[Federal Register Volume 67, Number 176 (Wednesday, September 11, 2002)]
[Proposed Rules]
[Pages 57554-57557]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 02-22918]


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DEPARTMENT OF TRANSPORTATION

Surface Transportation Board

49 CFR Part 1002

[STB Ex Parte No. 542 (Sub-No. 4)]


Regulations Governing Fees for Services Performed in Connection 
With Licensing and Related Services--2002 New Fees

AGENCY: Surface Transportation Board, Transportation.

ACTION: Notice of proposed rulemaking and request for comments.

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SUMMARY: The Board proposes to: establish 22 fees for services for 
which no fee currently is assessed; raise the below-cost fee that 
currently applies to six fee items; update fees for nine existing fee 
items; and amend, renumber and delete certain rules to conform to 
existing and proposed fee collection policies and processes. The Board 
proposes these changes under the Independent Offices Appropriations Act 
and OMB Circular A-25, User Fees. We request comments on these 
proposals.

DATES: Comments are due on October 11, 2002.

ADDRESSES: Send comments (an original plus 10 copies) referring to Ex 
Parte No. 542 (Sub-No. 4) to: Surface Transportation Board, Case 
Control Branch, 1925 K Street, NW., Washington, DC 20423-0001.

FOR FURTHER INFORMATION CONTACT: Anne K. Quinlan (202) 565-1727 or 
David T. Groves (202) 565-1551. (Federal Information Relay Service 
(FIRS) for the hearing impaired: 1 (800) 877-8339.)

SUPPLEMENTARY INFORMATION: The Independent Offices Appropriations Act, 
31 U.S.C. 9701 (IOAA), is the basis for user fees charged by Federal 
agencies. Under the IOAA, agencies are

[[Page 57555]]

required to ensure that ``* * * each service or thing of value provided 
by an agency * * * to a person * * * be self-sustaining to the extent 
possible.'' 31 U.S.C. 9701(a). Office of Management and Budget (OMB) 
Circular No. A-25 User Fees, revised July 8, 1993 (Circular A-25), 
establishes federal policy regarding fees assessed for government 
services pursuant to the IOAA. Circular A-25 states that the general 
policy of the federal government is that ``[a] user charge will be 
assessed against each identifiable recipient for special benefits 
derived from federal activities beyond those received by the general 
public.'' Circular A-25, section 6.
    Pursuant to these directives, the Board is proposing to establish 
22 new fees to cover services and activities that have not previously 
been included in the Board's user fee regulations, including a catch-
all ``basic'' fee for STB adjudicatory services not already covered by 
a specific fee. Specifically, the Board proposes to establish new fees 
to cover the following services, which confer special benefits on 
identifiable recipients. Under section 1002.1, we propose to charge a 
fee for courier services involved in retrieval of off-site agency 
records [rule 1002.1(e)]. Under section 1002.2, we propose to charge 
fees to address: petitions for exemption, and petitions to revoke 
exemptions, under 49 U.S.C. 13541 [fee items (f)(2)(ii) and (iii)]; 
requests for dispute determinations under 49 U.S.C. 10901(d) [fee item 
(f)(12)(iv)]; requests to extend trail use negotiation periods [fee 
item (f)(27)(ii)]; requests for waiver or clarification of Board 
regulations in major rail finance transactions under 49 U.S.C. 11323, 
and in other cases not otherwise covered [fee items (f)(38)(vii)-
(41)(vii) and (f)(65), respectively]; formal complaints by small 
shippers in rail maximum rate cases [fee item (f)(56)(ii)]; requests 
for orders compelling a carrier to file a common carrier rate [fee item 
(f)(56)(v)]; appeals from procedural and discovery rulings [fee items 
(f)(61)(ii) and (f)(64)(iii), respectively]; requests for expedited 
relief under 49 CFR parts 1146 and 1147 [fee items (f)(63)(i) and (ii), 
respectively]; motions to compel discovery [fee items (f)(64)(i) and 
(ii)]; requests to use voting trust agreements [fee items (f)(86)(ii) 
and (iii)]; and a catch-all, basic fee for STB adjudicatory services 
not otherwise covered [fee item (f)(88)].
    The Board currently assesses a below-full cost fee of $150 
(comparable to the fee for filing a matter with a court system) for six 
fee items, specifically: trail use requests [fee item (f)(27)]; Amtrak 
conveyance proceedings [fee item (f)(47)]; Amtrak compensation 
proceedings [fee item (f)(48)]; labor arbitration proceedings [fee item 
(f)(60)]; appeals to Board decisions and petitions to revoke exemptions 
[fee item (f)(61)]; and motor carrier undercharge proceedings [fee item 
(f)(62)]. We propose to raise this fee to the basic fee level of $200 
to better reflect Board costs.
    Cost data for the above proposed fees are based on contemporaneous 
time and motion studies for some fee items, based on after-the-fact 
interviews with staff involved in the proceedings for other fee items, 
and, for a few fee items, based on what we believe are conservative 
projections by informed staff.
    Finally, the Board proposes to amend several fee regulations to 
accomplish the following: (1) Reflect current business practices with 
respect to fee processing; (2) permit use of the billing account system 
to collect fees for documents filed for recording under 49 U.S.C. 
11301; (3) change the process for handling fee waiver requests; (4) 
update two fees previously overlooked; (5) revise three fee items; and 
(6) delete a few obsolete regulations. The proposed regulations are set 
forth in the Appendix.
    Pursuant to 5 U.S.C. 605(b) we certify that the proposed rules will 
not have a significant economic impact on a substantial number of small 
entities. The economic impact of the proposed fees will not be 
significant because the Board fee would represent only a small portion 
of the overall cost of the related endeavor. Moreover, few small 
entities avail themselves of the services to which the proposed fees 
apply. Finally, the Board's regulations provide for waiver of filing 
fees for those entities that can make the required showing of financial 
hardship.
    This action will not significantly affect either the quality of the 
human environment or the conservation of energy resources.
    Additional information is contained in the Board's decision. To 
obtain a free copy of the full decision, visit the Board's website at 
http://www.stb.dot.gov; call the Board's Information Officer at (202) 
565-1674; or pick up in person from the Information Officer, Suite 100, 
Surface Transportation Board, 1925 K Street, NW., Washington, DC 20423-
0001. To purchase a copy of the decision, write to, call, email, or 
pick up in person from Da-2-Da Legal Copy Service, Room 405, 1925 K 
Street, NW., Washington, DC 20006, (202) 293-7776, 
[email protected]. [Assistance for the hearing impaired is 
available through Federal Information Relay Services (FIRS): (800) 877-
8339.]

List of Subjects in 49 CFR Part 1002

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

    Decided: August 28, 2002.

    By the Board, Chairman Morgan and Vice Chairman Burkes.
Vernon A. Williams,
Secretary.

    For the reasons set forth in the preamble, the Surface 
Transportation Board proposes to amend 49 CFR part 1002 as follows:

PART 1002--FEES

    1. The authority citation for part 1002 is revised 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.

    Section 1002.1(g)(11) also issued under 5 U.S.C. 5514 and 31 
U.S.C. 3717.

    2. Amend section 1002.1 as follows:
    a. Redesignate paragraphs (e) through (h) as paragraphs (f) through 
(i);
    b. Remove newly redesignated paragraph (f)(2) and designate newly 
redesignated paragraph (f)(3) as paragraph (f)(2);
    c. Add new paragraph (e) and revise newly redesignated paragraphs 
(g)(7), (g)(8) and (h) to read as follows:


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

* * * * *
    (e) Fees for courier services to transport agency records to 
provide on-site access to agency records stored off-site will be set at 
the rates set forth in the Board's agreement with its courier service 
provider. Rate information is available on the Board's website (http://www.stb.dot.gov), or can be obtained from the Board's Information 
Officer, Suite 100, Surface Transportation Board, Washington, DC 20423-
0001.
* * * * *
    (g) * * *
    (7) The fee for photocopies shall be $1.00 per letter or legal size 
exposure with a minimum charge of $5.00.
    (8) The fees for ADP data are set forth in paragraph (f) of this 
section.
* * * * *
    (h) Fees for services described in paragraphs (a) through (g) of 
this section may be charged to accounts established in accordance with 
49 CFR 1002.2(a)(2), or paid for by check, money order, currency, or 
credit card in accordance with 49 CFR 1002.2(a)(3).
* * * * *

[[Page 57556]]

    3. Amend section 1002.2 as follows:
    a. From paragraph (g)(1)(ii) remove ``$6.00'' and in its place add 
``$20.00'';
    b. Remove paragraph (f)(78)(ii) and redesignate paragraph 
(f)(78)(i) as paragraph (f)(78);
    c. Revise the last sentence of paragraph (a)(1), paragraph (a)(2), 
the first sentence of paragraph (b), and paragraphs (f)(2), (f)(27), 
(f)(47), (f)(48), (f)(56), (f)(60) through (f)(62), (f)(86), (f)(98), 
(f)(100) and (f)(101).
    d. Add paragraphs (f)(12)(iv), (f)(38)(vii), (f)(39)(vii), 
(f)(40)(vii), (f)(41)(vii), (f)(63) through (f)(65), and (f)(88).
    The added and revised text is set forth as follows:


Sec.  1002.2  Filing fees.

    (a) * * *
    (1) * * * Filing fees for tariffs, including schedules, and 
contract summaries, including supplements (Item 78), and filing fees 
for documents submitted for recording (Item 83) may be charged to 
accounts established by the Board in accordance with paragraph (a)(2) 
of this section.
    (2) Billing account procedure. Form STB-1032 must be submitted to 
the Board's Section of Financial Services to establish STB billing 
accounts for filing fees for tariffs and for documents submitted for 
recording.
* * * * *
    (b) Any filing, other than a tariff filing, that is not accompanied 
by the appropriate filing fee, payment via credit card or STB billing 
account, or a request for waiver of the fee, is deficient. * * *
* * * * *
    (f) Schedule of filing fees.

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                   Type of proceeding                           Fee
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                              * * * * * * *
(2)(i) 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......
    (ii) A petition for exemption under 49 U.S.C. 13541            2,300
     (other than a rulemaking) filed by a non-rail
     carrier not otherwise covered......................
    (iii) A petition to revoke an exemption filed under            1,900
     49 U.S.C. 13541(d).................................
 
                              * * * * * * *
(12) * * *
    (iv) A request for determination of a dispute                 10,100
     involving a rail construction that crosses the line
     of another carrier under 49 U.S.C. 10901(d)........
 
                              * * * * * * *
(27)(i) A request for a trail use condition in an                    200
 abandonment proceeding under 16 U.S.C. 1247(d).........
    (ii) A request to extend the period for negotiation              300
     of a trail use agreement...........................
 
                              * * * * * * *
(38) * * *
    (vii) A request for waiver or clarification of                 3,800
     regulations filed in a major financial proceeding
     as defined at 49 CFR 1180.2(a).....................
(39) * * *
    (vii) A request for waiver or clarification of                 3,800
     regulations filed in a major financial proceeding
     as defined at 49 CFR 1180.2(a).....................
(40) * * *
    (vii) A request for waiver or clarification of                 3,800
     regulations filed in a major financial proceeding
     as defined at 49 CFR 1180.2(a).....................
(41) * * *
    (vii) A request for waiver or clarification of                 3,800
     regulations filed in a major financial proceeding
     as defined at 49 CFR 1180.2(a).....................
 
                              * * * * * * *
(47) National Railroad Passenger Corporation (Amtrak)                200
 conveyance proceeding under 45 U.S.C. 562..............
(48) National Railroad Passenger Corporation (Amtrak)                200
 compensation proceeding under Section 402(a) of the
 Rail Passenger Service Act.............................
 
                              * * * * * * *
(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) A formal complaint involving rail maximum rates             150
     filed by a small shipper...........................
    (iii) All other formal complaints (except                      6,000
     competitive access complaints).....................
    (iv) Competitive access complaints..................             150
    (v) A request for an order compelling a carrier to               200
     file a common carrier rate.........................
 
                              * * * * * * *
(60) A labor arbitration proceeding.....................             200
(61) (i) An appeal of a Surface Transportation Board                 200
 decision on the merits or petition to revoke an
 exemption pursuant to 49 U.S.C. 10502(d)...............
    (ii) An appeal of a Surface Transportation Board                 250
     decision on procedural matters except discovery
     rulings............................................
(62) Motor carrier undercharge proceeding...............             200
(63) Expedited relief for service inadequacies:
    (i) A request for expedited relief under 49 U.S.C.               200
     11123 and 49 CFR part 1146 for service emergency...
    (ii) A request for temporary relief under 49 U.S.C.              200
     10705 and 11102, and 49 CFR part 1147 for service
     inadequacy.........................................
(64) Discovery:
    (i) A motion to compel discovery in formal complaint           2,300
     proceedings under 49 U.S.C. 10704(c)(1)............
    (ii) A motion to compel discovery in all other                   950
     proceedings........................................
    (iii) An appeal of discovery ruling.................           2,100
(65) A request for waiver or clarification of                        400
 regulations except one filed in an abandonment or
 discontinuance proceeding, or in a major financial
 proceeding as defined at 49 CFR 1180.2(a)..............

[[Page 57557]]

 
 
                              * * * * * * *
(86) Informal opinions:
    (i) A request for an informal opinion not otherwise            1,100
     covered............................................
    (ii) A request for an informal opinion on a voting             3,500
     trust agreement pursuant to 49 CFR 1013.3(a) in
     connection with a major financial proceeding as
     defined at 49 CFR 1180.2(a)........................
    (iii) A request for an informal opinion on a voting              350
     trust agreement pursuant to 49 CFR 1013.3(a) not
     otherwise covered..................................
 
                              * * * * * * *
(88) Basic fee for STB adjudicatory services not                     200
 otherwise covered......................................
 
                              * * * * * * *
(98) Processing the paperwork related to a request for
 the Carload Waybill Sample to be used in a Board or
 State proceeding that:
    (i) Does not require a Federal Register notice:
        (A) Set cost portion............................             100
        (B) Sliding cost portion........................          \1\ 32
    (ii) Does require a Federal Register notice:
        (a) Set cost portion............................             300
        (b) Sliding cost portion........................              32
 
                              * * * * * * *
(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--                25
     per year...........................................
    (iii) Public requests for Source Codes to the PC                 100
     version URCS Phase III.............................
(101) Carload Waybill Sample data or recordable disk (R-
 CD):
    (i) Requests for Public Use File on R-CD--per year..             250
    (ii) Waybill--Surface Transportation Board or State              500
     proceedings on R-CD--per year......................
    (iii) User Guide for latest available Carload                     50
     Waybill Sample.....................................
    (iv) Specialized Programming for Waybill requests to          \2\ 76
     the Board..........................................
 
                             * * * * * * *
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\1\ Per party.
\2\ Per hour.

[FR Doc. 02-22918 Filed 9-10-02; 8:45 am]
BILLING CODE 4915-00-P