and brokers for reporting and/

or enforcement purposes, however, the proposed revised application

forms would continue to request that registrants classify themselves

with reference to their household goods service intentions. Similarly,

the interim registration documents issued to such entities under the

proposed rules would continue to specify household goods service where

applicable.

Freight Forwarders

As previously discussed, the ICCTA embraces forwarders of both

general freight and household goods. The proposed interim rules and the

proposed freight forwarder registration application form would reflect

this extension of the registration obligation beyond the household

goods segment of the forwarding industry. Consistent with the approach

adopted for motor property carriers and brokers, freight forwarder

registration applicants under the proposed interim rules would be

required to indicate the nature of their service (general freight,

household goods, or a composite), and their registration documents

would continue to reflect their service intentions. Separate filing

fees would not be assessed for those entities seeking to register for

more than one type of forwarder service category, however. As discussed

below, the proposed revisions also would reflect the arbitration

commitment imposed by the ICCTA as a condition of freight forwarder

registration under 49 U.S.C. 14708.

Arbitration Certifications

The ICCTA, at 49 U.S.C. 14708, for the first time conditions

registration of household goods carriers and household goods freight

forwarders on their agreement to offer shippers arbitration as a means

of settling disputes. Accordingly, the proposed interim rules would

reflect this new pre-registration requirement and the proposed revised

Form OP-1 (for motor property carriers) and Form OP-1(FF) (for freight

forwarders) would incorporate an arbitration certification required of

registrants in these limited categories.

The arbitration certification would be designed as an affirmative

check-box entry on the involved registration forms and would be noted

in the accompanying instructions. This format would strike a desirable

balance between sufficiently apprising household goods motor carrier

and freight forwarder registrants of their arbitration obligation and

not unduly encumbering the registration process. As a further advisory

measure, the registration documents issued to household goods carriers

and forwarders would include a note referencing the arbitration

commitment, as well as other pre-registration requirements--including

insurance filing, process agent designations, and, to the limited

extent applicable, tariff filing or publishing.

Compliance Time Frames

The proposed interim rules would extend the time frames for

submitting to the FHWA supplemental compliance documents required as a

condition to registration--i.e., insurance or surety bond forms and

designation of process agent forms. The system defined in former part

1160 provided for submission of the required compliance documents

within an initial 20-day period from the date of publication of

application filings--formerly in the ``ICC Register,'' now in the

``Federal Highway Administration-Office of Motor Carriers Register

(FHWA-OMC Register).''1

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\1\ Published as the ``ICC Register'' from 1983 to 1995;

retitled as the ``FHWA-OMC Register'' in 1996. It is a daily listing

of motor carrier applications, decisions, and notices issued by

FHWA's Office of Motor Carrier Information Analysis, Washington, DC

20590.

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Registrants that failed to meet this initial compliance deadline

were advised by letter sent on the 30th day after publication that they

had an additional 60-day period to effect compliance. They further were

advised that, if this additional compliance period was not met, their

registration requests would be dismissed for want of prosecution. In

the FHWA's experience processing registration requests since the

ICCTA's January 1, 1996, effective date, the vast majority of

registration applicants failed to effect compliance within the initial

20-day period. They had to be advised further of their compliance

obligations through correspondence that extended the compliance time

period.

Under the revised compliance system proposed here, the interim

registration rules would provide for a 90-day compliance period running

from the date a registration notice is published in the ``FHWA-OMC

Register.'' They further would provide for automatic dismissal of any

registration application for which the compliance requirement is not

met. This expanded compliance time period would conform more

appropriately with the commercial and circumstantial realities

confronting registrants and the insurance and agent representatives

with whom they must deal.

This proposed integration of the 90-day time frame and the

dismissal for want of prosecution provision into the registration

regulations, moreover, would bring equity and predictability to the

registration process. It also would permit the FHWA to avoid the

administratively burdensome and costly step of sending extension of

time and dismissal correspondence to non-complying registrants. The

proposed automatic dismissal of non-complying registration requests on

the 90th post-publication day, moreover, would be administered without

exception and regardless of registrant circumstances. This would

foreclose the cumbersome process of entertaining individual waiver

petitions or appeals to the announced procedures. The FHWA emphasizes

that nothing in this proposed procedural reform would impede the

processing of registration applications or in any way cause delay in

the issuance of registration notices to those registrants that meet the

compliance requirements in a timely manner.

The proposed extension of the compliance time limit to 90 days

would serve as a concession to the many registrants that have found the

initial 20-day limit unrealistic and the 60-day extension notification

confusing. In reality, the proposed 90-day compliance time frame and

non-negotiable dismissal provision would reflect prevailing compliance

norms. They would relieve the registration process of supplemental

correspondence and potentially arbitrary or inequitable extensions of

time, granted on the basis of individual appeals.

Complaint Time Frames

The proposed interim rules would retain the 10-day time period for

filing complaints in response to registration applications. The FHWA's

experience in processing registration requests, as well as the

licensing experience of the predecessor ICC, confirm that this 10-day

time frame is reasonable and adequate to accommodate the interests of

potential complainants and to ensure the continued integrity of the

registration process. Indeed, since assuming registration jurisdiction

under the ICCTA in January 1996, the FHWA has received only three

protests in registration proceedings, involving challenges based on

either the trade name of a motor property carrier registrant or the

alleged Mexican ownership of an applicant. Given this statistically

insignificant level of contested registration requests and the ability

of the relatively few complainants to avail themselves of

[[Page 7367]]

facsimile transmissions to make known their positions, there appears to

be no persuasive basis for revising the 10-day time period.

Registrant Name Changes and Transfers

The proposed interim rules would incorporate provisions for

accomplishing registrant name changes. These provisions are adapted

from the name change procedures included as part of the ICC's

regulations governing transfers of operating rights at former 49 CFR

part 1181, redesignated as subpart D of 49 CFR part 365 at 61 FR at

54707. Under the proposed interim rules, as now, name changes would be

confined to limited circumstances in which registrants change a legal

or trade name, generally in situations that do not entail any change in

the ownership or control of the business.

The proposed interim rules would not link the name change

procedures to rules governing the transfer of registrations as had been

the case under the former ICC's licensing jurisdiction. The statutory

provision for transferring operating authority, previously codified at

49 U.S.C 10926, was omitted in the general revision of title 49,

U.S.C., subtitle IV. Accordingly, we perceive no basis for continuing

to entertain requests for the transfer of registrations, whether issued

under the FHWA's jurisdiction or previously as ICC operating authority.

The proposed interim rules would not retain those portions of recently

redesignated 49 CFR part 365 subpart D, formerly 49 CFR part 1181, that

govern transfer proceedings.

Although as a transitional measure the FHWA has been issuing

registrations to transferees in proceedings filed pursuant to the

former part 1181 transfer regulations, the FHWA proposes to discontinue

this practice effective upon issuance of interim final rules in this

proceeding. All pending transfer proceedings filed pursuant to former

49 CFR part 1181 would be processed. Any transfer applications filed on

or after the effective date of interim final rules adopted in this

proceeding would be returned to the parties with a notification that

the filing fee would be applied to a new registration application, if

submitted on the transferee's behalf within 30 days of the

correspondence date.

The proposed interim registration rules would provide that any

entity seeking to operate as a motor property or passenger carrier,

property broker, or freight forwarder must identify its operations to

the FHWA as a new registrant, using the appropriate application in the

Form OP-1 Series. Upon issuance of the interim final rules, it no

longer would be feasible to transfer operating rights previously issued

by the ICC or registration documents issued under the FHWA's

jurisdiction. Nor would it be permissible for registered entities to

preserve and operate under an ``MC'' or ``FF'' number previously issued

to another licensee or registrant.

Disclosure of Affiliations and Changes in Control

The ICCTA did not revive or continue those statutory provisions

previously codified at 49 U.S.C. 11343, 11344, 11345, and 11348, to the

extent they established jurisdiction and set forth standards for review

of consolidations, mergers, and acquisitions of control of motor

property carriers. Accordingly, in the previously referenced notice at

61 FR 14372, the FHWA advised motor property carriers that their

acquisitions of control are no longer subject to approval and

authorization pursuant to former section 11343. The regulations

governing such transactions at 49 CFR parts 1186, 1187, and 1188, to

the extent they involve motor property carriers, similarly are no

longer viable and need not be integrated into the registration rules or

procedures. Insofar as the ICCTA, at 49 U.S.C. 14303, provides for

continuing jurisdiction by the Surface Transportation Board (STB) over

motor passenger carrier mergers, consolidations, and control

arrangements (but not transfers of such authority), the STB has

jurisdiction to remove or revise, as appropriate, the former ICC's

regulations governing such transactions at 49 CFR parts 1182, 1187, and

1188.

By proposing to eliminate prospects for transferring previously

issued ICC operating authority or FHWA registrations, the FHWA does not

intend otherwise to prohibit carriers from acquiring authority from

existing registrants or from entering into collaborative business

transactions, such as the purchase of customer lists or contracts, the

goodwill of an ongoing concern, or trade names, logos, or company

identities. When such practices or arrangements entail the assumption

of a registrant's operations by a successor-in-interest, however, the

new entrant would be required to file a registration application and

would be assigned its own registration number, rather than that of the

predecessor carrier, broker, or forwarder.

Although there is no residual jurisdiction over motor property

carrier consolidations, mergers, and acquisitions of control as would

require or permit the FHWA's preliminary review and approval of such

transactions, there is a continuing need to include within the

registration process safeguards and mechanisms for ascertaining

registrants' ownership and control interests. The FHWA only can verify

and monitor the fitness of all registrants by requiring that they

provide and, where necessary, update information concerning their

affiliations and control relationships.

Accordingly, the request for ``AFFILIATIONS'' information on the

proposed registration application forms would be preserved. Further, to

ensure that the information provided is not incomplete or misleadingly

selective, the arbitrary 3-year time frame that now circumscribes this

information request would be eliminated. Registrants would be expected

to disclose on the application forms all commercial, financial, or

management relationships they have had with any ICC-licensed or FHWA-

registered entity during the full course of their commercial history.

On the same fitness oversight premise, the proposed interim rules

would require that entities re-register any time there is a change in

their ownership, control configuration, or commercial identity that

exceeds the scope of a name change. The re-registration process would

ensure a modicum of control over the accuracy and reliability of

registration information on file with the FHWA. Only in this manner can

the FHWA continue to monitor effectively the universe of registrants

and maintain the integrity of the system we are charged with

administering.

Reinstatement of Revoked Registrations/Authorities

For similar reasons, the FHWA proposes to revise the practice of

reinstating revoked registrations, including those formerly issued as

operating authorities by the ICC. As a transitional device since

implementation of the ICCTA, the FHWA has been following the ICC's

practice by permitting carriers, brokers, and forwarders that have had

their authorities revoked without prejudice (either upon registrant

request or due to a lapse in insurance coverage or other cause) to

request reinstatement simply by filing new evidence of adequate

financial responsibility and paying the required reinstatement fee.

Reinstatement has been permitted without regard to the amount of

time that has elapsed since revocation of the involved registration/

authority. Therefore, at the time of reinstatement there essentially is

no assurance of accuracy or timeliness of the

[[Page 7368]]

information on file in the application forms originally submitted. It

is of concern that this reinstatement process does not allow for

sufficient control over the information profile the FHWA can maintain

for affected carriers, brokers, and forwarders. Under such procedures,

the FHWA may not adequately be able to observe its fitness oversight

mandate, particularly in instances where a significant amount of time

has passed since the registrant last conducted operations.

The FHWA is further constrained in its ability to pursue an

unrestricted reinstatement policy by the express terms of the ICCTA at

49 U.S.C. 13905. That provision directs that only those motor carriers,

brokers, and forwarders holding authority ``in effect on the day before

the effective date of this section (December 31, 1995) shall be deemed

... to be registered to provide such transportation or service under

this part.'' Because the ``grandfathering'' provision was restricted in

this manner, authorities issued by the former ICC that were in a

revoked status on the day before the effective date of the ICCTA

technically should not be susceptible to reinstatement or any other

exercise of the FHWA's registration jurisdiction.

To ensure that the reinstatement process does not undermine or

otherwise encumber the informational safeguards of the registration

process, the FHWA proposes to no longer entertain reinstatement

requests involving authorities filed more than one year after the

effective date of the involved revocation. Registration requests on

file prior to the effective date of interim final rules adopted in this

proceeding would be processed irrespective of these limitations. As of

the effective date, however, carriers, brokers, and freight forwarders

with registrations or operating authorities that have been revoked for

a period exceeding one year would be required to submit the appropriate

application in the Form OP-1 Series and to register anew under the

proposed interim rules.

Procedures for Voluntary Registration Revocation

The FHWA proposes to continue the practice of permitting

registrants to request voluntary revocation of their registrations.

Registrants seeking to do so would be required to submit Form OCE-46,

Request for Revocation of Registration, to the FHWA, Office of Motor

Carriers, Licensing and Insurance Division, as provided in the proposed

interim rules at 49 CFR 365.511. The proposed revised version of this

voluntary revocation form, incorporating only such changes as are

necessary to reflect the FHWA's assumption of jurisdiction in this

area, is set forth in the appendices to part 365. Registrations that

have been revoked upon request of the registrant would be subject to

the above-described reinstatement provisions in the same manner and to

the same extent as registrations that have been revoked for failure to

maintain required financial responsibility levels.

Reactivation of Dismissed or Withdrawn Applications

As a further measure to preserve the integrity of the registration

system and to ensure the continuing accuracy of information provided on

the application form, the proposed interim rules would provide that

there no longer is an opportunity for applicants to reactivate a

registration filing that has been dismissed for want of prosecution or

withdrawn at the applicant's request. Submission of a new application

in the Form OP-1 Series would be the only mechanism available to

reinstitute such registration requests.

Special Transit Operation Provisions

The ICCTA amended the financial responsibility provisions of 49

U.S.C. 31138(e) by adding subsection (4), exempting from the

requirements of that section for-hire motor transit operators that

provide interstate service and that receive grants under 49 U.S.C.

5307, 5310, or 5311, or that contract to provide transportation service

funded in whole or in part by such grant funds. In lieu of the minimum

Federal levels of financial responsibility required of motor passenger

carrier registrants generally, such transit operators (hereinafter

identified as ``Federal Transit Administration (FTA) grantees'' or

``transit service providers'') are permitted to carry as their minimum

financial responsibility obligation the highest level of insurance

required by any of the States in which they operate.

The ICCTA amendment to 49 U.S.C. 31138(e) only adjusted the minimum

financial responsibility levels FTA grantees are required to observe;

it did not relieve FTA grantees with interstate transit service areas

of their obligation to register with the FHWA as required of all

interstate for-hire carriers under 49 U.S.C. 13902. Similarly, the

ICCTA amendment did not relieve FTA grantees of their obligation under

49 U.S.C. 13906 to file with the FHWA evidence of insurance under 49

CFR part 387 as a condition of registration.

FTA grantees operating in interstate transit service areas that

exceed commercial zone limits generally provide service of a nature

that does not conform with any of the statutory exemption provisions

that might otherwise remove carriers from the reach of FHWA

jurisdiction and, thus, relieve them of registration obligations--e.g.,

the commercial zone exemption of 49 U.S.C. 13506(b)(1), the ``casual,

occasional, or reciprocal'' transportation exemption of 49 U.S.C.

13506(b)(2), or the taxicab exemption of 49 U.S.C. 13506(a)(2). In

addition, FTA grantees are advised that there are no exemptions from

registration requirements related to vehicle capacity, frequency of

interstate operations, or the non-profit status of a transportation

operation.

Further, the FHWA believes that no meaningful relief from statutory

registration requirements can be made available to FTA grantees under

the general exemption authority of 49 U.S.C. 13541. The statute

expressly constrains the Secretary from exercising that exemption

authority to relieve a person from the application of, and compliance

with, any law or regulation pertaining to specified matters including

insurance and safety fitness--matters integral to the registration

process.

Accordingly, FTA grantees that provide interstate service within

areas that exceed commercial zone limits are required to register their

operations with the FHWA and, as part of that process, to file evidence

that they maintain the minimum levels of financial responsibility

coverage required under 49 U.S.C. 31138(e). This notice proposes to

amend the 49 CFR part 387 regulations governing minimum levels of

financial responsibility for motor carriers to reflect the revised

compliance option made available by the ICCTA to transit service

providers.

In administering the registration process as it pertains to FTA

grantees, the FHWA recognizes that these transit service providers for

the most part are small entities not accustomed to dealing with Federal

agencies and generally inexperienced as concerns Federal motor carrier

safety and economic regulation. Indeed, many of the FTA grantees are

not primarily motor carriers, but offer transit service only as an

ancillary feature of their principal social service or not-for-profit

function. In keeping with the FHWA's longstanding policy of assisting

small businesses in understanding and complying with regulatory

requirements, and particularly in light of provisions of the Small

Business Regulatory Enforcement Fairness Act of 1995 (SBREFA), the FHWA

is committed to simplifying and

[[Page 7369]]

facilitating the registration process for FTA grantees.

Specific measures already in place to accomplish this include: (1)

providing with the Form OP-1(P) a supplemental compliance information

insert, advising FTA grantees of and requesting information about their

insurance compliance options in a manner similar to that proposed in

this notice for the ``INSURANCE'' section of the Form OP-1(P); (2)

staffing a telephone information line ((202)358-7083) with access to

registration specialists who can assist FTA grantees in completing the

registration application form and filing the required evidence of

financial responsibility; and (3) encouraging direct telephone contact

between licensing specialists and FTA grantee registration applicants

to correct deficiencies or clarify information in registration filings

in lieu of rejecting applications.

As the FHWA continues to evaluate and implement the interim

registration rules proposed here, we envision further opportunities to

coordinate our registration screening responsibilities with FTA

processes and to ease the registration paperwork burden for transit

service providers by ensuring that all possible redundancies are

eliminated from the registration application process for such

applicants. To the extent that the 49 U.S.C. 13902(b) registration

provisions subject FTA grantees to public interest considerations

consistent with those in FTA's annual certifications and assurances for

grants under 49 U.S.C. 5307, 5310, and 5311, we will confer with FTA to

coordinate public interest findings if such findings are necessary in

the registration process.

We are collaborating with the FTA to provide registration training

opportunities for State officials who administer the grant programs.

This will create an additional source of information for FTA grantees

needing assistance in completing the registration application and in

complying with registration requirements. We also are committed to

facilitating and simplifying the insurance filing process for transit

service providers by making available through the FTA to transit

providers' insurance agents the BMC-91 and BMC-91X forms. (Other

supplemental forms required to be filed by registration applicants--

Form BOC-3 for designation of process agents and Form MCS-150 for

registering with DOT--already are provided as part of the registration

information package sent to prospective applicants.) Finally, we are

working with FTA to develop a more informative information sheet

targeted at transit service provider registration applicants. The

information sheet, provided as a courtesy to all prospective

registrants requesting Form OP-1(P), will profile transit service

providers' particular financial responsibility requirements, advise

transit service providers of the filing fee waiver option available to

them, and address common FTA grantee concerns about properly

identifying their form of business when registering their operations

with the FHWA.

In sum, we anticipate maintaining and will work continually to

strengthen the FHWA's ongoing collaborative effort with the FTA. Our

goal is to eliminate all possible redundancies from the registration

process and to afford FTA grantees the full benefit of effective and

accessible information resources to facilitate their compliance with

registration requirements.

Passenger Application Revisions Responsive to NAFTA Provisions

The proposed interim rules and Form OP-1(P) passenger carrier

registration application would provide for processing applications

filed pursuant to the North American Free Trade Agreement (NAFTA),

including certain NAFTA provisions that have not yet been implemented.

Passenger carrier operations that would be authorized pursuant to Phase

III of NAFTA, if implemented, would be limited to bona fide

international transportation between the U.S.-Mexico border and

specified points in the United States. Carriers registered under this

provision would not be permitted to transport passengers in intrastate

commerce under 49 U.S.C. 13902(b)(3).

For clarification purposes, the proposed interim rules and Form OP-

1(P) also include expanded references to other specialized service

categories for Mexican owned or controlled passenger carriers providing

special or tour bus operations across the U.S.-Mexico border, pursuant

to already implemented NAFTA provisions.

Rulemaking Analyses and Notices

All comments received before the close of business on the comment

closing date indicated above will be considered and will be available

for examination in the docket at the above address. Comments received

after the comment closing date will be filed in the docket and will be

considered to the extent practicable, but the FHWA may issue interim

final rules at any time after the close of the comment period. In

addition to late comments, the FHWA also will continue to file in the

docket relevant information that becomes available after the comment

closing date, and interested persons should continue to examine the

docket for new material.

The FHWA encourages commenters to develop their views while mindful

of the interim nature of this proceeding and of its relationship to the

ongoing collaborative efforts of the FHWA and those interested in

developing a single, on-line information/registration system.

The FHWA has developed the rules, forms, and procedures proposed

here after considerable transitional experience under the registration

system adapted from the former ICC's licensing process. This has

permitted our thorough assessment of the regulations and procedures as

they pertain to our revised jurisdiction and our selective retention of

those features that best conform with existing FHWA processes and the

needs of registration applicants.

To the full extent practicable, the revised rules and application

forms proposed here continue to reflect the predecessor licensing

provisions administered by the former ICC and with which carriers,

brokers, and forwarders now within the FHWA's registration jurisdiction

already are familiar. For the most part, the proposed interim

registration rules and application forms embrace limited changes that

either are directly mandated by the ICCTA or are required to realize

effective implementation of the FHWA's unified oversight of

registration and monitoring of safety compliance. To a more limited

extent this proceeding proposes discretionary revisions to the

registration forms and procedures now in place. These changes are

incremental, but would operate to ensure the continued integrity of the

registration process while simplifying and clarifying registration

guidelines for applicants.

Executive Order 12866 (Regulatory Planning and Review) and DOT

Regulatory Policies and Procedures

The FHWA has determined that this proposed action is not a

significant regulatory action within the meaning of Executive Order

12866 or significant within the meaning of the Department of

Transportation's Regulatory Policies and Procedures. This proposed

action preserves the essential nature of the registration procedures

already in place, makes primarily incremental changes to accommodate

the ICCTA's jurisdictional revisions or to facilitate the FHWA's

management of the registration docket, and will be in place for only a

limited, transitional period. Accordingly, it is anticipated that the

economic impact of this proceeding will be minimal.

[[Page 7370]]

Therefore, a full regulatory evaluation is not required.

Regulatory Flexibility Act

In compliance with the Regulatory Flexibility Act, Pub. L. 96-354,

5 U.S.C. 601-612, the FHWA has evaluated the anticipated effects of

these proposed interim rules on small entities. Based on the

evaluation, the FHWA hereby certifies that this proposed action would

not have a significant economic impact on a substantial number of small

entities.

Essentially, this rulemaking action would preserve in the new

registration context mandated by the ICCTA the procedural guidelines

and standards previously imposed upon motor carriers, property brokers,

and household goods freight forwarders under the former ICC's licensing

jurisdiction. Accordingly, the projected economic impact upon the vast

majority of small entities affected by this proceeding is expected to

be negligible. To the limited extent that the revised registration

application forms clarify and simplify the registration process,

particularly for first-time applicants, they can be expected to reduce

filing burdens in a way that would have a positive, although not

profound, economic impact on small entities. Although the revised

statutory registration provisions expand the FHWA's regulatory reach to

the general commodities segment of the freight forwarding industry, the

FHWA finds the affected small entities not to be a population of

sufficient size, nor the economic impact upon them to be of sufficient

magnitude, to warrant a significant economic impact finding.

Executive Order 12612 (Federalism Assessment)

The interim rules proposed here have been analyzed in accordance

with the principles and criteria contained in Executive Order 12612,

and it has been determined that this action would not have sufficient

federalism implications to warrant the preparation of a federalism

assessment. The proposed interim rules do not impose additional costs

or burdens on the States, nor do they affect the ability of the States

to discharge traditional State government functions.

Executive Order 12372 (Intergovernmental Review)

Catalog of Federal Domestic Assistance Program Number 20,217, Motor

Carrier Safety. The regulations implementing Executive Order 12372

regarding intergovernmental consultation on Federal programs and

activities do not apply to this program.

Paperwork Reduction Act

The interim rules proposed here involve an information collection

requirement for purposes of the Paperwork Reduction Act of 1995, 44

U.S.C. 3501 et seq. The revised registration application forms,

however, in all critical respects would preserve the format, procedural

guidance, and, to the full extent feasible, the substantive inquiries

of their predecessor forms that have been approved by the Office of

Management and Budget (OMB).

To the limited extent that the proposed forms would provide for

revised information requests, the projected time required for

applicants to respond to such information collections would be more

than compensated by elimination of other previously requested data,

rendered superfluous or irrelevant by the ICCTA. In addition, we

anticipate that the revised instructions and streamlined response

format of the application forms would clarify and simplify the

registration process in a manner that would appreciably reduce the time

required to complete the Form OP-1, OP-1(P), and OP-1(FF) registration

applications.

Accordingly, we anticipate a downward revision in the estimated

burden hours currently reflected in the OMB inventory for completion of

Forms OP-1, OP-1(P), and OP-1(FF)--from 2.5 to 1.5 hours per response.

This revision would make the burden hours reflected in the OMB

inventory consistent with those already recorded for the Form OP-1(MX).

That form was developed by the former ICC after that agency had the

benefit of considerable experience using the other forms in the OP-1

Series. Thus, the Form OP-1(MX) already reflected streamlined and

simplified instructions and organizational features. The FHWA finds

that the 1.5 burden hours estimated for completion of Form OP-1(MX)

represent a more realistic assessment of the time commitment that would

be required of the average applicant for completion of any form in the

proposed revised OP-1 Series. The estimated burden hours include time

for reviewing instructions, searching existing data sources, gathering

and maintaining the data needed to complete the forms, and completing

and reviewing the collection of information.

The composite annual reporting burden ascribed in the OMB inventory

to Forms OP-1, OP-1(P), and OP-1(FF) is 45,000 hours, based on an

estimate of 18,000 application filings annually at 2.5 burden hours per

response. The FHWA's recent experience in processing registration

applications during Fiscal Years 1996 and 1997 indicates that the level

of filings continues to remain relatively constant. The projection of

18,000 annual application filings on the proposed forms at the revised

estimated paperwork burden of 1.5 hours per response yields an

anticipated composite information collection burden of 27,000 hours

annually.

The revised information collection requirements contained in this

action will be submitted to OMB under the Paperwork Reduction Act and 5

CFR 1320. This document serves as the FHWA's 60-day notice under 5 CFR

1320.8(d)(1). Comments concerning the paperwork burden and burden hour

estimates in this proceeding may be directed to OMB and the FHWA,

respectively, by addressing them to:

Office of Management and Budget, Office of Information and Regulatory

Affairs, Washington, DC 20503

and

Federal Highway Administration, Forms Clearance Officer Earl Coles

(HMS-12), Office of Information and Management Services, 400 Seventh

St., SW., Washington, DC 20590

National Environmental Policy Act

The agency has analyzed this proposed action for the purpose of the

National Environmental Policy Act of 1969 (42 U.S.C. 4321 et seq.) and

has determined that this action would not affect the quality of the

environment.

Regulation Identification Number

A regulation identification number (RIN) is assigned to each

regulatory action listed in the Unified Agenda of Federal Regulations.

The Regulatory Information Service Center publishes the Unified Agenda

in April and October of each year. The RIN number contained in the

heading of this document can be used to cross-reference this action

with the Unified Agenda.

List of Subjects

49 CFR Part 365

Administrative practice and procedure, Brokers, Buses, Freight

forwarders, Highways and roads, Motor carriers.

49 CFR Part 385

Administrative procedures, Commercial motor vehicle safety,

Highways and roads, Highway safety, Motor carriers.

49 CFR Part 387

Freight forwarders, Highways and roads, Insurance, Motor carriers,

Surety bonds.

[[Page 7371]]

Issued on: February 3, 1998.

Kenneth R. Wykle,

Administrator, Federal Highway Administration.

In consideration of the foregoing, the FHWA hereby proposes to

amend title 49, Code of Federal Regulations, chapter III, subchapter B,

by revising parts 365, 385, and 387 as set forth below:

1. Part 365 is revised to read as follows:

PART 365--REGISTRATION OF INTERSTATE, FOR-HIRE MOTOR CARRIERS,

PROPERTY BROKERS, AND FREIGHT FORWARDERS

Subpart A--How to Register

365.101 Registrations governed by these rules.

365.103 Effective periods of registrations.

365.105 Modified procedure.

365.107 Starting the registration process: the Form OP-1 series.

365.109 Types of registrations.

365.111 Review of the registration application.

365.113 Changing the registration application form or filing

supplementary evidence after the registration form is filed.

365.115 Obtaining a copy of the registration application.

365.117 Registrant withdrawal.

365.119 Disposition of registration applications.

Subpart B--Provisions Governing Opposed Registration Applications

365.201 Definitions.

365.203 Time periods for filing complaints.

365.205 Contents of the complaint.

365.207 Filing a reply statement.

Subpart C--Contesting Disposition of the Registration Application

365.301 Procedures for requesting reconsideration of a rejected

registration application.

365.303 Procedures for appealing disposition of a registration

application.

Subpart D--Provisions Governing Transfers or Changes in the Control,

Ownership, or Name of a Registrant

365.401 Registration transfers and changes in ownership or control

of registrants.

365.403 Procedures for changing the name or business form of a

registrant.

Subpart E--General Rules Governing the Registration Process

365.501 Governing rules.

365.503 Contacting another party.

365.505 Serving copies of pleadings.

365.507 Replies to motions.

365.509 Facsimile filings.

365.511 Voluntary registration revocation.

365.513 Reinstatement of revoked registrations.

365.515 Discontinued applications.

Appendix A to Part 365--Form OP-1

Appendix B to Part 365--Form OP-1(P)

Appendix C to Part 365--Form OP-1(FF)

Appendix D to Part 365--Form OP-1(MX)

Appendix E to Part 365--Form OCE-46

Authority: 5 U.S.C. 553 and 559; 16 U.S.C. 1456; 49 U.S.C.

13101, 13301, 13901-13906, 14708, 31138, and 31144; 49 CFR 1.48.

Subpart A--How to Register

Sec. 365.101 Registrations governed by these rules.

These rules govern the registration of entities providing

transportation or service of the following types:

(a) For-hire motor common or contract carriers of property or

passengers, operating in interstate or foreign commerce;

(b) Brokers of for-hire motor vehicle transportation of property in

interstate or foreign commerce;

(c) Freight forwarders of property in interstate or foreign

commerce;

(d) Intrastate motor common carriers of passengers providing

service on a route over which the carrier is registered to provide

interstate operations; and

(e) Mexican carriers operating in interstate or foreign commerce as

common, contract, or private motor carriers of property (including

exempt items), between the U.S./Mexico border, on the one hand, and, on

the other, points in California, Arizona, New Mexico, and Texas.

Sec. 365.103 Effective periods of registrations.

Registrations will remain in effect as long as the registrant

maintains compliance with the requirements of this part and all

applicable statutory and regulatory provisions, including those

pertaining to insurance coverage for the protection of the public (49

CFR part 387); the designation of agents upon whom process may be

served (49 CFR part 366); tariffs or schedules if applicable (49 CFR

part 1312); and the Federal Motor Carrier Safety Regulations (49 CFR

parts 350-399). Failure to maintain compliance will constitute

sufficient grounds for revocation of registration authority by the

Federal Highway Administration (FHWA).

Sec. 365.105 Modified procedure.

The FHWA will handle registration requests using the modified

procedure, if possible. Under this procedure, registration applicants

and complainants submit statements made under oath (verified

statements) to each other and to the FHWA.

Sec. 365.107 Starting the registration process: the Form OP-1 Series.

(a) All registration applicants shall file the appropriate form in

the OP-1 Series, as follows:

(1) Form OP-1 for motor property common and contract carriers and

property brokers;

(2) Form OP-1(P) for motor passenger common and contract carriers;

(3) Form OP-1(FF) for freight forwarders; and

(4) Form OP-1(MX) for Mexican for-hire or private motor carriers of

property (including otherwise exempt items), seeking to operate

pursuant to provisions of the North American Free Trade Agreement

(NAFTA).

(b) Registration applicants may obtain the OP-1 forms by contacting

FHWA regional offices identified at 49 CFR 390.27 and FHWA field

offices, or by calling the FHWA, Office of Motor Carriers, Licensing

and Insurance Division, at (202) 358-7046.

(c) A separate registration filing fee is required for each

registration application submitted in each transportation or service

category.

Sec. 365.109 Types of registrations.

(a) General compliance. (1) Motor property carriers, freight

forwarders, property brokers, and certain types of motor passenger

carriers, are required to be registered upon a finding that the

registrant is willing and able to comply with all applicable statutory

and regulatory provisions, including any safety regulations imposed by

the Secretary and safety fitness requirements established under 49

U.S.C. 31144 (49 CFR parts 350-399) and the minimum financial

responsibility requirements established under 49 U.S.C. 13906, 31138,

and 31139 (49 CFR part 387). These registration applications can be

opposed only on the grounds that the registrant is not in compliance

with applicable safety fitness and financial responsibility

requirements.

(2) Registrants in this category are:

(i) Motor common and contract carriers of property (except

household goods);

(ii) Mexican motor common and contract carriers of property (except

household goods) that perform private carriage and transport exempt

items;

(iii) Motor carrier property brokers;

(iv) Freight forwarders of general commodities (except household

goods); and

(v) Privately funded motor common and contract passenger carriers

(i.e., carriers that receive no governmental assistance), providing

special and charter operations, international charter

[[Page 7372]]

and tour bus services across the U.S.-Mexico border (provided by

Mexican owned or controlled carriers), regular route service, or

scheduled international transportation between the U.S.-Mexico border

and specified points in the United States (provided by Mexican owned or

controlled carriers subject to implementation of Phase III of the North

American Free Trade Agreement).

Note: Motor passenger carrier registrants in this category (that

are not Mexican owned or controlled) are authorized to provide

regular route motor passenger carrier transportation entirely in one

State if such intrastate transportation is to be provided on a route

over which the carrier provides interstate transportation of

passengers. Registrants that intend to provide intrastate service of

this nature should so indicate on Form OP-1(P).

(b) Public interest. (1) Certain types of motor passenger carrier

registrants are required to be registered upon a finding of the general

compliance factors specified in paragraph (a) of this section, unless,

on the basis of evidence presented by any person objecting to the

registration, there is a finding that the transportation to be provided

pursuant to the registration is not in the public interest.

(2) Registrants in this category are:

(i) Private motor passenger carrier recipients of governmental

assistance, providing special or charter transportation; and

(ii) Public motor passenger carrier recipients of governmental

assistance, providing regular-route transportation.

(c) Public special or charter. (1) Certain types of motor passenger

carriers are to be registered upon a finding of the general compliance

factors specified in paragraph (a) of this section and upon the further

findings that: No motor carrier of passengers (other than a motor

carrier of passengers which is a public recipient of governmental

assistance) is providing or willing to provide the transportation; and

the transportation is to be provided entirely in the area in which the

public recipient provides regularly scheduled mass transportation

services.

(2) Registrants in this category are public motor passenger carrier

recipients of governmental assistance providing special or charter

transportation.

(d) Household goods. (1) Certain types of motor property carriers

and freight forwarders are to be registered upon a finding of the

general compliance factors specified in paragraph (a) of this section

and upon a further finding that the registrant agrees in accordance

with 49 U.S.C. 14708 to offer its shippers of household goods

arbitration as a means of settling disputes concerning damage and loss

to household goods transported and certifies in its application that

the required arbitration system is in place.

(2) Registrants in this category are:

(i) Motor common and contract carriers of household goods

(including Mexican carrier registrants); and

(ii) Household goods freight forwarders.

Sec. 365.111 Review of the registration application.

(a) Registration applications will be reviewed for correctness,

completeness, and adequacy of the information provided.

(1) Minor errors will be corrected without notification to the

registrant.

(2) Materially incomplete registration forms will be rejected as

provided in Sec. 365.119. Registration applications that are in

substantial compliance with these rules may be accepted.

(b) Registration applications submitted by motor carriers with

``Unsatisfactory'' safety fitness ratings will be rejected.

(c) A summary of the information provided on the accepted

registration application will be published in the ``Federal Highway

Administration Office of Motor Carriers Register [FHWA-OMC Register]''

to give notice to the public.

(d) Registration applicants must establish financial responsibility

by filing, within 90 days from the date a registration notice is

published in the FHWA-OMC Register, as appropriate:

(1) Form BMC-91 or 91X (bodily injury and property damage liability

coverage) or Form BMC-82 (surety bond)--Bodily injury and property

damage--motor property and passenger carriers; freight forwarders that

provide pickup or delivery service directly or by using a local

delivery service under their control.

Note: Motor passenger transit operators identified under 49

U.S.C. 31138(e)(4) that receive grants under 49 U.S.C. 5307, 5310,

or 5311 or that contract to provide transportation service funded in

whole or in part by such grant funds, may file proof of minimum

financial responsibility at the highest level of insurance required

by any of the States in which they operate in lieu of observing

otherwise applicable Federal limits.

(2) Form BMC-84 (surety bond) or Form BMC-85 (trust fund

agreement)--property brokers.

(3) Form BMC-34 or BMC-83 (surety bond)--Cargo liability--motor

property common carriers and freight forwarders.

(e) All motor carrier, property broker, and freight forwarder

registration applicants also must submit Form BOC-3--Designation of

legal process agents--within 90 days from the date a registration

notice is published in the ``FHWA-OMC Register.''

(f) Compliance with safety requirements by motor carrier and

vehicle-operating freight forwarder registrants is established by:

(1) Completion of the safety fitness compliance certification on

the registration application form;

(2) Submission of a completed Form MCS-150 with the registration

application form or confirmation by providing a valid U.S. DOT number

that the registrant currently has a Form MCS-150 on file; and

(3) Either of the following:

(i) Assignment of a DOT safety rating other than ``Unsatisfactory';

or

(ii) For registration applicants that have not been assigned a DOT

safety rating, immediate entry into the FHWA's Motor Carrier Management

Information System (MCMIS) to permit continual monitoring of such

registrants' operations, involving attention to vehicle inspections,

accident reports, carrier size, commodities transported, and any

performance-based operational data available through MCMIS.

(g) Registration applicants seeking to conduct operations for which

tariffs are required to be filed or published may not commence

operations until such tariffs are properly filed with the Surface

Transportation Board under 49 CFR part 1312 or published and in effect.

(h) All registration application forms must be completed in

English.

Sec. 365.113 Changing the registration application form or filing

supplementary evidence after the registration form is filed.

(a) Once the registration application form is filed, the applicant

may supplement evidence only with the approval of the FHWA, Office of

Motor Carriers, Licensing and Insurance Division.

(b) Amendments to the registration application form generally are

not permitted, but in exceptional circumstances may be entertained at

the discretion of the FHWA, Office of Motor Carriers, Licensing and

Insurance Division.

Sec. 365.115 Obtaining a copy of the registration application.

After publication of the registration notice, interested persons

may request a copy of the registration application form submitted by

contacting the office or official identified in the ``FHWA-OMC

Register.''

[[Page 7373]]

Sec. 365.117 Registrant withdrawal.

If the registration applicant wishes to withdraw its application,

it shall submit a dismissal request in writing to the Federal Highway

Administration, Office of Motor Carriers, Licensing and Insurance

Division, HIA-30, Suite 600, 400 Virginia Avenue , SW., Washington, DC

20024.

Sec. 365.119 Disposition of registration applications.

(a) Registration applications not in substantial compliance with

this part will be rejected. Applicants will be informed in writing by

the Director, Office of Motor Carrier Information and Analysis, of the

reason for rejection. Filing fees for rejected applications are not

refundable.

(b) If no complaints are received in response to registration

applications published in the ``FHWA-OMC Register'' as provided under

subpart B of this part, the registration will become effective by

issuance of a certificate (motor common carriers), permit (motor

contract carriers and forwarders), or license (property brokers). The

registration will continue in effect only so long as the registrant

remains in compliance with the requirements of this part and all

applicable statutory provisions. The registrant is subject to

suspension or revocation at any time for compliance failure.

(c) If a timely complaint is filed in response to a registration

application as provided under subpart B of this part, the Director,

Office of Motor Carrier Information and Analysis, will review the

application record, including all complaint and reply evidence, and

will issue a decision on the merits of the application.

Subpart B--Provisions Governing Opposed Registration Applications

Sec. 365.201 Definitions.

Complainant means a person filing valid opposition.

Complaint means a pleading filed by a person who opposes a

registration.

Sec. 365.203 Time periods for filing complaints.

A complaint must be filed (received at the FHWA) within 10 days

after the registration notice is published in the ``FHWA-OMC

Register.'' A copy of the complaint shall be sent to the registration

applicant's representative at the same time. Failure to file a

complaint within the stated time period or to provide a copy of the

complaint to the representative constitutes a waiver of further

participation in this proceeding.

Sec. 365.205 Contents of the complaint.

(a) All information upon which the complainant plans to rely must

be set forth in the complaint.

(b) A complaint must be verified, as follows:

I,-------------------------------------------------------------------

verify under penalty of perjury, under the laws of the United States

of America, that the information above is true and correct. Further,

I certify that I am qualified and authorized to file this complaint.

(See 18 U.S.C. 1001 and 18 U.S.C. 1621 for penalties.)

----------------------------------------------------------------------

[Signature and Date]

(c) Complaints must respond directly to the statutory standards for

review of registration requests as provided at 49 U.S.C. 13902-13904.

As specifically concerns motor carrier registrations, complaints will

be accepted only on the ground that the registrant fails or will fail

to comply with applicable statutory and regulatory provisions,

specifically the safety regulations of the Secretary of Transportation

including the safety fitness requirements established under 49 U.S.C.

31144 (49 CFR parts 350-399) or minimum financial responsibility

requirements established under 49 U.S.C. 13906, 31138, and 31139 (49

CFR part 387).

(d) A complaint not in substantial compliance with the rules in

this part or applicable statutory standards may be rejected.

(e) A complainant wishing to withdraw from a proceeding shall

inform the FHWA in writing.

Sec. 365.207 Filing a reply statement.

(a) If the registration application is opposed, the applicant may

file a reply statement. The reply statement must be filed (received at

the FHWA) within 20 days after ``FHWA-OMC Register'' publication.

(b) The reply statement may not contain new information. It shall

only rebut or further explain matters previously raised.

(c) The reply statement need not be notarized or verified. The oath

in the registration application applies to all information submitted in

the registration process. Separate legal arguments, if presented, need

not be notarized or verified.

Subpart C--Contesting Disposition of the Registration Application

Sec. 365.301 Procedures for requesting reconsideration of a rejected

registration application.

(a) A registration applicant has the right to request

reconsideration of the rejection of a registration application.

(b) The reconsideration request must be filed (received at the

FHWA) in writing within 10 days of the date of the letter of rejection

at the location noted therein and must state why the rejection of the

registration application is believed to be in error.

(c) The reconsideration request will be reviewed by the Director,

Office of Motor Carrier Information and Analysis, and the registration

applicant shall be notified in writing of the decision upon

reconsideration.

(d) If the request for reconsideration is successful and the

registration filing is found to be proper, the registration application

shall be deemed to have been filed properly as of the reconsideration

decision date.

(e) If the request for reconsideration is denied, the registration

applicant has the right to file an administrative appeal as prescribed

at Sec. 365.303.

Sec. 365.303 Procedures for appealing disposition of a registration

application.

(a) A registration applicant has the right to appeal denial of the

registration application or denial of a request to reconsider rejection

of the application. A complainant has the right to appeal issuance of a

registration.

(b) The appeal must be filed (received at the FHWA) in writing with

the Associate Administrator for Motor Carriers, FHWA, 400 Seventh

Street, SW., Washington, DC 20590, within 10 days of the date of the

decision denying the application or issuing the registration or the

letter denying the reconsideration request and must list all factual

and procedural issues in dispute.

(c) The Associate Administrator for Motor Carriers may request the

parties to submit additional data or to attend a conference to discuss

the application. Failure of a party filing the appeal to provide the

information requested or to attend the conference may result in

dismissal of the appeal.

(d) The parties shall be notified in writing of the decision on

administrative review and this decision shall constitute final agency

action.

Subpart D--Provisions Governing Transfers or Changes in the

Control, Ownership, or Name of a Registrant

Sec. 365.401 Registration transfers and changes in ownership or

control of registrants.

(a) Transfers of registrations are not permitted. A person that

purchases or otherwise acquires control of or the right to operate a

previously registered entity must register anew to provide the

operations in its own right by filing the appropriate form in the OP-1

Series and complying with the regulations set forth

[[Page 7374]]

in this part. A new registration number will be assigned to the

acquiring entity.

(b) To ensure that commercial operations and service are not

impeded or disrupted when registered entities engage in transactions

involving the change of ownership or control, a registration will

remain valid for a 60 day grace period irrespective of changes in

ownership or control, so long as there is no lapse in compliance with

applicable statutory and regulatory provisions, including required

minimum levels of financial responsibility and safety requirements.

This grace period runs from the date of change in ownership or control

and is valid only so long as:

(1) The prior and new registrants jointly inform the FHWA's Office

of Motor Carriers, Licensing and Insurance Division, in writing, of the

circumstances giving rise to the change in ownership or control; and

(2) The acquiring entity has on file with the FHWA the appropriate

registration application form in the OP-1 Series.

Sec. 365.403 Procedures for changing the name or business form of a

registrant.

(a) Scope. The procedures set forth at this subpart apply to the

following circumstances:

(1) A change in the form of a registrant's business, such as the

incorporation of a sole proprietorship or partnership;

(2) A change in the legal name of a corporation or partnership or

change in the trade name or assumed name of any entity;

(3) A transfer of a registration from a deceased or incapacitated

spouse to the other spouse;

(4) A reincorporation and merger for the sole purpose of effecting

a name change;

(5) An amalgamation or consolidation of a carrier and a non-carrier

into a new carrier having a different name from either of the

predecessor entities; and

(6) A change in the State of incorporation accomplished by

dissolving the corporation in one State and reincorporating in another

State.

(b) Procedures. To accomplish these changes, the registrant must

send a letter to the Federal Highway Administration, Office of Motor

Carriers, Licensing and Insurance Division, HIA-30, Suite 600, 400

Virginia Avenue, SW., Washington, DC 20024. The envelope should be

marked ``NAME CHANGE.'' The registrant must provide the following, to

the extent applicable:

(1) The docket number(s) and name of the registrant requesting the

change;

(2) A copy of the articles of incorporation and the State

certificate reflecting the incorporation;

(3) The names of the owners of the stock and distribution of the

shares;

(4) The names of the officers and directors of the corporation;

(5) A statement that there is no change in the ownership,

management, or control of the business;

(6) When this procedure is being used to transfer a registration

from a deceased or incapacitated spouse to the other spouse,

documentation that the other spouse has the legal right to effect such

change; and

(7) Payment of the fee for filing a name change request.

Subpart E--General Rules Governing the Registration Process

Sec. 365.501 Governing rules.

Except as provided in this part, all registration proceedings are

governed by the Administrative Procedure Act, 5 U.S.C. 551 et seq., and

the Federal Rules of Civil Procedure, title 28, U.S.C.

Sec. 365.503 Contacting another party.

When a person wishes to contact another party or serve a pleading

or letter on that party, it shall do so through the designated

representative. The telephone and facsimile numbers of a registrant's

representative shall be listed in the notice published in the ``FHWA-

OMC Register.''

Sec. 365.505 Serving copies of pleadings.

(a) A registrant must serve all pleadings and letters on the FHWA

and all known participants in the proceeding, except that a reply to a

motion need only be served on the FHWA and the moving party.

(b) A complainant need serve only the FHWA and registrant with

pleadings or letters.

Sec. 365.507 Replies to motions.

Replies to motions filed under this part must be filed (received at

the FHWA) within 5 days of the date the motion is filed at the FHWA.

Sec. 365.509 Facsimile filings.

Facsimile filings of registration forms and supplemental

information are not permitted. To assist parties in meeting the

expedited time frames established for submitting complaints to a

registration notice, however, the FHWA will accept facsimile filings of

complaints and any reply or rebuttal evidence. (Facsimile number: (202)

358-7118.) Facsimile filings of these pleadings must be followed by

submission of the original document and one copy for verification and

recordkeeping purposes.

Sec. 365.511 Voluntary registration revocation.

(a) Registrants that seek to discontinue operations and have their

registrations voluntarily revoked may do so by submitting Form OCE-46,

``Request for Revocation of Registration,'' to the FHWA's Office of

Motor Carriers, Licensing and Insurance Division, HIA-30, Suite 600,

400 Virginia Avenue SW., Washington, DC 20024.

(b) Registrations that have been voluntarily revoked are subject to

the reinstatement provisions of Sec. 365.513 in the same manner and to

the same extent as those registrations that have been revoked due to a

lapse in maintaining minimum levels of financial responsibility or for

other cause.

Sec. 365.513 Reinstatement of revoked registrations.

(a) Registrations that have been revoked may be reinstated,

provided that the reinstatement request and evidence of required

minimum financial responsibility is filed within one year of the date

of revocation of the involved registration.

(b) Requests for reinstatement should be submitted to the FHWA's

Office of Motor Carriers, Licensing and Insurance Division, HIA-30,

Suite 600, 400 Virginia Avenue SW., Washington, DC 20024, and should be

accompanied by the required reinstatement fee.

(c) Revoked registrations will be reinstated only upon a

determination that the registrant is in compliance with this part and

all applicable statutory provisions.

Sec. 365.515 Discontinued applications.

Registration applications that have been rejected, denied,

dismissed for want of prosecution, or withdrawn cannot be reactivated.

This provision also is applicable to applications filed with the former

Interstate Commerce Commission, including those applications dismissed

for want of prosecution prior to January 1, 1995, for which a $400

reactivation fee formerly was assessed.

BILLING CODE 4910-22-P

Appendix A to Part 365--Form OP-1--Application to Register as a Motor

Property Carrier or Broker

Instructions for Form OP-1--Application to Register as a Motor Property

Carrier or Broker

These instructions will assist you in preparing accurate and

complete registration filings. Applications that do not contain the

required information will be rejected and

[[Page 7375]]

may result in a loss of the application fee. The application must be

typed or printed in ink. If additional space is needed to provide a

response to any item, use a separate sheet of paper. Identify

application on each supplemental page and refer to the section and

item number in the application for each response.

Section I

FHWA Registration History. If you now have any authority issued

by the former ICC or if you are registered with or have a

registration application pending before the Federal Highway

Administration, check the ``YES'' box and indicate the docket number

(MC number) you have been assigned. Example: MC-987654.

Applicant's Legal Business Name and Doing Business as Name. The

applicant name should be your full legal business name--the name on

the incorporation certificate, partnership agreement, tax records,

etc. If you use a trade name that differs from your official

business name, indicate this under ``Doing Business As Name.''

Example: If you are John Jones, doing business as Quick Way

Trucking, enter ``John Jones'' under APPLICANT'S LEGAL BUSINESS NAME

and ``Quick Way Trucking'' under DOING BUSINESS AS NAME.

Because the FHWA uses computers to retain information about

registered carriers, it is important to spell, space, and punctuate

any name the same way each time you write it. Example: John Jones

Trucking Co., Inc.; J. Jones Trucking Co., Inc.; and John Jones

Trucking are considered three separate companies.

Business Address/Mailing Address. The business address is the

physical location of the business. Examples: 756 Bounty Street;

15433 State Highway 23. If applicant receives mail at an address

different from the business location, also provide the mailing

address. Example: P.O. Box 3721. NOTE: To receive pertinent FHWA

notices and to ensure that insurance documents filed on applicant's

behalf are accepted; notify the FHWA in writing: Federal Highway

Administration, Licensing and Insurance Division, HIA-30, Suite

6000, 400 Virginia Avenue, S.W., Washington, DC 20024, if the

business or mailing address changes.

Representative. If someone other than the applicant is preparing

this form, provide the representative's name, title, position,

relationship to the applicant, address, and telephone and FAX

numbers. Applicant's representative will be the contact person if

there are questions concerning this application.

U.S. DOT Number. Registration applicants subject to the Federal

Motor Carrier Safety Regulations also are required to register with

U.S. Department of Transportation (U.S. DOT), for safety monitoring

purposes. Motor carriers that already have been issued a U.S. DOT

registration number should provide it; applicants that have not

registered with U.S. DOT should do so by submitting a completed Form

MCS-150, Motor Carrier Identification Report, with this application.

[Note: Registrants claiming ``EXEMPT'' status under the Section IV--

``SAFETY COMPLIANCE'' portion of this form need not file Form MCS-

150.]

Form of Business. A business is either a corporation, sole

proprietorship, partnership, or limited liability company. If the

business is a sole proprietorship, provide the name of the

individual who is the owner. In this situation, the owner is the

registration applicant. If the business is a partnership, provide

the name of each partner.

Section II

Type of Operations. Check the appropriate box(es) for the

type(s) of operations you are registering. A separate filing fee is

required for each type of operations registered. See ``Fee Policy''

in the application form. (Note: A broker arranges for the

transportation where the actual movement will be performed by

registered motor carriers. Brokers assume no responsibility for the

property being transported.)

Section III

Insurance Information. Check the appropriate box(es) to describe

the type of business you will be conducting. If you operate vehicles

with a gross vehicle rating of 10,001 pounds or more and haul only

non-hazardous materials, you are required to maintain $750,000

minimum liability coverage for the protection of the public.

Hazardous materials referred to in the insurance regulations at 49

CFR 387.303(b)a(2)(c) require $1 million minimum liability coverage;

those at 49 CFR 387.303(b)(2)(b) require $5 million minimum

liability coverage.

If you operate only vehicles with a gross vehicle weight rating

under 10,001 pounds, you must maintain $300,000 minimum liability

coverage. If you operate only such vehicles but will be transporting

any quantity of Division 1.1., 1.2, or 1.3 explosives, any quantity

of poison gas (Division 2.3, Hazard Zone A, or Division 6.1, Packing

Group 1, Hazard Zone A material), or highway route controlled

quantity of radioactive materials, you must maintain $5 million

minimum liability coverage.

Property brokers must have on file with the FHWA a surety bond

or trust fund agreement in the amount of $10,000.

Minimum levels of cargo insurance must be maintained by all

motor property common carriers: $5,000 for loss of or damage to

property carried on any one motor vehicle and $10,000 for loss of or

damage to property occurring at any one time and place.

Appropriate insurance forms must be filed within 90 days after

the date of the application is published in the FHWA Office of Motor

Carriers Register: Form BMC-91 or BMC-91X for bodily injury and

property damage: Form BMC-34 for cargo liability; Form BMC-84 for

broker surety bond; and Form BMC-85 for broker trust fund agreement.

The FHWA does not furnish copies of insurance forms. You must

contact your insurance company to arrange for the filing of all

required insurance forms.

Section IV

Safety Certification. Applicants for motor carrier authority

must complete the safety certification. You should check the ``Yes''

response only if you can attest to the truth of the statements. The

``Applicant's Oath'' at the end of the application form applies to

all certifications, and false certifications are subject to the

penalties described in that oath.

If you operate only vehicles with a gross weight rating under

10,000 pounds and will not transport hazardous materials, you are

exempt from the U.S. DOT safety fitness regulations; however, you

must certify that you are familiar with and will observe general

operational safety fitness guidelines and applicable state and local

laws relating to the safe operation of commercial motor vehicles.

You must check only one of the boxes in this section.

Section V

Affiliations. All applicants must disclose pertinent information

concerning affiliations, if any with other former ICC licensed, now

FHWA registered entities.

Sections VI

Household Goods Arbitration Certification. All motor carrier

registrants that will transport household goods as defined at 49

U.S.C. 13102(10) must complete the required certification concerning

arbitration as a condition of registration.

Section VII

Applicant's Oath. Applications may be prepared by the applicant

or an authorized representative. In either case, the oath must be

signed by the applicant. In the case of companies, an authorized

employee in the ownership structure may sign. An individual with

power of attorney to act on behalf of the applicant may sign,

provided that proof of the power of attorney is submitted with the

application.

Legal Process Agents

All motor carrier applicants must designate a process agent in

each state where operations are authorized. All broker applicants

must designate a process agent in each state in which offices are

located and in which contracts will be written. Process agents who

will accept legal filings on applicant's behalf are designated on

FHWA Form BOC-3. Form BOC-3 must be filed within 90 days after the

date notice of the application is published in the FHWA Register.

State Notification

Before beginning new or expanded interstate operations, all

applicants must contact the appropriate regulatory agencies in every

state in and through which the carrier will operate to obtain

information regarding various state rules applicable to interstate

authorities. It is the applicant's responsibility to comply with

registration, fuel tax, and other state regulations and procedures.

Begin this process by contacting the transportation regulatory

agency for the state in which your business is located.

Mailing Instructions

To register, you must submit an original and one copy of this

application with the appropriate filing fee.

[[Page 7376]]

Note: Retain a copy of the completed application form and any

attachments for your own records.

Mailing addresses for applications:

All Documents With Fees Attached

Federal Highway Administration, P. O. Box 100147, Atlanta, GA 30384-

0147

For Express Mail Only

Nationsbank Wholesale Lockbox 100147, 6000 Feldwood Road, 3rd Floor

East, College Park, GA 30349

For Credit Card Users Only

FHWA, Licensing and Insurance Division, Suite 600, 400 Virginia

Avenue, S.W., Washington, DC. 20024

Additional Assistance

FHWA Information Sources

Additional information on registration or monitoring the status

of your applications is available through the FHWA's Automated

Response Capability (ARC) telephone system. After dialing (202) 358-

7000, press 1, then request appropriate menu number indicated below.

You may use the ARC 24 hours a day, 7 days a week to obtain

information in the following areas:

------------------------------------------------------------------------

Menu

Information requested No.

------------------------------------------------------------------------

Status of your application............................ 1

(Note: Tracking the status of your application can be

simplified and expedited if you refer to the assigned

docket number when making inquiries. You will be informed

of your docket number by letter sent on the date notice of

your application appears in the FHWA Office of Motor

Carriers Register.)

Assistance in filing your application................. 3

Status of insurance and process agent filings......... 2

------------------------------------------------------------------------

If you require information that is not available in the

automated response system, the ARC will guide you to an appropriate

staff member who will be able to assist you in other areas.

U.S. DOT Registration and Safety Ratings

To obtain information on completing Form MCS-150 or to

request a safety fitness review, write to: Director, Information

Analysis, Federal Highway Administration, 400--7th St., S.W.--HIA-

10, Washington, DC 20590, or call: (800) 832-5660 (Automated

Response System).

For information concerning a carrier's assigned safety

rating, call: (800) 832-5660.

U.S. DOT Hazardous Materials Regulations

To obtain information on whether the commodities you

intend to transport are considered to be hazardous materials:

Refer to the provisions governing hazardous materials in the

Federal Motor Carrier Safety Regulations at Parts 170 through 189 of

Title 49 of the Code of Federal Regulations (CFR), particularly the

Hazardous Materials Table at 49 CFR Part 172, or contact U.S. DOT at

(202) 366-6121.

To obtain information about DOT hazardous materials

transportation registration requirements: Contact U.S. DOT at (202)

366-4109.

Federal Highway Administration Form OP-1--Application To Register as a

Motor Property Carrier or Broker

This application is for all individuals and business requesting

authority to operate as motor property common or contract carriers

or property brokers.

For FHWA Use Only

Docket No. MC----------------------------------------------------------

Filed------------------------------------------------------------------

Fee No.----------------------------------------------------------------

CC Approval No.--------------------------------------------------------

Section I--Applicant Information

Do you now have authority from the former ICC or the FHWA or an

application being processed by the FHWA?

{time} Dec. 191 thru out No {time} Yes

If yes, identify the lead docket number(s)

----------------------------------------------------------------------

Does this application register revoked authority?

{time} NO {time} YES

----------------------------------------------------------------------

Legal Business Name

----------------------------------------------------------------------

Doing Business as Name

----------------------------------------------------------------------

Business Address

----------------------------------------------------------------------

Street Name and Number

----------------------------------------------------------------------

City

----------------------------------------------------------------------

State/Zip Code

----------------------------------------------------------------------

Telephone Number

----------------------------------------------------------------------

Mailing Address (if different from above)

----------------------------------------------------------------------

Street Name and Number or P.O. Box

----------------------------------------------------------------------

City

----------------------------------------------------------------------

State/Zip Code

----------------------------------------------------------------------

Representative (Person who can respond to inquiries)

----------------------------------------------------------------------

Name and title, position, or relationship to applicant

----------------------------------------------------------------------

Street Name and Number

----------------------------------------------------------------------

Telephone Number

----------------------------------------------------------------------

City/State/Zip Code

Fax Number

U.S. DOT Number--------------------------------------------------------

[Note: Motor carrier registrants that have not been assigned a U.S.

DOT number must submit a completed Form MCS-150, Motor Carrier

Identification Report, with this application or must confirm their

exempt status under the Section IV--SAFETY CERTIFICATION portion of

this form.]

Form of Business (Check Only One)

{time} Corporation

State of Incorporation-------------------------------------------------

{time} Sole Proprietorship

Name of Individual-----------------------------------------------------

{time} Partnership

Identify Partners------------------------------------------------------

{time} Limited Liability Company

Section II--Type of Operations

You must submit a filing fee for each type of authority

requested (for each box checked). Also, indicate within each

authority category the type of commodities you will transport or

broker.

{time} Motor Common Carrier

{time} General Freight

{time} Household Goods

{time} Motor Contract Carrier

{time} General Freight

{time} Household Goods

{time} Broker

{time} General Freight

{time} Household Goods

Fax Number

Section III--Insurance Information

This section must be completed by ALL motor property

registration applicants. The dollar amounts in parentheses represent

the minimum amount of bodily injury and property damage (liability)

insurance coverage you must maintain and have on file with the FHWA.

Note: Refer to the instructions for information on cargo

insurance filing requirements for motor common carriers and surety

bond/trust fund agreement filings for property brokers.

{time} Will operate vehicles having Gross Vehicle Weight Ratings

(GVWR) of 10,001 pounds or more to transport:

{time} Non-hazardous commodities ($750,000).

{time} Hazardous materials referenced in the FHWA's insurance

regulations at 49 CFR 387.303(b)(2)(c) ($1,000,000).

{time} Hazardous materials referenced in the FHWA's insurance

regulations at 49 CFR 387.303(b)(2)(b) ($5,000,000).

{time} Will operate only vehicles having Gross Vehicle Weight

Ratings (GVWR) under 10,001 pounds to transport:

{time} Any quantity of Division 1.1, 1.2, 1.3 explosives, any

quantity of poison gas (Division 2.3, Hazard Zone A, or Division

6.1, Packing Group 1, Hazard Zone A materials), or highway route

controlled quantity of radioactive materials ($5,000,000).

{time} Commodities other than those listed above ($300,000).

Section IV--Safety Compliance (Motor Carrier Applicants Only)

Applicants Subject to Federal Motor Carrier Safety Regulations--

If you will operate vehicles of more than 10,000 pounds GVWR and

are, thus, subject to pertinent portions of the U.S. DOT's Federal

Motor Carrier Safety Regulations at 49 CFR, Chapter

[[Page 7377]]

3, Subchapter B (Parts 350-399), you must certify as follows:

Applicant has access to and is familiar with all applicable U.S.

DOT regulations relating to the safe operation of commercial,

vehicles and the safe transportation of hazardous materials and it

will comply with these regulations. In so certifying, applicant is

verifying that, at a minimum, it:

(1) Has in place a system and an individual responsible for

ensuring overall compliance with Federal Motor Carrier Safety

Regulations;

(2) Can produce a copy of the Federal Motor Carrier Safety

Regulations and the Hazardous Materials Transportation Regulations;

(3) Has in place a driver safety training/orientation program;

(4) Has prepared and maintains an accident register (49 CFR

390.15);

(5) Is familiar with DOT regulations governing driver

qualifications and has in place a system for overseeing driver

qualification requirements (49 CFR Part 391);

(6) Has in place policies and procedures consistent with DOT

regulations governing driving and operational safety of motor

vehicles, including drivers' hours of service and vehicle

inspection, repair, and maintenance (49 CFR Parts 392, 395 and 396);

(7) Is familiar with and will have in place on the appropriate

effective date, a system for complying with U.S. DOT regulations

governing alcohol and controlled substances testing requirements (49

CFR 382 and 49 CFR Part 40).

{time} YES

Exempt Applicants--If you will operate only small vehicles (GVWR

under 10,000 pounds) and will not transport hazardous materials, you

are exempt from Federal Motor Carrier Safety Regulations, and must

certify as follows:

Applicant is familiar with and will observe general operational

safety guidelines, as well as any applicable state and local laws

and requirements relating to the safe operation of commercial motor

vehicles and the safe transportation of hazardous materials.

{time} YES

Section V--Affiliations

Affiliation With Other Former ICC Licensed or FHWA Registered

Entities. Disclose any relationship you have or have had with any

other FHWA-regulated (or former ICC licensed) entity. For example,

this could be through a percentage of stock ownership, a loan, or a

management position. If this requirement applies to you, provide the

name of the company, MC number, U.S. DOT number, and that company's

latest U.S. DOT safety rating. (If you require more space, attach

the information to this application form.)

----------------------------------------------------------------------

----------------------------------------------------------------------

----------------------------------------------------------------------

Section VI--Household Goods Certification

Household Goods Arbitration Certification. All motor carrier

registrants that will transport household goods as defined at 49

U.S.C. 13102(10) must certify as follows by checking the ``YES'' box

below:

As a condition of registrant, registration agrees to offer its

collect-on-delivery shippers of household goods arbitration as a

means of settling disputes concerning damage and loss of household

goods transported in accordance with 49 U.S.C. 14708.

{time} YES

Section VII--Applicant's Oath

This oath applies to this application and to all supplemental

filings. The signature must be that of applicant, not a legal

representative.

----------------------------------------------------------------------

Name and title,

I, ________________________,

verify under penalty of perjury, under the laws of the United States

of America, that all information supplied on this form or relating

to this application is true and correct. Further, I certify that I

am qualified and authorized to file this application. I know that

willful misstatements or omissions of material facts constitute

Federal criminal violations punishable under 18 U.S.C. 1001 by

imprisonment up to 5 years and fines up to $10,000 for each offense.

Additionally, these misstatements are punishable as perjury under 18

U.S.C. 1621, which provides for fines up $2,000 or imprisonment up

to 5 years for each offense.

I further certify under penalty of perjury, under the laws of

the United States, that I have not been convicted, after September

1, 1989, of any Federal or State offense involving the distribution

or possession of a controlled substance, or that if If have been so

convicted, I am not ineligible to receive Federal benefits, either

by court order or operation of law, pursuant to Section 5301 of the

Anti-Drug Act of 1988 (21 U.S.C. 862).

Finally, I certify that applicant is not domiciled in Mexico or

owned or controlled by persons of that country.

Signature--------------------------------------------------------------

----------------------------------------------------------------------

Date-------------------------------------------------------------------

----------------------------------------------------------------------

Filing Fee Information

All applicants must submit a filing fee for each type of

authority requested. The enclosed fee schedule will show the

appropriate filing fee. The total amount due is equal to the fee

times the number of boxes checked in Section II. [Note: Service on

household goods and general freight within a single category does

not require separate filing fees.] Fees for multiple authorities may

be combined in a single payment.

Total number of boxes checked in Section II: ____________ x

filing fee $____________ = $____________

Indicate amount $------------------------------------------------------

and method of payments.

{time} Check or {time} Money Order, payable to: Federal Highway

Administration

{time} VISA {time} Mastercard

Credit Card Number-----------------------------------------------------

Exiration Date---------------------------------------------------------

Signature--------------------------------------------------------------

Date-------------------------------------------------------------------

Fee Policy

Filing fees must be payable to the Federal Highway

Administration, by check drawn upon funds deposited in a bank in the

United States or money order payable in U.S. currency or by approved

credit card.

Separate fee are required for each type of authority

requested. If applicant requests multiple types of permanent

authority on one application form (for example, common and contract

carrier authority) or if applicant submits more than one form in OP-

1 Series in a single filing, multiple fees are required. The

applicant may submit a single payment for the sum of the applicable

fees.

Filing fees must be sent, along with original and one

copy of the application, to FHWA Lockbox, P.O. Box 100147, Atlanta,

GA 30384-0147.

After an application is received, the filing fee is not

refundable.

The FHWA reserves the right to discontinue processing

any application for which a check is returned because of

insufficient funds. The application will not be processed until the

fee is paid in full.

Paperwork Burden. It is estimated that an average of 2.5 burden

hours per response are required to complete this collection of

information. This estimate includes time for reviewing instructions,

searching existing data sources, gathering and maintaining the data

needed, and completing and reviewing the collection of information.

Comments concerning the accuracy of this burden estimate or

suggestions for reducing this burden should be directed to both the

Federal Highway Administration, Licensing and Insurance Division,

Suite 600, 400 Virginia Avenue, S.W., Washington, DC 20024, and to

the Office of Management and Budget, Office of Information and

Regulator Affairs (OMB No. 3120-0047), Washington, DC 20403.

Appendix B to Part 365--Form OP-1(P)--Application to Register as a

Motor Passenger Carrier

Instructions for Form OP-1(P)--Application to Register as a Motor

Passenger Carrier

These instructions will assist you in preparing accurate and

complete registration filings. Applications that do not contain the

required information will be rejected and may result in a loss of

the application fee. The application must be typed or printed in

ink. If additional space is needed to provide a response to any

item, use a separate sheet of paper. Identify applicant on each

supplemental page and refer to the section and item number in the

application for each response.

Section I

FHWA Registration History. If you now have any authority issued

by the former ICC or if you are registered with or have a

registration application pending before the Federal Highway

Administration, check the ``YES'' box and indicate the docket number

(MC number) you have been assigned. Example: MC-987654.

Applicant's Legal Business Name and Doing Business as Name. The

applicant name should be your full legal business name--the name on

the incorporation certificate,

[[Page 7378]]

partnership agreement, tax records, etc. If you use a trade name

that differs from your official business name, indicate this under

``Doing Business As Name.'' Example: If you are John Jones, doing

business as Quick Way Transit, enter ``John Jones'' under

APPLICANT'S LEGAL BUSINESS NAME and ``Quick Way Transit'' under

DOING BUSINESS AS NAME.

Because the FHWA uses computers to retain information about

registered carriers, it is important that you spell, space, and

punctuate any name the same way each time you write it. Example:

John Jones Transit Co., Inc.; J. Jones Transit Co., Inc.; and John

Jones Transit are considered three separate companies.

Business Address/Mailing Address. The business address is the

physical location of the business. Example: 756 Bounty Street; 15433

State Highway 23. If applicant receives mail at an address different

from the business location, also provide the mailing address.

Example: P.O. Box 3721. NOTE: To receive pertinent FHWA notices and

to ensure that insurance documents filed on applicant's behalf are

accepted, notify the Federal Highway Administration, Licensing and

Insurance Division, in writing [Suite 600, 400 Virginia Avenue,

S.W., Washington, DC 20024] if the business or mailing address

changes.

Representative. If someone other than the applicant is preparing

this form, provide the representative's name, title, position, or

relationship to the applicant, address, and telephone and FAX

numbers. Applicant's representative will be the contact person if

there are questions concerning this application.

U.S. DOT Number. Registration applicants subject to the Federal

Motor Carrier Safety Regulations also are required to register with

the U.S. Department of Transportation (U.S. DOT) for safety

monitoring purposes. Motor carriers that already have been issued a

U.S. DOT registration number should provide it; applicants that have

not registered with U.S. DOT should do so by submitting a completed

Form MCS-150, Motor Carrier Identification Report, with this

application. [Note: Registrants claiming ``EXEMPT'' status under the

Section IV--``SAFETY COMPLIANCE'' portion of this form need not file

Form MCS-150.]

Form of Business. A business is either a corporation, sole

proprietorship, partnership or limited liability company. If the

business is a sole proprietorship, provide the name of the

individual who is the owner. In this situation, the owner is the

authority applicant. If the business is a partnership, provide the

name of each partner.

SECTION II

Type of Operations. Check the appropriate box(es) for the

type(s) of operations you are registering. A separate filing fee is

required for each type of operations registered. See``Fee Policy''

in the application form.

Section III

Insurance Information. Check the appropriate box that describes

the seating capacity of your vehicles. If all the vehicles you

operate have a seating capacity of 15 passengers or fewer, you are

required to maintain $1,500,000 minimum liability coverage. If any

one of the vehicles you operate has a seating capacity of 16

passengers or more, you are required to maintain $5,000,000 minimum

liability coverage.

Appropriate insurance forms must be filed within 90 days after

the date notice of your application is published in the FHWA Office

of Motor Carriers Register: Form BMC-91 or BMC-91X for bodily injury

and property damage.

The FHWA does not furnish copies of insurance forms. You must

contact your insurance company to arrange for the filing of all

required insurance forms.

Grantees Under 49 U.S.C. 5307, 5310, or 5311

The insurance limits referenced above do not pertain to motor

passenger carriers providing transportation service within a transit

service area under an agreement with a Federal, State, or local

government funded, in whole or in part, with a grant under 49 U.S.C.

5307, 5310, or 5311. Such carriers that seek to register to provide

for-hire operations between points in a transit service area located

in more than one State are required to maintain the minimum level of

financial responsibility for their motor vehicles that is at least

the highest level required for any of the States in which the

transit service area is located. If you qualify for this special

financial responsibility provision, you must complete the portion of

Section III that includes a certification of eligibility and State

insurance requirement information relevant to your particular

transit service area.

Section IV

Safety Certification. Applicants for motor passenger carrier

authority must complete the safety certification. You must check the

``YES'' response only if you can attest to the truth of the

statements. The ``Applicant's Oath'' at the end of the application

form applies to all certifications, and false certifications are

subject to the penalties described in that oath.

If you are exempt from the U.S. DOT safety fitness regulations,

you must certify that you are familiar with and will observe general

operational safety fitness guidelines and applicable state and local

laws relating to the safe operation of commercial motor vehicles.

You must check only one of the boxes in this section.

Section V

Funding Status. All applicants must disclose their funding

status. If you are a public recipient applicant, you must submit the

additional evidence indicated. (This evidence should be provided on

a separate sheet of paper attached to your application.)

Section VI

Scope of Operating Authority. When developing passenger service

descriptions, the following guidelines may be useful:

Special and charter operations and contract carrier operations

generally are conducted over irregular routes (i.e., authority that

is not restricted to particular roads or highways), between points

in the United States.

Other passenger carrier operations generally are performed over

regular routes (i.e., authority to perform regularly scheduled

service between designated points and operating over named roads or

highways).

Mexican owned or controlled passenger carriers seeking to

perform operations authorized by the North American Free Trade

Agreement must define their service as provided at Items (2) or (5)

of this Section.

Section VII

Affiliations. All applicants must disclose pertinent information

concerning their affiliations, if any, with other former ICC

licensed, now FHWA registered entities.

Section VIII

Applicant's Oath. Applications may be prepared by the applicant

or an authorized representative. In either case, the oath must be

signed by the applicant. In the case of companies, an authorized

employee in the ownership structure may sign. An individual with

power of attorney to act on behalf of the applicant may sign,

provided that proof of the power of attorney is submitted with the

application.

Legal Process Agents

All applicants must designate a process agent in each state

where operations are authorized. Process agents who will accept

legal filings on applicant's behalf are designated on FHWA Form BOC-

3. Form BOC-3 must be filed within 90 days after the date notice of

the application is published in the FHWA Office of Motor Carriers

Register.

State Notification

Before beginning new or expanded interstate operations, all

applicants must contact the appropriate regulatory agencies in every

state in and through which the carrier will operate to obtain

information regarding various state rules applicable to interstate

authorities. It is the applicant's responsibility to comply with

registration, fuel tax, and other state regulations and procedures.

Begin this process by contacting the transportation regulatory

agency for the state in which your business is located.

Intrastate motor passenger applicants--If you are registering to

provide intrastate, regular-route authority in conjunction with your

interstate operations, you must send a description of the proposed

service to the State transportation regulatory body of the State(s)

in which the operations described in the application will be

performed.

Mailing Instructions

To register, you must submit an original and one copy of this

application with the appropriate filing fee.

Note: Retain a copy of the completed application form and any

attachments for your own records.

Mailing address for applications:

All Documents with Fees Attached

Federal Highway Administration, P.O. Box 100147, Atlanta, GA 30384-

0147

For Express Mail Only

Nationsbank Wholesale Lockbox 100147, 6000 Feldwood Road, 3rd Floor

East, College Park, GA 30349

[[Page 7379]]

For Credit Card Users Only

FHWA, Licensing and Insurance Division, Suite 600, 400 Virginia

Avenue, S.W., Washington, DC 20024

Additional Assistance

FHWA Information Sources

Additional information on registration or monitoring the status

of your applications is available through the FHWA's Automated

Response Capability (ARC) telephone system. After dialing (202) 358-

7000, press 1, then request appropriate menu number indicated below.

You may use the ARC 24 hours a day, 7 days a week to obtain

information in the following areas:

------------------------------------------------------------------------

Menu

Information requested No.

------------------------------------------------------------------------

Status of your application............................ 1

(Note: Tracking the Status of your application can be

simplified and expedited if you refer to the assigned

docket number when making inquiries. You will be informed

of your docket number by letter sent on the date notice of

your application appears in the FHWA Office of Motor

Carriers Register.)

Assistance in filing your application................. 3

Status of insurance and process agent filings......... 2

------------------------------------------------------------------------

If you require information that is not available in the

automated response system, the ARC will guide you to an appropriate

FHWA staff member who will be able to assist you in other areas.

U.S. DOT Registration and Safety Ratings

To obtain information on completing Form MCS-150 or to

request a safety fitness review, write to: Director, Information

Analysis, Federal Highway Administration, 400--7th St., SW.,--HIA-

10, Washington, DC 20590, or call (800) 832-5660 (Automated Response

System).

For information concerning a carrier's assigned safety

rating, call: (800) 832-5660.

Federal Highway Administration Form OP-1(P)--Application to Register as

a Motor Passenger Carrier

This application is for all individuals and businesses

requesting to register as motor passenger common or contract

carriers.

For FHWA Use Only

Docket No. MC----------------------------------------------------------

Filed------------------------------------------------------------------

Fee No.----------------------------------------------------------------

CC Approval No.--------------------------------------------------------

Section I--Applicant Information

Do you now have authority from the former ICC or the FHWA or an

application being processed by the FHWA?

{time} NO {time} YES

If yes, identify the lead docket number(s)

________________-------------------------------------------------------

Does this application register revoked authority

{time} NO {time} YES

----------------------------------------------------------------------

Legal Business Name

----------------------------------------------------------------------

Doing Business as Name

----------------------------------------------------------------------

Business Address

----------------------------------------------------------------------

Street Name and Number or P.O. Box

----------------------------------------------------------------------

City/State/Zip Code

Telephone Number

Mailing Address (if different from above)

----------------------------------------------------------------------

Street Name and Number

----------------------------------------------------------------------

City/State/Zip Code

Representative (Person who can respond to inquiries)

----------------------------------------------------------------------

Name and title, position, or relationship to applicant

----------------------------------------------------------------------

Street Name and Number

----------------------------------------------------------------------

City/State/Zip Code

----------------------------------------------------------------------

Telephone Number

----------------------------------------------------------------------

FAX Number

U.S. DOT Number--------------------------------------------------------

[Note: Motor carrier registrants that have not been assigned a U.S.

DOT number must submit a completed Form MCS-150, Motor Carrier

Identification Report, with this application or must confirm their

exempt status under the Section IV--SAFETY CERTIFICATION portion of

this form.]

Form of Business (Check Only One)

{time} Corporation

State of Incorporation-------------------------------------------------

Sole Proprietorship

Name of Individual-----------------------------------------------------

Partnership

Identify Partners------------------------------------------------------

Limited Liability Company

Section II--Type of Authority

You must submit a filing fee for each type of authority

requested (for each box checked).

{time} Motor Passenger Common Carrier

{time} Motor Passenger Contract Carrier

Section III--Insurance Information

All motor passenger carrier applicants must maintain public

liability insurance. The amounts in parentheses represent the

minimum amount of coverage required.

Applicant will use vehicles with seating capacities of (check

only one box):

{time} 16 passengers or more ($5,000,000)

{time} 15 passengers or fewer only ($1,500,000)

Grantees Under 49 U.S.C. 5307, 5310, or 5311

Certify, by checking the ``YES'' box below, that you provide

passenger transportation service within a transit service area under

an agreement with a Federal, State, or local government funded, in

whole or in part, with a grant under 49 U.S.C. 5307, 5310 or 5311

and that you seek to register to provide for-hire operations between

points in that transit service area located in more than one State.

{time} YES

Registrants in this category need not observe the minimum levels

of financial responsibility indicated above, but are required to

have filed and maintain evidence of financial responsibility at

least at the highest level required for any of the States in which

the transit service area is located. Indicate States in your transit

service area and the State prescribed financial responsibility limit

you will observe:

States:----------------------------------------------------------------

Note: Grantees under 49 U.S.C. 5307, 5310, or 5311 that file

evidence of State-prescribed financial responsibility limits that

are lower than otherwise applicable Federal limits will be

registered to provide interstate service only within their

designated transit service areas.

Financial responsibility limit

$----------------------------------------------------------------------

(Indicate amount)

as imposed by:---------------------------------------------------------

(Indicate State)

Section IV--Safety Compliance (Motor Carrier Applicants Only)

Applicants Subject to Federal Motor Carrier Safety Regulations--

If you will operate vehicles of more than 10,000 pounds GVWR and

are, thus, subject to pertinent portions of the U.S. DOT's Federal

Motor Carrier Safety Regulations at 49 CFR, Chapter 3, Subchapter B

(Parts 350-399), you must certify as follows:

Applicant has access to and is familiar with all applicable U.S.

DOT regulations relating to the safe operation of commercial

vehicles and the safe transportation of hazardous materials and it

will comply with these regulations. In so certifying, applicant is

verifying that, at a minimum, it:

(1) Has in place a system and an individual responsible for

ensuring overall compliance with Federal Motor Carrier Safety

Regulations;

(2) Can produce a copy of the Federal Motor Carrier Safety

Regulations and the Hazardous Materials Transportation Regulations;

(3) Has in place a driver safety training/orientation program;

(4) Has prepared and maintains an accident register (49 CFR

390.15);

(5) Is familiar with DOT regulations governing driver

qualifications and has in place a system for overseeing driver

qualification requirements (49 CFR Part 391);

(6) Has in place policies and procedures consistent with DOT

regulations governing driving and operational safety of motor

vehicles, including drivers' hours of service and vehicle

inspection, repair, and maintenance (49 CFR Parts 392, 395 and 396);

(7) Is familiar with and will have in place on the appropriate

effective date, a system for complying with U.S. DOT regulations

governing alcohol and controlled substances testing requirements (49

CFR 382 and 49 CFR Part 40).

{time} YES

[[Page 7380]]

Exempt Applicants--If you will operate only small vehicles (GVWR

under 10,000 pounds) and will not transport hazardous materials, you

are exempt from Federal Motor Carrier Safety Regulations, and must

certify as follows:

Applicant is familiar with and will observe general operational

safety guidelines, as well as any applicable state and local laws

and requirements relating to the safe operation of commercial motor

vehicles and the safe transportation of hazardous materials.

{time} YES

Section V--Government Funding Status

Specify the nature of governmental financial assistance you

receive, if any, by checking the appropriate box below. (Check only

one box.)

{time} Public recipient--Applicant is any of the following:

any state; any municipality, or other political subdivision of a

state; any public agency or instrumentality of such entities of one

or more state(s); an Indian tribe; and any corporation, board of

other person owned or controlled by such entities or owned by,

controlled by, or under common control with such a corporation,

board, or person which is receiving or has ever received

governmental financial assistance for the purchase or operation of

any bus.

{time} Private recipient--Applicant is not a public recipient

but is receiving, or has received in the past, governmental

financial assistance in the form of a subsidy for the purchase,

lease, or operation of any bus.

{time} Non-recipient--Applicant is not receiving, or using

equipment acquired with, governmental financial assistance.

Public Interest Criteria: Regular route applicants and private

recipient applicants may introduce supplemental evidence describing

how the proposed service will respond to existing transportation

needs or is otherwise consistent with the public interest. Filing

this evidence with the application is optional, but it may be needed

later, if the application is protested.

Public Recipient Applicants: All public recipient applicants for

charter or special transportation must submit evidence to

demonstrate either that:

(1) No motor common carrier of passengers (other than a motor

common carrier of passengers that is a public recipient of

governmental assistance) is providing, or is willing and able to

provide, the transportation to be authorized by the certificate; or

(2) The transportation to be authorized by the certificate is to

be provided entirely in the area in which the public recipient

provides regularly scheduled mass transportation services.

Supplemental evidence should be provided on a separate sheet of

paper attached to this application.

Fitness Only Criteria: No additional evidence is needed from

non-recipient applicants for charter and special transportation and

applicants for contract carrier operations.

Section VI--Scope of Operating Authority

(1) {time} Charter and special transportation, in interstate

or foreign commerce, between points in the United States.

(2) {time} International charter and tour bus service across

the U.S.--Mexico border provided by a Mexican owned or controlled

carrier.

(3) {time} Service as a common carrier over regular routes.

(Regular route passenger carrier authority to perform regularly

scheduled service only over named roads or highways.) Regular route

passenger service includes authority to transport newspapers,

baggage of passengers, express packages, and mail in the same motor

vehicle with passengers, or baggage of passengers in a separate

motor vehicle.

Applicants requesting authority to operate over regular routes--

On a separate sheet of paper attached to the application, describe

the specific routes over which you intend to provide regularly

scheduled service. You must also furnish a map clearly identifying

each regular route involved in your passenger carrier service

description(s).

(4) {time} Intrastate authority.

(a) Are you also requesting intrastate authority to provide the

service described in item 3?

{time} YES {time} NO

(b) Do you already hold interstate authority to provide the

service described above?

{time} YES {time} NO

Note: The FHWA has no jurisdiction to register intrastate

authority independently of interstate authority on the same routes.

Also, no carrier may conduct operations under a certificate

authorizing intrastate regular route service unless it actually is

conducting substantial operations in interstate commerce over the

same route.

(5) {time} Scheduled international transportation between the

U.S.--Mexico border and specified points in the United States

provided by a Mexican owned or controlled carrier. (Note:

Applications for this authority will be accepted only after the

relevant access provision of the North American Free Trade Agreement

is implemented.)

(6) {time} Service as a contract carrier between points in

the United States, under continuing contract(s) with persons or

organizations requiring passenger transportation service;

{time} Service as a contract carrier between points in the

United States, under continuing contract(s) with:

----------------------------------------------------------------------

Contracting persons or organizations

Section VII--Affiliations

Affiliation With Other Former ICC Licensed or FHWA Registered

Entities. Disclose any relationship you have or have had with any

other FHWA regulated or former ICC licensed entity. For example,

this could be through a percentage of stock ownership, a loan, or a

management position. If this requirement applies to you, provide the

name of the company, MC number, U.S. DOT number, and that company's

latest U.S. DOT safety rating. (If you require more space, attach

the information to this application form.)

----------------------------------------------------------------------

----------------------------------------------------------------------

----------------------------------------------------------------------

Section VIII--Applicant's Oath

This oath applies to this application and to all supplemental

filings. The signature must be that of applicant, not a legal

representative.

I,-------------------------------------------------------------------

Name and title,

verify under penalty of perjury, under the laws of the United States

of America, that all information supplied on this form or relating

to this application is true and correct. Further, I certify that I

am qualified and authorized to file this application. I know that

willful misstatements or omissions of material facts constitute

Federal criminal violations punishable under 18 U.S.C. 1001 by

imprisonment up to 5 years and fines up to $10,000 for each offense.

Additionally, these misstatements are punishable as perjury under 18

U.S.C. 1621, which provides for fines up to $2,000 or imprisonment

up to 5 years for each offense.

I further certify under penalty of perjury, under the laws of

the United States, that I have not been convicted, after September

1, 1989, of any Federal or State offense involving the distribution

or possession of a controlled substance, or that if I have been so

convicted, I am not ineligible to receive Federal benefits, either

by court order or operation of law, pursuant to Section 5301 of the

Anti-Drug Act of 1988 (21 U.S.C. 862).

Finally, I certify that applicant is not domiciled in Mexico or

owned or controlled by persons of that country. (Note: This portion

of Applicant's Oath does not pertain to Mexican passenger carriers

seeking to provide charter and tour bus service across the United

States--Mexico international border or scheduled international

transportation between the U.S.-Mexico border and specified points

in the United States.)

----------------------------------------------------------------------

Signature

----------------------------------------------------------------------

Date

Filing Fee Information

All applicants must submit a filing fee for each type of

registration requested. The enclosed fee schedule will show the

appropriate filing fee. The total amount due is equal to the fee

times the number of boxes checked in Section II Fees for multiple

authorities may be combined in a single payment.

Total number of boxes checked in Section II ____________ x

filing fee $____________ = $____________

Indicate amount $____________ and method of payment

{time} Check or {time} Money Order, payable to: Federal Highway

Administration

{time} VISA {time} Mastercard

Credit Card Number-----------------------------------------------------

Expiration Date--------------------------------------------------------

Signature--------------------------------------------------------------

[[Page 7381]]

-----------------------------------------------------------------------

Date-------------------------------------------------------------------

Fee Policy

Filing fees must be payable to the Federal Highway

Administration, by check drawn upon funds deposited in a bank in the

United States or money order payable in U.S. currency or by approved

credit card.

Separate fees are required for each type of

registration requested. If applicant requests multiple types of

registrations on one application form (for example, registration as

both a common and contract carrier) or if applicant submits more

than one form in the OP-1 Series in a single filing, multiple fees

are required. The applicant may submit a single payment for the sum

of the applicable fees.

Filing fees must be sent, along with the original and

one copy of the application, to FHWA Lockbox, P.O. Box 100147,

Atlanta, GA 30384-0147.

After an application is received, the filing fee is not

refundable.

The FHWA reserves the right to discontinue processing

any application for which a check is returned because of

insufficient funds. The application will not be processed until the

fee is paid in full.

Paperwork Burden. It is estimated that an average of 2.5 burden

hours per response are required to complete this collection of

information. This estimate includes time for reviewing instructions,

searching existing data sources, gathering and maintaining the data

needed, and completing and reviewing the collection of information.

Comments concerning the accuracy of this burden estimate or

suggestions for reducing this burden should be directed to both the

Federal Highway Administration, Licensing and Insurance Division,

Suite 600, 400 Virginia Avenue, S.W., Washington, DC 20024, and to

the Office of Management and Budget, Office of Information and

Regulatory Affairs (OMB No. 3120-0047), Washington, DC 20403.

Appendix C to Part 365--Form OP-1(FF)--Application to Register as a

Freight Forwarder

Instructions for Form OP-1(FF)--Application for Freight Forwarder

Authority

These instructions will assist you in preparing accurate and

complete application filings. Applications that do not contain the

required information will be rejected and may result in a loss of

the application fee. The application must be typed or printed in

ink. If additional space is needed to provide a response to any

item, use a separate sheet of paper. Identify applicant on each

supplemental page and refer to the section and item number in the

application for each response.

Section I

FHWA Authority. If you now have any former ICC or Federal

Highway Administration authority or have an application for

authority being processed now by FHWA, check the ``YES'' box and

indicate the docket or the MC number you have been assigned.

Example: MC-987654.

Applicant's Legal Business Name and Doing Business as Name. The

applicant name should be your full legal business name--the name on

the incorporation certificate, partnership agreement, tax records,

etc. If you use a trade name that differs from your official

business name, indicate this under ``Doing Business As Name.''

Example: If you are John Jones, doing business as Quick Way

Forwarding, enter ``John Jones'' under APPLICANT'S LEGAL BUSINESS

NAME and ``Quick Way Forwarding'' under DOING BUSINESS AS NAME.

Because the FHWA uses computers to retain information about

licensed carriers, it is important that you spell, space, and

punctuate any name the same way each time you write it. Example:

John Jones Forwarding Co., Inc.; J. Jones Forwarding Co., Inc.; and

John Jones Forwarding are considered three separate companies.

Business Address/Mailing Address. The business address is the

physical location of the business. Example: 756 Bounty Street; 15433

State Highway 23. If applicant receives mail at an address different

from the business location, also provide the mailing address.

Example: P.O. Box 3721. NOTE: To receive pertinent FHWA notices and

to ensure that insurance documents filed on applicant's behalf are

accepted, notify the Licensing Section in writing (Federal Highway

Administration, Licensing and Insurance Division, Suite 600, 400

Virginia Avenue, S.W., Washington, DC 20024) if business or mailing

address changes.

Representative. If someone other than the applicant is preparing

this form, provide the representative's name, title, position, or

relationship to the applicant, address, and telephone and FAX

numbers. Applicant's representative will be the contact person if

there are questions concerning this application.

U.S. DOT Number. Vehicle operating freight forwarders (i.e., if

you will provide a pickup or delivery service) subject to the

Federal Motor Carrier Safety Regulations also are required to

register with the U.S Department of Transportation (U.S. DOT) for

safety monitoring purposes. Vehicle operating freight forwarders

that already have been issued a U.S. DOT number should provide it;

those that have not registered with U.S. DOT should do so by

submitting a completed Form MCS-150, Motor Carrier Identification

Report, with this application. [Note: Vehicle operating freight

forwarder registrants claiming ``EXEMPT'' status under the Section

IV-- ``SAFETY COMPLIANCE'' portion of this form need not file Form

MCS-150.]

Form of Business. A business is either a corporation, sole

proprietorship, partnership, or limited liability company. If the

business is a sole proprietorship, provide the name of the

individual who is the owner. In this situation, the owner is the

authority applicant. If the business is a partnership, provide the

name of each partner.

Section II

Type of Authority. Check the appropriate box to confirm that you

are requesting to register as a freight forwarder; then indicate the

commodities you will forward--household goods, general freight, or

both.

Section III--Insurance Information

All freight forwarder applicants must have on file with the FHWA

proof of adequate insurance as follows:

(a) Public liability insurance--freight forwarders that perform

transfer, collection, and delivery service must have on file

evidence that you maintain appropriate levels of bodily injury and

property damage (BI&PD) insurance and environmental restoration

coverage--filed on Form BMC-91 or BMC-91X. Complete the ``Insurance

Information'' in Section III.

Note: Freight forwarders that:

(1) Do not own or operate any motor vehicles upon the highways

in the transportation of property,

(2) Do not perform transfer, collection, or delivery services,

and

(3) Do not have motor vehicles operated under their direction

and control in the performance of transfer, collection, or delivery

services may request a waiver of liability insurance requirements by

checking the appropriate box in this Section. Operating authority

issued to such forwarders will indicate that BI&PD requirements have

been waived. The waiver is conditional and is valid only as long as

the forwarder remains in compliance with the non-vehicle operating

conditions noted on its operating permit.)

(b) Cargo insurance--all freight forwarders must have on file

minimum levels of cargo insurance--filed on Form BMC-34:

1. $5,000--for loss of or damage to property carried on any one

motor vehicle; and

2. $10,000--for loss of or damage to or aggregate of losses of

or damages to property occurring at any one time and place.

Appropriate insurance forms must be filed within 90 days after

the date notice of your application is published in the FHWA

Register: Form BMC-91 or BMC-91X for bodily injury and property

damage, Form BMC-34 for cargo liability, Form BMC-84 for broker

surety bond, and Form BMC-85 for broker trust fund agreement.

The FHWA does not furnish copies of insurance forms. You must

contact your insurance company to arrange for the filing of all

required insurance forms.

Section IV

Safety Certification. Vehicle operating freight forwarder

applicants must complete the safety certification. You should check

the ``YES'' response only if you can attest to the truth of the

statements. The ``Applicant's Oath'' at the end of the application

form applies to all certifications, and false certifications are

subject to the penalties described in that oath.

If you operate only vehicles with a gross vehicle weight rating

under 10,000 pounds and will not transport hazardous materials, you

are exempt from the U.S. DOT safety fitness regulations; however,

you must certify that you are familiar with and will observe general

operational safety fitness guidelines and applicable state and local

laws relating to the safe operation of commercial motor vehicles.

You must check only one of the boxes in this section.

[[Page 7382]]

Section V

Household Goods Arbitration Certification. All registrants that

will forward household goods as defined at 49 U.S.C. 13102(10) must

complete the required certification concerning arbitration as a

condition of registration.

Section VI

Affiliations. All applicants must disclose pertinent information

concerning affiliations, if any, with other former ICC, now FHWA

licensed entities.

Section VII

Applicant's Oath. Applications may be prepared by the applicant

or an authorized representative. In either case, the oath must be

signed by the applicant. In the case of companies, an authorized

employee in the ownership structure may sign. An individual with

power of attorney to act on behalf of the applicant may sign,

provided that proof of the power of attorney is submitted with the

application.

Legal Process Agents

All applicants must designate a process agent in each state

where operations are authorized. Process agents who will accept

legal filings on applicant's behalf are designated on Form BOC-3.

Form BOC-3 must be filed within 90 days after the date notice of the

application is published in the FHWA Office of Motor Carriers

Register.

State Notification

Before beginning new or expanded interstate operations, you must

contact the appropriate regulatory agencies in every state involved

in your operations to obtain information regarding various state

rules applicable to interstate authorities. It is the applicant's

responsibility to comply with any pertinent state regulations and

procedures. Begin this process by contacting the transportation

regulatory agency for the state in which your business is located.

Mailing Instructions

To file for authority you must submit an original and one copy

of this application with the appropriate filing fee to: FHWA

Lockbox, P.O. Box 100147, Atlanta, GA 30384-0147.

For Express Mail Only

Nationsbank Wholesale Lockbox 100147, 6000 Feldwood Road, 3rd Floor

East, College Park, GA 30349

Note: Retain a copy of the completed application form and any

attachments for your own Records.

Additional Assistance

FHWA Information Sources

Additional information on registration or monitoring the status

of your applications is available through the FHWA Automated

Response Capability (ARC) telephone system. After dialing (202) 358-

7000, press 1, then request appropriate menu number indicated below.

You may use the ARC 24 hours a day, 7 days a week to obtain

information in the following area:

------------------------------------------------------------------------

Menu

Information requested No.

------------------------------------------------------------------------

Status of your application............................ 1

(Note: Tracking the Status of your application can be

simplified and expedited if you refer to the assigned

docket number when making inquiries. You will be informed

of your docket number by letter sent on the date notice of

your application appears in the FHWA Office of Motor

Carriers Register.)

Assistance in filing your application................. 3

Status of insurance and process agent filings......... 2

------------------------------------------------------------------------

If you require information that is not available in the

automated response system, the ARC will guide you to an appropriate

staff member who will be able to assist you in other areas.

U.S. DOT Registration and Safety Ratings

To obtain information on completing Form MCS-150 or to

request a safety fitness review, write to: Director, Information

Analysis, Federal Highway Administration, 400 7th Street, S.W.--HIA-

10, Washington, DC 20590, or call: (800) 832-5660 (Automated

Response System).

For information concerning a carrier's assigned safety

rating, call: (800) 832-5660.

U.S. DOT Hazardous Material Regulations

If a vehicle operating forwarder, to obtain information

on whether the commodities you intend to transport are considered to

be hazardous materials:

Refer to the provisions governing hazardous materials in the

Federal Motor Carrier Safety Regulations at Parts 170 through 189 of

Title 49 of the Code of Federal Regulations (CFR), particularly the

Hazardous Materials Table at 49 CFR Part 172, or contact U.S. DOT at

(202) 366-6121.

To obtain information about DOT hazardous materials

transportation registration requirements: Contact U.S. DOT at (202)

366-4109.

Federal Highway Administration Form OP-1(FF)--Application for Freight

Forwarder Authority

This application is for all individuals and businesses

requesting authority to operate as freight forwarders in interstate

or foreign commerce. Freight forwarders are involved in the

arrangement, assembly, and/or consolidation for transportation where

the actual movement is performed by FHWA-licensed carriers.

Forwarders arrange with the carriers for the actual line-haul

transportation; they do not do it themselves. (Freight forwarders

may provide local pickup and delivery services directly or by using

a carrier under their control.) Freight forwarders issue bills of

lading to shippers and are responsible for loss of or damage to the

goods.

For FHWA Use Only

Docket No. FF----------------------------------------------------------

Filed------------------------------------------------------------------

Fee No.----------------------------------------------------------------

CC Approval No.--------------------------------------------------------

Section I--Applicant Information

Do you now have authority from or an application being processed

by the former ICC or FHWA?

{time} NO {time} YES

If Yes, identify the lead docket number(s)---------------------------

----------------------------------------------------------------------

Legal Business Name

----------------------------------------------------------------------

Doing Business as Name

----------------------------------------------------------------------

Business Address

----------------------------------------------------------------------

Street Name and Number

----------------------------------------------------------------------

City/State/Zip Code

----------------------------------------------------------------------

Telephone Number

----------------------------------------------------------------------

Mailing Address (if different from above)

----------------------------------------------------------------------

Street Name and Number

----------------------------------------------------------------------

City/State/Zip Code

----------------------------------------------------------------------

Representative (Person who can respond to inquiries)

----------------------------------------------------------------------

Name and title, position, or relationship to applicant

----------------------------------------------------------------------

Street Name and Number

----------------------------------------------------------------------

City/State/Zip Code

----------------------------------------------------------------------

Telephone Number

----------------------------------------------------------------------

FAX Number

U.S. DOT Number--------------------------------------------------------

Note: Vehicle operating freight forwarders that have not been

assigned a U.S. DOT number must subm

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