[Federal Register Volume 69, Number 168 (Tuesday, August 31, 2004)]
[Proposed Rules]
[Pages 53027-53031]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 04-19772]


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FEDERAL MARITIME COMMISSION

46 CFR Parts 502, 503, 515, 520, 530, 535, 540, 550, 555, and 560

[Docket No. 04-11]
RIN 3072-AC27


Update of Existing and Addition of New Filing Fees

AGENCY: Federal Maritime Commission.

ACTION: Proposed rule.

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SUMMARY: The Federal Maritime Commission (``Commission'') proposes to 
revise its existing fees for filing petitions and complaints; various 
public information services, such as record searches, document copying, 
and admissions to practice; filing ocean transportation intermediary 
license applications; applications for special permission; service 
contracts; agreements; and passenger vessel performance and casualty 
certificate applications. These revised fees reflect current costs to 
the Commission. In addition, the Commission is adding a separate fee 
for the filing of terminal exempt agreements.

DATES: Comments are due by September 29, 2004.

ADDRESSES: Address comments to:
    Bryant L. VanBrakle, Secretary, Federal Maritime Commission, 800 
North Capitol Street, NW., Washington,

[[Page 53028]]

DC 20573-0001, E-mail: [email protected].

FOR FURTHER INFORMATION CONTACT: Thomas B. Stephens, Presidential 
Management Fellow, Office of the Executive Director, Federal Maritime 
Commission, 800 North Capitol Street, NW., Washington, DC 20573-0001, 
(202) 523-5800, E-mail: [email protected].

SUPPLEMENTARY INFORMATION: The Commission is authorized under the 
Independent Offices Appropriation Act (``IOAA''), 31 U.S.C. 9701 
(1983), to establish fees for services and benefits that it provides to 
specific recipients. The IOAA provides that each service or thing of 
value provided by an agency to a person be self-sustaining to the 
extent possible, and that each charge shall be fair and based on the 
costs to the Government, the value of the service or thing to the 
recipient, the policy or interest served, and other relevant facts. 31 
U.S.C. 9701.
    The primary guidance for implementation of IOAA is Office of 
Management and Budget (``OMB'') Circular A-25, as revised July 8, 1993. 
OMB Circular A-25 requires that a reasonable charge be made to each 
recipient for a measurable unit or amount of Government service from 
which the recipient derives a benefit, in order that the Government 
recover the full cost of rendering that service.
    OMB Circular A-25 further provides that costs be determined or 
estimated from the best available records in the agency, and that cost 
computations cover the direct and indirect costs to the Government of 
carrying out the activity, including but not limited to:
    (A) Direct and indirect personnel costs, including salaries and 
fringe benefits such as medical insurance and retirement,
    (B) Physical overhead, consulting, and other indirect costs 
including material and supply costs, utilities, insurance, travel and 
rent,
    (C) The management and supervisory costs, and
    (D) The costs of enforcement, collection, research, establishment 
of standards and regulations, including any required environmental 
impact statements.
    OMB Circular A-25, paragraphs 6.d.1.(a), (b), (c) and (d).
    OMB Circular A-25 also calls for a periodic reassessment of costs, 
with related adjustment of fees, if necessary, and the establishment of 
new fees where none exist.
    The Commission's current filing and service fees have been in 
effect since July 15, 2002, and are no longer representative of the 
Commission's actual costs for providing such services. Accordingly, the 
Commission proposes to revise its fees so as to reflect costs attendant 
in providing the involved services. Fee increases primarily reflect 
increases in salary and indirect (overhead) costs. For some services, 
the increase in processing or review time accounts in part for the 
increase in the level of proposed fees. For other services, proposed 
fees are lower than current fees due to overall reduced costs to 
provide those services.
    The Commission has reviewed its current fees and developed data on 
the time and cost involved in providing particular services to arrive 
at the updated direct labor costs for those services. The direct labor 
costs include clerical, professional, supervisory, and executive time 
expended on an activity, plus a check processing cost of $0.53. The 
indirect costs include Government overhead costs, which are fringe 
benefits and other wage-related Government contributions contained in 
OMB Circular A-76; \1\ Commission general and administrative expenses; 
\2\ and office general and administrative overhead expenses.\3\ The sum 
of these indirect cost components gives an indirect cost factor that is 
added to the direct labor costs of an activity to arrive at the fully 
distributed cost.
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    \1\ These include leave and holidays, retirement, worker's 
compensation, awards, health and life insurance, and Medicare. These 
are expressed as a percentage of basic pay.
    \2\ These costs include all salaries and overhead, such as rent, 
utilities, supplies, and equipment, allocated to the Offices of the 
Commissioners, Program and Administrative Offices and General 
Counsel. The percentage of these costs to the total agency budget is 
allocated across all Commission programs.
    \3\ These expenses are limited to the overhead expenses 
allocated to those bureaus and offices involved in the fee-
generating activities, and is derived from dividing allocated 
overhead expenses by the total funding for these fee-generated 
offices.
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    A detailed summary of the data used to arrive at the proposed fees 
is available from the Secretary of the Commission upon written or e-
mail request.
    As part of the process described above, the Commission has decided 
to establish a separate fee for terminal exempt agreements. Currently, 
the Commission maintains the same filing fee for carrier and terminal 
exempt agreements; however, terminal exempt agreements generally 
require less processing time than carrier exempt agreements. 
Consequently, the Commission has decided to establish a separate filing 
fee for terminal exempt agreements to reflect better the difference in 
processing times.
    The Commission intends to update its fees biennially in keeping 
with OMB guidance. In updating its fees, the Commission will 
incorporate changes in the salaries of its employees into direct labor 
costs associated with its services, and recalculate its indirect costs 
(overhead) based on current level of costs.
    In accordance with the Regulatory Flexibility Act, 5 U.S.C. 601 et 
seq., the Chairman of the Federal Maritime Commission certifies that 
the proposed rule, if promulgated, will not have a significant economic 
impact on a substantial number of small entities. While the Commission 
recognizes that the proposed rule may impact businesses that qualify as 
small entities under Small Business Administration guidelines, the 
Commission is required to assess recipients of specific governmental 
services reasonable charges to recover the costs of providing these 
services. The charges in the proposed rule reflect the costs of 
specific Commission services mandated by statute, and these services 
benefit the shipping industry and the foreign commerce of the United 
States. The Commission believes that the charges proposed in the rule 
will not have a harmful effect on entities within the Commission's 
jurisdiction, the general public, or the U.S. economy. Furthermore, the 
Commission's regulations provide for waiver or reduction of any charge 
in extraordinary situations pursuant to 46 CFR 503.41. Requests for fee 
waiver or reduction are to be made to the Secretary of the Commission, 
and should demonstrate either that the waiver or reduction is in the 
best interest of the public or that imposition of the fee would impose 
an undue hardship.
    This Rule does not contain any collection of information 
requirements as defined by the Paperwork Reduction Act of 1980, as 
amended. Therefore, OMB review is not required.

List of Subjects

46 CFR Part 502

    Administrative practice and procedure, Claims, Equal access to 
justice, Investigations, Lawyers, Maritime carriers, Penalties, 
Reporting and recordkeeping requirements.

46 CFR Part 503

    Classified information, Freedom of information, Privacy, Sunshine 
act.

46 CFR Part 515

    Exports, Freight forwarders, Non-vessel-operating common carriers, 
Ocean transportation intermediaries,

[[Page 53029]]

Licensing requirements, Financial responsibility requirements, 
Reporting and recordkeeping requirements.

46 CFR Part 520

    Common carrier, Freight, Intermodal transportation, Maritime 
carriers, Reporting and recordkeeping requirements.

46 CFR Part 530

    Freight, Maritime carriers, Reporting and recordkeeping 
requirements.

46 CFR Part 535

    Administrative practice and procedure, Maritime carriers, Reporting 
and recordkeeping requirements.

46 CFR Part 540

    Insurance, Maritime carriers, Penalties, Reporting and 
recordkeeping requirements, Surety bonds.

46 CFR Part 550

    Administrative practice and procedure, Maritime carriers.

46 CFR Part 555

    Administrative practice and procedure, Investigations, Maritime 
carriers.

46 CFR Part 560

    Administrative practice and procedure, Maritime carriers.

    For the reasons set forth above, the Federal Maritime Commission 
amends 46 CFR Parts 502, 503, 515, 520, 530, 535, 540, 550, 555, and 
560 as follows:

PART 502--RULES OF PRACTICE AND PROCEDURE

    1. The authority citation for Part 502 continues to read as 
follows:

    Authority: 5 U.S.C. 504, 551, 552, 553, 556(c), 559, 561-569, 
571-596; 5 U.S.C. 571-584; 12 U.S.C. 1141j(a); 18 U.S.C. 207; 26 
U.S.C. 501(c)(3); 28 U.S.C. 2112(a); 31 U.S.C. 9701; 46 U.S.C. app. 
817d, 817e, 1114(b), 1705, 1707-1711, 1713-1716; E.O. 11222 of May 
8, 1965, 30 FR 6469, 3 CFR, 1964-1965 Comp. P. 306; 21 U.S.C. 853a; 
Pub. L. 105-258, 112 Stat. 1902.

Subpart D--Rulemaking

    2. The fourth sentence of Sec.  502.51(a) is revised to read as 
follows:


Sec.  502.51  Initiation of procedure to issue, amend, or repeal a 
rule.

    (a) * * * Petitions shall be accompanied by remittance of a $241 
filing fee. * * *
* * * * *

Subpart E--Proceedings; Pleadings; Motions; Replies

    3. Section 502.62(g) is revised to read as follows:


Sec.  502.62  Complaints and fee.

* * * * *
    (g) The complaint shall be accompanied by remittance of a $221 
filing fee.
* * * * *
    4. Section 502.68(a)(3) is revised to read as follows:


Sec.  502.68  Declaratory orders and fee.

    (a) * * *
    (3) Petitions shall be accompanied by remittance of a $241 filing 
fee.
* * * * *
    5. Section 502.69(b) is revised to read as follows:


Sec.  502.69  Petitions-General and fee.

* * * * *
    (b) Petitions shall be accompanied by remittance of a $241 filing 
fee. [Rule 69.]

Subpart K--Shortened Procedure

    6. The last sentence of Sec.  502.182 is revised to read as 
follows:


Sec.  502.182  Complaint and memorandum of facts and arguments and 
filing fee.

    * * * The complaint shall be accompanied by remittance of a $221 
filing fee. [Rule 182.]

Subpart Q--Refund or Waiver of Freight Charges

    7. Sec.  502.271(d)(5) is revised to read as follows:


Sec.  502.271  Special docket application for permission to refund or 
waive freight charges.

* * * * *
    (d) * * *
    (5) Applications must be accompanied by remittance of a $77 filing 
fee.
* * * * *

Subpart S--Informal Procedure for Adjudication of Small Claims

    8. The last sentence of Sec.  502.304(b) is revised to read as 
follows:


Sec.  502.304  Procedure and filing fee.

* * * * *
    (b) * * * Such claims shall be accompanied by remittance of a $67 
filing fee.
* * * * *

PART 503--PUBLIC INFORMATION

    9. The authority citation for Part 503 continues to read as 
follows:

    Authority: 5 U.S.C. 552, 552a, 552b, 553; 31 U.S.C. 9701; E.O. 
12958 of April 20, 1995 (60 FR 19825), sections 5.2 (a) and (b).

    10. In Sec.  503.43, paragraphs (c)(1) (i) and (ii), the first 
sentence of paragraph (c)(2), paragraphs (c)(3) (ii) and (iii), 
paragraph (c)(4), paragraph (d) and paragraph (e) are revised to read 
as follows:


Sec.  503.43  Fees for services.

* * * * *
    (c) * * *
    (1) * * *
    (i) Search will be performed by clerical/administrative personnel 
at a rate of $19 per hour and by professional/executive personnel at a 
rate of $48 per hour.
    (ii) Minimum charge for record search is $19.
    (2) Charges for review of records to determine whether they are 
exempt from disclosure under Sec.  503.33 shall be assessed to recover 
full costs at the rate of $79 per hour. * * *
    (3) * * *
    (ii) By Commission personnel, at the rate of five cents per page 
(one side) plus $19 per hour.
    (iii) Minimum charge for copying is $4.75.
* * * * *
    (4) The certification and validation (with Federal Maritime 
Commission seal) of documents filed with or issued by the Commission 
will be available at $94 for each certification.
    (d) To have one's name and address placed on the mailing list of a 
specific docket as an interested party to receive all issuances 
pertaining to that docket: $9 per proceeding.
    (e) Applications for admission to practice before the Commission 
for persons not attorneys at law must be accompanied by a fee of $104 
pursuant to Sec.  502.27 of this chapter.

Subpart G--Access to Any Record of Identifiable Personal 
Information

    11. In Sec.  503.69, paragraph (b)(2) is revised to read as 
follows:


Sec.  503.69  Fees.

* * * * *
    (b) * * *
    (2) The certification and validation (with Federal Maritime 
Commission seal) of documents filed with or issued by the Commission 
will be available at $94 for each certification.
* * * * *

[[Page 53030]]

PART 515--LICENSING, FINANCIAL RESPONSIBILITY REQUIREMENTS, AND 
GENERAL DUTIES FOR OCEAN TRANSPORTATION INTERMEDIARIES

    12. The authority citation for Part 515 continues to read as 
follows:

    Authority: 5 U.S.C. 553; 31 U.S.C. 9701; 46 U.S.C. app. 1702, 
1707, 1709, 1710, 1712, 1714, 1716, and 1718; Pub. L. 105-383, 112 
Stat. 3411; 21 U.S.C. 862.

Subpart A--General

    13. In Part 515 revise all references to the ``Bureau of Consumer 
Complaints and Licensing'' to read ``Bureau of Certification and 
Licensing.''
    14. In Sec.  515.5, paragraphs (a), (b)(1), (b)(2), and (b)(3) are 
revised to read as follows:


Sec.  515.5  Forms and Fees.

    (a) Forms. License form FMC-18 Rev., and financial responsibility 
forms FMC-48, FMC-67, FMC-68, FMC-69 may be obtained from the 
Commission's Web site at http://www.fmc.gov, the Director, Bureau of 
Certification and Licensing, Federal Maritime Commission, Washington, 
DC 20573, or from any of the Commission's area representatives.
    (b) * * *
    (1) Application for license as required by Sec.  515.12(a): $825;
    (2) Application for status change or license transfer as required 
by Sec. Sec.  515.18(a) and 515.18(b): $525; and
    (3) Supplementary investigations required by Sec.  515.25(a): $225.

Subpart D--Duties and Responsibilities of Ocean Transportation 
Intermediaries; Reports to Commission

    15. The second sentence of Sec.  515.34 is revised to read as 
follows:


Sec.  515.34  Regulated Persons Index.

* * * * *
    The database may be purchased for $108 by contacting the Bureau of 
Certification and Licensing, Federal Maritime Commission, Washington, 
DC 20573. * * *

PART 520--CARRIER AUTOMATED TARIFFS

    16. The authority citation for Part 520 continues to read as 
follows:

    Authority: 5 U.S.C. 553; 46 U.S.C. app. 1701-1702, 1707-1709, 
1712, 1716; and sec. 424 of Pub. L. 105-383, 112 Stat. 3411.

Subpart B--Filing Requirements

    17. The last sentence of Sec.  520.14(c)(1) is revised to read as 
follows:


Sec.  520.14  Special permission.

    (c) * * *
    (1) * * * Every such application shall be submitted to the Bureau 
of Trade Analysis and be accompanied by a filing fee of $195.
* * * * *

PART 530--SERVICE CONTRACTS

    18. The authority citation for Part 530 continues to read as 
follows:

    Authority: 5 U.S.C. 553; 46 U.S.C. app. 1704, 1705, 1707, 1716.

Subpart B--Service Contracts

    19. Section 530.10(c), introductory text, is revised to read as 
follows:


Sec.  530.10  Amendment, correction cancellation, and electronic 
transmission errors.

* * * * *
    (c) Corrections. Requests shall be filed, in duplicate, with the 
Commission's Office of the Secretary within forty-five (45) days of the 
contract's filing with the Commission, accompanied by remittance of a 
$315 service fee, and shall include:
* * * * *

PART 535--AGREEMENTS BY OCEAN COMMON CARRIERS AND OTHER PERSONS 
SUBJECT TO THE SHIPPING ACT OF 1984

    20. The authority citation for Part 535 continues to read as 
follows:

    Authority: 5 U.S.C. 553; 46 U.S.C. app. 1701-1707, 1709-1710, 
1712 and 1714-1718; Pub. L. 105-383, 112 Stat. 3411.

Subpart D--Filing of Agreements

    21. In Sec.  535.401, paragraphs (f) and (g) are revised to read as 
follows:


Sec.  535.401  General requirements.

* * * * *
    (f) Fees. The filing fee is $1,780 for new agreements requiring 
Commission review and action; $851 for agreement modifications 
requiring Commission review and action; $397 for agreements processed 
under delegated authority (for types of agreements that can be 
processed under delegated authority, see Sec.  501.26(e) of this 
chapter); $138 for carrier exempt agreements; and $75 for terminal 
exempt agreements.
    (g) The fee for the Commission's agreement database report is $6.

PART 540--PASSENGER VESSEL FINANCIAL RESPONSIBILITY

    22. The authority citation for Part 540 continues to read as 
follows:

    Authority: 5 U.S.C. 552, 553; 31 U.S.C. 9701; secs. 2 and 3, 
Pub. L. 89-777, 80 Stat. 1356-1358; 46 U.S.C. app. 817e, 817d; 46 
U.S.C. 1716.

Subpart A--Proof of Financial Responsibility, Bonding and 
Certification of Financial Responsibility for Indemnification of 
Passengers for Nonperformance of Transportation

    23. The last two sentences in Sec.  540.4(b) are revised to read as 
follows:


Sec.  540.4  Procedure for establishing financial responsibility.

* * * * *
    (b) * * * An application for a Certificate (Performance), excluding 
an application for the addition or substitution of a vessel to the 
applicant's fleet, shall be accompanied by a filing fee remittance of 
$2,767. An application for a Certificate (Performance) for the addition 
or substitution of a vessel to the applicant's fleet shall be 
accompanied by a filing fee remittance of $1,382.
* * * * *

Subpart B--Proof of Financial Responsibility, Bonding and 
Certification of Financial Responsibility To Meet Liability 
Incurred for Death or Injury to Passengers or Other Persons on 
Voyages

    24. The last two sentences in Sec.  540.23(b) are revised to read 
as follows:


Sec.  540.23  Procedure for establishing financial responsibility.

* * * * *
    (b) * * * An application for a Certificate (Casualty), excluding an 
application for the addition or substitution of a vessel to the 
applicant's fleet, shall be accompanied by a filing fee remittance of 
$1,206. An application for a Certificate (Casualty) for the addition or 
substitution of a vessel to the applicant's fleet shall be accompanied 
by a filing fee remittance of $605.
* * * * *

PART 550--REGULATIONS TO ADJUST OR MEET CONDITIONS UNFAVORABLE TO 
SHIPPING IN THE FOREIGN TRADE OF THE UNITED STATES

    25. The authority citation for Part 550 continues to read as 
follows:

    Authority: 5 U.S.C. 553; sec. 19(a)(2), (e), (f), (g), (h), (i), 
(j), (k) and (l) of the Merchant Marine Act, 1920, 46 U.S.C. app. 
876(a)(2), (e), (f), (g), (h), (i), (j), (k) and (l), as amended by 
Pub. L. 105-258; Reorganization Plan No. 7 of 1961, 75 Stat 840; and 
sec. 10002 of the Foreign Shipping Practices Act of 1988, 46 U.S.C. 
app. 1710a.

[[Page 53031]]

Subpart D--Petitions for Section 19 Relief

    26. Section 550.402 is revised to read as follows:


Sec.  550.402  Filing of petitions.

    All requests for relief from conditions unfavorable to shipping in 
the foreign trade shall be by written petition. An original and fifteen 
copies of a petition for relief under the provisions of this part shall 
be filed with the Secretary, Federal Maritime Commission, Washington, 
DC 20573. The petition shall be accompanied by remittance of a $241 
filing fee.

PART 555--ACTIONS TO ADDRESS ADVERSE CONDITIONS AFFECTING U.S.-FLAG 
CARRIERS THAT DO NOT EXIST FOR FOREIGN CARRIERS IN THE UNITED 
STATES

    27. The authority citation for Part 555 continues to read as 
follows:

    Authority: 5 U.S.C. 553; sec. 10002 of the Foreign Shipping 
Practices Act of 1988 (46 U.S.C. app. 1710a), as amended by Pub. L. 
105-258.

    28. In Sec.  555.4, paragraph (a) is revised to read as follows:


Sec.  555.4  Petitions.

    (a) A petition for investigation to determine the existence of 
adverse conditions as described in Sec.  555.3 may be submitted by any 
person, including any common carrier, shipper, shippers' association, 
ocean freight forwarder, or marine terminal operator, or any branch, 
department, agency, or other component of the Government of the United 
States. Petitions for relief under this part shall be in writing, and 
filed in the form of an original and fifteen copies with the Secretary, 
Federal Maritime Commission, Washington, DC 20573. The petition shall 
be accompanied by remittance of a $241 filing fee.
* * * * *

PART 560--ACTIONS TO ADDRESS CONDITIONS UNDULY IMPAIRING ACCESS OF 
U.S.-FLAG VESSELS TO OCEAN TRADE BETWEEN FOREIGN PORTS

    29. The authority citation for Part 560 continues to read as 
follows:

    Authority: 5 U.S.C. 553; secs. 13(b)(6), 15 and 17 of the 
Shipping Act of 1984, 46 U.S.C. app. 1712(b)(6), 1714 and 1716, as 
amended by Pub. L. 105-258; sec. 10002 of the Foreign Shipping 
Practices Act of 1988 (46 U.S.C. app. 1710a), as amended by Pub. L. 
105-258.

    30. Section 560.3(a)(2) is revised to read as follows:


Sec.  560.3  Petitions for relief.

    (a) * * *
    (2) An original and fifteen copies of such a petition including any 
supporting documents shall be filed with the Secretary, Federal 
Maritime Commission, Washington, DC 20573. The petition shall be 
accompanied by remittance of a $241 filing fee.
* * * * *

    By the Commission.
Bryant L. VanBrakle,
Secretary.
[FR Doc. 04-19772 Filed 8-30-04; 8:45 am]
BILLING CODE 6730-01-P