[Federal Register Volume 67, Number 45 (Thursday, March 7, 2002)]
[Rules and Regulations]
[Pages 10332-10336]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 02-5332]


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DEPARTMENT OF TRANSPORTATION

Surface Transportation Board

49 CFR Part 1002

[STB Ex Parte No. 542 (Sub-No. 8)]


Regulations Governing Fees For Services Performed in Connection 
With Licensing and Related Services--2002 Update

AGENCY: Surface Transportation Board, DOT.

ACTION: Final rules.

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SUMMARY: The Board adopts its 2002 User Fee Update and revises its fee 
schedule at this time to recover the costs

[[Page 10333]]

associated with the January 2002 Government salary increases.

EFFECTIVE DATE: These rules are effective April 8, 2002.

FOR FURTHER INFORMATION CONTACT: David T. Groves, (202) 565-1551, or 
Anne Quinlan, (202) 565-1727. [TDD for the hearing impaired: 1-800-877-
8339.]

SUPPLEMENTARY INFORMATION: The Board's regulations in 49 CFR 1002.3 
require the Board's user fee schedule to be updated annually. The 
Board's regulation at 49 CFR 1002.3(a) provides that the entire fee 
schedule or selected fees can be modified more than once a year, if 
necessary. The Board's fees are revised based on the cost study formula 
set forth at 49 CFR 1002.3(d). Also, in some previous years, selected 
fees were modified to reflect new cost study data or changes in agency 
fee policy.
    Because Board employees received a salary increase of 4.77% in 
January 2002, we are updating our user fees to recover the increased 
personnel costs. With certain exceptions, all fees will be updated 
based on our cost formula contained in 49 CFR 1002.3(d).
    The fee increases involved here result only from the mechanical 
application of the update formula in 49 CFR 1002.3(d), which was 
adopted through notice and comment procedures in Regulations Governing 
Fees for Services-1987 Update, 4 I.C.C.2d 137 (1987). In addition, no 
new fees are being proposed in this proceeding. Therefore, we find that 
notice and comment are unnecessary for this proceeding. See Regulations 
Governing Fees For Services-1990 Update, 7 I.C.C.2d 3 (1990); 
Regulations Governing Fees For Services-1991 Update, 8 I.C.C.2d 13 
(1991); and Regulations Governing Fees For Services-1993 Update, 9 
I.C.C.2d 855 (1993).
    We conclude that the fee changes adopted here will not have a 
significant economic impact on a substantial number of small entities 
because the Board's regulations provide for waiver of filing fees for 
those entities that can make the required showing of financial 
hardship.
    Additional information is contained in the Board's decision. To 
obtain a copy of the full decision, write, call, or pick up in person 
from the Board's contractor, Da-To-Da Legal, Suite 405, 1925 K Street, 
NW., Washington, DC 20006. Telephone: (202) 293-7776. (Assistance for 
the hearing impaired is available through TDD services 1-800-877-8339.)

List of Subjects in 49 CFR Part 1002

    Administrative practice and procedure, Common carriers, Freedom of 
information, User fees.

    Decided: February 28, 2002.

    By the Board, Chairman Morgan and Vice Chairman Burkes.
Vernon A. Williams,
Secretary.
    For the reasons set forth in the preamble, title 49, chapter X, 
part 1002, of the Code of Federal Regulations is amended as follows:

PART 1002--FEES

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

    Authority: 5 U.S.C. 552(a)(4)(A) and 553; 31 U.S.C. 9701 and 49 
U.S.C. 721(a).


    2. Section 1002.1 is amended by revising paragraphs (a) through (d) 
and (e)(1) and the table in paragraph (f)(6) to read as follows:


Sec. 1002.1  Fees for record search, review, copying, certification, 
and related services.

* * * * *
    (a) Certificate of the Secretary, $12.00.
    (b) Service involved in examination of tariffs or schedules for 
preparation of certified copies of tariffs or schedules or extracts 
therefrom at the rate of $30.00 per hour.
    (c) Service involved in checking records to be certified to 
determine authenticity, including clerical work, etc., incidental 
thereto, at the rate of $21.00 per hour.
    (d) Photocopies of tariffs, reports, and other public documents, at 
the rate of $1.00 per letter or legal size exposure. A minimum charge 
of $5.00 will be made for this service.
    (e) * * *
    (1) A fee of $53.00 per hour for professional staff time will be 
charged when it is required to fulfill a request for ADP data.
* * * * *
    (f) * * *
    (6) * * *

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                         Grade                                  Rate              Grade               Rate
----------------------------------------------------------------------------------------------------------------
GS-1...................................................              $8.93               GS-9             $20.86
GS-2...................................................               9.72              GS-10              22.97
GS-3...................................................              10.96              GS-11              25.23
GS-4...................................................              12.30              GS-12              30.24
GS-5...................................................              13.76              GS-13              35.96
GS-6...................................................              15.34              GS-14              42.50
GS-7...................................................              17.05          GS-15 and              49.99
GS-8...................................................              18.88               over
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* * * * *

    2. In Sec. 1002.2, paragraph (f) is revised as follows:


Sec. 1002.2  Filing fees.

    (a) * * *
    (f) Schedule of filing fees.

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                  Type of proceeding                          Fee
------------------------------------------------------------------------
PART I: Non-Rail Applications or Proceedings to Enter
 Upon a Particular Financial Transaction or Joint
 Arrangement:
(1) An application for the pooling or division of                 $3,200
 traffic.............................................
(2) An application involving the purchase, lease,                  1,500
 consolidation, merger, or acquisition of control of
 a motor carrier of passengers under 49 U.S.C. 14303.
(3) An application for approval of a non-rail rate                20,400
 association agreement. 49 U.S.C. 13703..............
(4) An application for approval of an amendment to a
 non-rail rate association agreement:................
    (i) Significant amendment........................              3,400
    (ii) Minor amendment.............................                 70
(5) An application for temporary authority to operate                350
 a motor carrier of passengers. 49 U.S.C. 14303(i)...

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(6) A notice of exemption for transaction within a                 1,300
 motor passenger corporate family that does not
 result in adverse changes in service levels,
 significant operational changes, or a change in the
 competitive balance with motor passenger carriers
 outside the corporate family........................
(7)-(10) [Reserved]..................................
PART II: Rail Licensing Proceedings other than
 Abandonment or Discontinuance Proceedings:
(11) (i) An application for a certificate authorizing              5,300
 the extension, acquisition, or operation of lines of
 railroad. 49 U.S.C. 10901...........................
    (ii) Notice of exemption under 49 CFR 1150.31-                 1,300
     1150.35.........................................
    (iii) Petition for exemption under 49 U.S.C.                   9,300
     10502...........................................
(12) (i) An application involving the construction of             55,000
 a rail line.........................................
    (ii) A notice of exemption involving construction              1,300
     of a rail line under 49 CFR 1150.36.............
    (iii) A petition for exemption under 49 U.S.C.                55,000
     10502 involving construction of a rail line.....
(13) A Feeder Line Development Program application                 2,600
 filed under 49 U.S.C. 10907(b)(1)(A)(i) or
 10907(b)(1)(A)(ii)..................................
(14) (i) An application of a class II or class III                 4,600
 carrier to acquire an extended or additional rail
 line under 49 U.S.C. 10902..........................
    (ii) Notice of exemption under 49 CFR 1150.41-                 1,300
     1150.45.........................................
    (iii) Petition for exemption under 49 U.S.C.                   4,900
     10502 relating to an exemption from the
     provisions of 49 U.S.C. 10902...................
(15) A notice of a modified certificate of public                  1,200
 convenience and necessity under 49 CFR 1150.21-
 1150.24.............................................
(16)-(20) [Reserved].................................
PART III: Rail Abandonment or Discontinuance of
 Transportation Services Proceedings:
(21)(i) An application for authority to abandon all               16,300
 or a portion of a line of railroad or discontinue
 operation thereof filed by a railroad (except
 applications filed by Consolidated Rail Corporation
 pursuant to the Northeast Rail Service Act [Subtitle
 E of Title XI of Pub. L. 97-35], bankrupt railroads,
 or exempt abandonments).............................
    (ii) Notice of an exempt abandonment or                        2,700
     discontinuance under 49 CFR 1152.50.............
    (iii) A petition for exemption under 49 U.S.C.                 4,700
     10502...........................................
(22) An application for authority to abandon all or a                350
 portion of a line of a railroad or operation thereof
 filed by Consolidated Rail Corporation pursuant to
 Northeast Rail Service Act..........................
(23) Abandonments filed by bankrupt railroads........              1,400
(24) A request for waiver of filing requirements for               1,300
 abandonment application proceedings.................
(25) An offer of financial assistance under 49 U.S.C.              1,100
 10904 relating to the purchase of or subsidy for a
 rail line proposed for abandonment..................
(26) A request to set terms and conditions for the                16,700
 sale of or subsidy for a rail line proposed to be
 abandoned...........................................
(27) A request for a trail use condition in an                       150
 abandonment proceeding under 16 U.S.C. 1247(d)......
(28)-(35) [Reserved].................................
PART IV: Rail Applications to Enter Upon a Particular
 Financial Transaction or Joint Arrangement:
(36) An application for use of terminal facilities or             14,000
 other applications under 49 CFR 11102...............
(37) An application for the pooling or division of                 7,500
 traffic. 49 U.S.C. 11322............................
(38) An application for two or more carriers to
 consolidate or merge their properties or franchises
 (or a part thereof) into one corporation for
 ownership, management, and operation of the
 properties previously in separate ownership. 49
 U.S.C. 11324:
    (i) Major transaction............................          1,099,800
    (ii) Significant transaction.....................            219,900
    (iii) Minor transaction..........................              5,800
    (iv) Notice of an exempt transaction under 49 CFR              1,300
     1180.2(d).......................................
    (v) Responsive application.......................              5,800
    (vi) Petition for exemption under 49 U.S.C. 10502              6,900
(39) An application of a non-carrier to acquire
 control of two or more carriers through ownership of
 stock or otherwise. 49 U.S.C. 11324:
    (i) Major transaction............................          1,099,800
    (ii) Significant transaction.....................            219,900
    (iii) Minor transaction..........................              5,800
    (iv) A notice of an exempt transaction under 49                1,000
     CFR 1180.2(d)...................................
    (v) Responsive application.......................              5,800
    (vi) Petition for exemption under 49 U.S.C. 10502              6,900
(40) An application to acquire trackage rights over,
 joint ownership in, or joint use of any railroad
 lines owned and operated by any other carrier and
 terminals incidental thereto. 49 U.S.C. 11324:
    (i) Major transaction............................          1,099,800
    (ii) Significant transaction.....................            219,900
    (iii) Minor transaction..........................              5,800
    (iv) Notice of an exempt transaction under 49 CFR                900
     1180.2(d).......................................
    (v) Responsive application.......................              5,800
    (vi) Petition for exemption under 49 U.S.C. 10502              6,900
(41) An application of a carrier or carriers to
 purchase, lease, or contract to operate the
 properties of another, or to acquire control of
 another by purchase of stock or otherwise. 49 U.S.C.
 11324:
    (i) Major transaction............................          1,099,800
    (ii) Significant transaction.....................            219,900
    (iii) Minor transaction..........................              5,800
    (iv) Notice of an exempt transaction under 49 CFR              1,000
     1180.2(d).......................................
    (v) Responsive application.......................              5,800
    (vi) Petition for exemption under 49 U.S.C. 10502              4,900
(42) Notice of a joint project involving relocation                1,800
 of a rail line under 49 CFR 1180.2(d)(5)............
(43) An application for approval of a rail rate                   51,400
 association agreement. 49 U.S.C. 10706..............
(44) An application for approval of an amendment to a
 rail rate association agreement. 49 U.S.C. 10706:
    (i) Significant amendment........................              9,500
    (ii) Minor amendment.............................                 70

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(45) An application for authority to hold a position                 550
 as officer or director under 49 U.S.C. 11328........
(46) A petition for exemption under 49 U.S.C. 10502                5,900
 (other than a rulemaking) filed by rail carrier not
 otherwise covered...................................
(47) National Railroad Passenger Corporation (Amtrak)                150
 conveyance proceeding under 45 U.S.C. 562...........
(48) National Railroad Passenger Corporation (Amtrak)                150
 compensation proceeding under Section 402(a) of the
 Rail Passenger Service Act..........................
(49)-(55) [Reserved].................................
PART V: Formal Proceedings:
(56) A formal complaint alleging unlawful rates or
 practices of carriers:
    (i) A formal complaint filed under the coal rate              61,400
     guidelines (Stand-Alone Cost Methodology)
     alleging unlawful rates and/or practices of rail
     carriers under 49 U.S.C. 10704(c)(1)............
    (ii) All other formal complaints (except                       6,000
     competitive access complaints...................
    (iii) Competitive access complaints..............                150
(57) A complaint seeking or a petition requesting                  6,500
 institution of an investigation seeking the
 prescription or division of joint rates or charges.
 49 U.S.C. 10705.....................................
(58) A petition for declaratory order:
    (i) A petition for declaratory order involving a               1,000
     dispute over an existing rate or practice which
     is comparable to a complaint proceeding.........
    (ii) All other petitions for declaratory order...              1,400
(59) An application for shipper antitrust immunity.                5,200
 49 U.S.C. 10706(a)(5)(A)............................
(60) Labor arbitration proceedings...................                150
(61) Appeals to a Surface Transportation Board                       150
 decision and petitions to revoke an exemption
 pursuant to 49 U.S.C. 10502(d)......................
(62) Motor carrier undercharge proceedings...........                150
(63)-(75) [Reserved].................................
PART VI: Informal Proceedings:
(76) An application for authority to establish                       900
 released value rates or ratings for motor carriers
 and freight forwarders of household goods under 49
 U.S.C. 14706........................................
(77) An application for special permission for short                  90
 notice or the waiver of other tariff publishing
 requirements........................................
(78) (i) The filing of tariffs, including                1 per page ($18
 supplements, or contract summaries..................   minimum charge.)
    (ii) Tariffs transmitted by fax..................         1 per page
(79) Special docket applications from rail and water
 carriers:
    (i) Applications involving $25,000 or less.......                 50
    (ii) Applications involving over $25,000.........                100
(80) Informal complaint about rail rate applications.                450
(81) Tariff reconciliation petitions from motor
 common carriers:
    (i) Petitions involving $25,000 or less..........                 50
    (ii) Petitions involving over $25,000............                100
(82) Request for a determination of the applicability                150
 or reasonableness of motor carrier rates under 49
 U.S.C. 13710(a)(2) and (3)..........................
(83) Filing of documents for recordation. 49 U.S.C.      30 per document
 11301 and 49 CFR 1177.3(c)..........................
(84) Informal opinions about rate applications (all                  150
 modes)..............................................
(85) A railroad accounting interpretation............                800
(86) An operational interpretation...................              1,100
(87) Arbitration of Certain Disputes Subject to the
 Statutory Jurisdiction of the Surface Transportation
 Board under 49 CFR 1108:
    (i) Complaint....................................                 75
    (ii) Answer (per defendant), Unless Declining to                  75
     Submit to Any Arbitration.......................
    (iii) Third Party Complaint......................                 75
    (iv) Third Party Answer (per defendant), Unless                   75
     Declining to Submit to Any Arbitration..........
    (v) Appeals of Arbitration Decisions or Petitions                150
     to Modify or Vacate an Arbitration Award........
(88)-(95) [Reserved].................................
PART VII: Services:
(96) Messenger delivery of decision to a railroad        23 per delivery
 carrier's Washington, DC, agent.....................
(97) Request for service or pleading list for                18 per list
 proceedings.........................................
(98) (i) Processing the paperwork related to a                       200
 request for the Carload Waybill Sample to be used in
 a Surface Transportation Board or State proceeding
 that does not require a Federal Register notice.....
    (ii) Processing the paperwork related to a                       450
     request for Carload Waybill Sample to be used
     for reasons other than a Surface Transportation
     Board or State proceeding that requires a
     Federal Register notice.........................
(99) (i) Application fee for the Surface                             100
 Transportation Board's Practitioners' Exam..........
    (ii) Practitioners' Exam Information Package.....                 25
(100) Uniform Railroad Costing System (URCS) software
 and information:....................................
    (i) Initial PC version URCS Phase III software                    50
     program and manual..............................
    (ii) Updated URCS PC version Phase III cost file,                 10
     if computer disk provided by requestor..........
    (iii) Updated URCS PC version Phase III cost                      20
     file, if computer disk provided by the Board....
    (iv) Public requests for Source Codes to the PC                  500
     version URCS Phase III..........................
    (v) PC version or mainframe version URCS Phase II                400
    (vi) PC version or mainframe version Updated                      50
     Phase II databases..............................
    (vii) Public requests for Source Codes to PC                   1,500
     version URCS Phase II...........................
(101) Carload Waybill Sample data on recordable
 compact disk (R-CD):................................
    (i) Requests for Public Use File on R-CD-First                   450
     Year............................................
    (ii) Requests for Public Use File on R-CD Each                   150
     Additional Year.................................
    (iii) Waybill--Surface Transportation Board or                   650
     State proceedings on R-CD--First Year...........
    (iv) Waybill--Surface Transportation Board or                    450
     State proceedings on R-CD--Second Year on same R-
     CD..............................................

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    (v) Waybill--Surface Transportation Board of                     500
     State proceeding on R-CD--Second Year on
     different R-CD..................................
    (vi) User Guide for latest available Carload                      50
     Waybill Sample..................................
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[FR Doc. 02-5332 Filed 3-6-02; 8:45 am]
BILLING CODE 4915-00-P