[Federal Register Volume 63, Number 30 (Friday, February 13, 1998)]
[Proposed Rules]
[Pages 7362-7387]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-3560]
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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 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 Authority
{time} Freight Forwarder
{time} General Freight
{time} Household Goods
Section III--Insurance Information
Freight forwarders that perform transfer, collection, and
delivery service must have on file evidence of appropriate levels of
liability insurance for the protection of the public. The dollar
amounts in parentheses represent
[[Page 7383]]
the minimum amount of bodily injury and property damage (liability)
insurance coverage you must maintain and have on file with the FHWA.
Note: All freight forwarder applicants should refer to the
instructions for information on cargo insurance filing requirements.
{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, 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 materials), or highway route
controlled quantity of radioactive materials ($5,000,000).
{time} Commodities other than those listed above ($300,000).
{time} Applicant seeks a waiver of liability (BI&PD) insurance
requirements and certifies that in its forwarding operations it:
{time} (1) Will not own or operate any motor vehicles upon the
highways in the transportation of property;
{time} (2) Will not perform transfer, collection, or delivery
services; and
{time} (3) Will not have motor vehicles under its direction
and control in the performance of transfer, collection, or delivery
services.
Section IV--Safety Compliance (Vehicle Operating Freight Forwarder
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
regulation;
(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--Household Goods Arbitration
Household Goods Arbitration Certification. All freight forwarder
registrants that will forward 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 registration, registrant 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 VI--Affiliations
Affiliation With Other Former ICC Licensed or FHWA Registered
Entities. Disclose any relationship you have or have had with any
other FHWA-licensed entity within the past 3 years. 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, 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 VII--Applicant's Oath
This oath applies to all supplemental filings to this
application. The signature must be that of applicant, not 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).
----------------------------------------------------------------------
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. 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 amount of payment
{time} Check or {time} Money Order, payable to: Federal Highway
Administration
{time} VISA {time} Mastercard
Credit Card Number-----------------------------------------------------
Expiration 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 fees 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 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 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 only: FHWA, Licensing
and Insurance Division, Suite 600, 400 Virginia Avenue, SW.,
Washington, DC, 20024.
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
[[Page 7384]]
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, SW., Washington, DC 20024, and to
the Office of Management and Budget, Office of Information and
Regulatory Affairs (OMB No. 3120-0047), Washington, DC 10403.
Appendix D to Part 365--Form OP-1(MX)--Application for Registration of
Mexican Property Carriers Provided by the North American Free Trade
Agreement
Instructions for Form OP-1(MX)--Application by Mexican Carriers to
Register as Provided by the North American Free Trade Agreement
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 completed in English
and 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: MX-987654.
Applicant's Legal Business Name and Doing Business as Name. The
applicant's 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
licensed 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. Example: 756 El Camino Real,
Jalisco. 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, Suite 600, 400 Virginia Avenue, S.W., Washington, DC
20024, if the business of 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
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 Authority. Check the appropriate box(es) for the type(s)
of operations you are registering. If you are desiring to establish
a United States based enterprise, you may only check the last box in
this section of the application form. Note: 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(es) to describe
the type of business you will be conducting. If you operate vehicles
with a gross vehicle weight rating exceeding 10,000 pounds 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 FHWA's insurance regulations
at 49 CFR 1043.2(b)(2)(c) require $1 million minimum liability
coverage; those at 49 CFR 1043.2(b)(2)(b) require $5 million minimum
liability coverage.
If you operate only vehicles with a gross vehicle weight rating
under 10,000 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 materials); or highway route controlled
quantity of radioactive materials, you must maintain $5 million
minimum liability coverage.
Minimum levels of cargo insurance must be maintain 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 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.
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 trust 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.
Failure to comply with the safety fitness standards of the U.S.
Department of Transportation will result in the revocation of the
motor carrier authority.
Section V
Affiliations. All applicants must disclose pertinent information
concerning affiliations, if any, with other former ICC or FHWA
registered entities.
Section 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.
[[Page 7385]]
Legal Process Agents
All motor carrier 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 Register.
State Notification
Before beginning 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
selecting the state of California, New Mexico or Texas as your base
state for payment of registration fees. See 49 CFR Part 1023. You
should select the state in which you will operate the largest number
of motor vehicles in the next year and contact that state's
transportation agency (the California Public Utilities Commission,
in San Francisco; the New Mexico State Corporation Commission, in
Santa Fe; or the Texas Department of Transportation, in Austin), to
obtain registration forms and instructions. Failure to accomplish
this state registration could subject you to substantial state
penalties as well as the potential loss of your operating authority.
Mailing Instructions
To file for authority you must submit an original and one copy
of this application with the appropriate filing fee to FHWA.
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, SW., Washington, DC 20024
Additional information on obtaining operating authority or
monitoring the status of your application is available through the
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:
Additional Assistance
Information Sources
------------------------------------------------------------------------
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 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. Department of Transportation Information Sources
U.S. DOT Registration and Safety Ratings
To obtain information on registering with U.S. DOT
(filing 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
intent 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.
This application is for all Mexican carriers requesting
authority to transport property (including exempt items) in foreign
commerce between the U.S.-Mexico Border and points in California,
Arizona, New Mexico and Texas and for all Mexican owned or
controlled enterprises established in the United States to transport
international cargo in foreign commerce.
For FHWA Use Only
Docket No. MX----------------------------------------------------------
DOT No.----------------------------------------------------------------
Filed------------------------------------------------------------------
Fee No.----------------------------------------------------------------
CC Approval No.--------------------------------------------------------
Section--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
----------------------------------------------------------------------
Telephone Number
----------------------------------------------------------------------
Street Name and Number
----------------------------------------------------------------------
City/State/Zip Code
----------------------------------------------------------------------
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
Mexican or U.S. State of Incorporation---------------------------------
{time} Sole Proprietorship
Name of Individual-----------------------------------------------------
{time} Partnership
Identify Partners------------------------------------------------------
{time} Limited Liability Company
Section II--Type of Authority
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.
{time} Motor Common Carrier of Property
{time} General Freight
{time} Household Goods
{time} Motor Contract Carrier of Property
{time} General Freight
{time} Household Goods
{time} Private Carrier
{time} United States based enterprises providing truck services
for the transportation of international cargo
{time} General Freight
{time} Household Goods
Section III--Insurance Information
This section must be completed by ALL motor property carrier
applicants. The dollar
[[Page 7386]]
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.
{time} Will operate vehicles having Gross Vehicle Weight Ratings
(GVWR) of 10,000 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 10,000 pounds to transport:
{time} 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 materials); or highway route
controlled quantity of radioactive materials ($5,000,000).
{time} Commodities other than those listed above ($300,000).
Section IV--Safety Certification
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) Can produce on 48 hours notice records demonstrating
compliance with the Federal Motor Carrier Safety Regulations and the
Hazardous Materials Transportation Regulations;
(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);
and
(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
Any authority sought pursuant to this application will remain in
effect only as long as the carrier satisfies the safety fitness
standards of the U.S. Department of Transportation. See Safety
Fitness Policy, 8 I.C.C.2d 123 (1991).
Exempt Registrant--If you will operate only small vehicles (GVWR
under 10,000 pounds) and will not transport hazardous materials of a
type and/or amount required to be placarded, check here to indicate
your exempt status and then complete the certification below:
{time} Exempt Registrant
Applicant is familiar with and will observe general operation
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 or FHWA Registered Entities.
Disclose any relationship you have or have had with any other former
ICC or FHWA registered entity within the past 3 years. 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, 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 Certifications
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 registration, registrant 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 all supplemental filings to this
application. The signature must be that of applicant, not 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).
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 fees are required for each type of authority
requested. If applicant requests multiple types of permanent
authority for example, common and contract carrier authority,
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, 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.
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. 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--------------------------------------------------------------
Date-------------------------------------------------------------------
Paperwork Burden. It is estimated that an average of 1.5 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
[[Page 7387]]
burden should be directed to both the Federal Highway
Administration, Licensing and Insurance Division, 400 Virginia
Avenue, S.W., Suite 600, 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 E to Part 365--Form OCE-46--Request for Revocation of
Registration
Federal Highway Administration
Request for Revocation of Registration
Docket No.-------------------------------------------------------------
----------------------------------------------------------------------
Name of carrier, freight forwarder, or broker making request
----------------------------------------------------------------------
Address, City, State, Zip Code of requesting carrier
For the reasons stated below, this carrier, freight forwarder,
or broker, which is the holder of the above-identified permits(s),
certificates(s), or license(s), hereby requests revocation of such
registration to the extent specified, in accordance with the
provisions of 49 U.S.C. 13905.
Reason for request for revocation:
----------------------------------------------------------------------
It is clearly understood that upon revocation of this
registration, operations which are revoked may not be resumed unless
this authority is reinstated as provided at 49 CFR 365.96, or other
registration shall have been issued.
----------------------------------------------------------------------
Type/print name of person authorized to submit this request
----------------------------------------------------------------------
Daytime Telephone Number
----------------------------------------------------------------------
Signature of person authorized to submit this request
----------------------------------------------------------------------
Date
Note: Signature must be notarized OR signed in the presence of a
FHWA staff member.
Affix Notary Seal here
or
----------------------------------------------------------------------
Signature of FHWA Staff Member
----------------------------------------------------------------------
Date
----------------------------------------------------------------------
Title
City/County:________-------------------------------------------------
State:________---------------------------------------------------------
Subscribed and sworn to before me this ________ day of
____________________, 19____
----------------------------------------------------------------------
My Commission Expires:-------------------------------------------------
Paperwork Burden: it is estimated that an average of .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. 2125-0571), Washington, DC 20503.
BILLING CODE 4910-22-M
PART 385--SAFETY FITNESS PROCEDURES
2. The authority citation for part 385 continues to read as
follows:
Authority: 49 U.S.C. 104, 504, 521(b)(5)(A), 5113, 31136, 31144,
31502; and 49 CFR 1.48.
3. In Sec. 385.21, paragraph (b) is revised to read as follows:
Sec. 385.21 Motor carrier identification report.
* * * * *
(b) Except as provided at 49 CFR 365.111(f)(2), all motor carriers
beginning operation after the effective date of this rule shall file
the Motor Carrier Identification Report, Form MCS-150, within 90 days
after beginning operations.
Note: For-hire motor carriers and vehicle operating freight
forwarders required to register their operations as provided under
49 U.S.C. 13901-13905 must submit Form MCS-150 concurrently with
their registration application as required under 49 CFR 365.111
(f)(2).
PART 387--MINIMUM LEVELS OF FINANCIAL REPONSIBILITY FOR MOTOR
CARRIERS
4. The authority citation for part 387 continues to read as
follows:
Authority: 49 U.S.C. 13101, 13301, 13906, 14701, 31138, and
31139; and 49 CFR 1.48.
5. Section 387.33 is amended by designating the unumbered paragraph
as paragraph (a), by adding the subheading ``General limits'' at the
beginning of paragraph (a), and by adding paragraph (b) to read as
follows:
Sec. 387.33 Financial responsibility, minimum levels.
(a) General limits. * * *
(b) Limits applicable to transit service providers. Notwithstanding
the provisions of 49 CFR 387.33(a), the minimum level of financial
responsibility for a motor vehicle used to provide transportation
services within a transit service area located in more than one State
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,
including transportation designed and carried out to meet the special
needs of elderly individuals and individuals with disabilities, will be
at least the highest level required for any of such States. Transit
service providers conducting such operations must register as for-hire
passenger carriers under part 365 of this subchapter, identify the
States in which they operate under the applicable grants, and certify
on their registration documents that they have in effect financial
responsibility levels in an amount equal to or greater than the highest
level required by any of the States in which they are operating under a
qualifying grant.
[FR Doc. 98-3560 Filed 2-12-98; 8:45 am]
BILLING CODE 4910-22-P