[Federal Register Volume 79, Number 208 (Tuesday, October 28, 2014)]
[Notices]
[Pages 64244-64248]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2014-25597]


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DEPARTMENT OF TRANSPORTATION

Federal Motor Carrier Safety Administration

[Docket No. FMCSA-2014-0192]


Agency Information Collection Activities; New Information 
Collection: Motor Carrier Records Change Form

AGENCY: Federal Motor Carrier Safety Administration (FMCSA), DOT.

ACTION: Notice and request for comments.

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SUMMARY: In accordance with the Paperwork Reduction Act of 1995, FMCSA 
announces its plan to submit the Information Collection Request (ICR) 
described below to the Office of Management and Budget (OMB) for its 
review and approval and invites public comment. The purpose of this ICR 
entitled ``Motor Carrier Records Change Form,'' is to more efficiently 
collect information the Office of Registration and Safety Information 
(MC-RS) requires to process name and address changes and reinstatements 
of operating authority. Currently, this data is being collected when 
carriers request these changes from MC-RS, but without the use of a 
formal data collection form.

DATES: Please send your comments by November 28, 2014. OMB must receive 
your comments by this date in order to act on the ICR.

ADDRESSES: All comments should reference Federal Docket Management 
System (FDMS) Docket Number FMCSA-2014-0192. Interested persons are 
invited to submit written comments on the proposed information 
collection to the Office of Information and Regulatory Affairs, Office 
of Management and Budget. Comments should be addressed to the attention 
of the Desk Officer, Department of Transportation/Federal Motor Carrier 
Safety Administration, and sent via electronic mail to 
[email protected], or faxed to (202) 395-6974, or mailed to 
the Office of Information and Regulatory Affairs, Office of Management 
and Budget, Docket Library, Room 10102, 725 17th Street NW., 
Washington, DC 20503.

FOR FURTHER INFORMATION CONTACT: Jeff Secrist, Chief, Chief, East-South 
Division, FMCSA Office of Registration & Safety Information, West 
Building 6th Floor, 1200 New Jersey Avenue SE., Washington, DC 20590. 
Telephone: (202) 385-2367; email [email protected]. Office hours are 
from 8:00 a.m. to 5:00 p.m., e.t., Monday through Friday, except 
Federal holidays.

SUPPLEMENTARY INFORMATION:

[[Page 64245]]

    Title: Motor Carrier Records Change Form.
    OMB Control Number: 2126-00XX.
    Type of Request: New collection.
    Respondents: For-hire motor carriers, brokers and freight 
forwarders.
    Estimated Number of Respondents: 22,300.
    Estimated Time per Response: 15 minutes per response.
    Expiration Date: N/A.
    Frequency of Response: On occasion.
    Estimated Total Annual Burden: 5,575 hours [22,300 annual responses 
x 0.25 hours = 5,575].

Background

    The Federal Motor Carrier Safety Administration (FMCSA) registers 
for-hire motor carriers under 49 U.S.C. 13902, surface freight 
forwarders under 49 U.S.C. 13903, and property brokers under 49 U.S.C. 
13904. Each registration is effective from the date specified under 49 
U.S.C. 13905(c). 49 CFR part 365.413: ``Procedures for changing the 
name or business form of a motor carrier, freight forwarder, or 
property broker'' states that carriers must submit a letter containing 
the required information to FMCSA's Office of Registration and Safety 
Information (MC-RS), formerly sent to FMCSA's IT Operations Division 
(MC-RIO), requesting the change; the new form would assist entities in 
reporting this information accurately and completely. 49 CFR 360.3(f) 
mentions fees that FMCSA collects for ``petition for reinstatement of 
revoked operating authority,'' but does not provide any specifics for 
the content that petition should take.
    For-hire motor carriers, brokers and freight forwarders are 
required to notify MC-RS when they change the name or address of the 
company. Currently, the name change request can be filed online through 
the Licensing and Insurance (L&I) Web site, or companies can fax or 
mail a letter requesting either name or address changes. Carriers can 
also request reinstatement of a revoked operating authority either via 
fax or online via the Licensing & Insurance (L&I) Web site. But many 
choose not to file online. About 40% of name changes and 60% of 
reinstatements are filed online. Of the rest, most are filed by faxing 
a request letter to MC-RS. All the address changes are received by 
either fax or mail. The information collected is then entered in the 
L&I database by FMCSA staff. This enables FMCSA to maintain up-to-date 
records so that the agency can recognize the entity in question in case 
of enforcement actions or other procedures required to ensure that the 
carrier is fit, willing and able to provide for-hire transportation 
services, and so that entities whose authority has been revoked can 
resume operation if they are not otherwise blocked from doing so. But 
the current method of collecting the data means that many requests 
include incomplete data, and cannot be processed without additional 
follow-up efforts by both FMCSA staff and the entities. This multi-
purpose form, therefore, would simplify the process of gathering the 
information needed to process the entities' requests in a timely 
manner, with the least amount of effort for all parties involved. This 
multi-purpose form would be filed by registrants on a voluntary, as-
needed basis. This multi-purpose form could be put on the FMCSA Web 
site so entities could access and print/fax/email the form to MC-RS. 
Users may report the following data points (whichever are relevant to 
their records change request):
    What are the legal/doing business as names of the entity/
representative?
    What is the contact information of entity/representatives (phone 
number, address, fax number, email address)?
    What are the requested changes to name or address of entity?
    What is the docket MC/MX/FX number of the entity?
    What is the US DOT number of the entity?
    Is there any change in ownership, management or control of the 
entity?
    What kind of changes is the entity making to the company?
    Which authority does the entity/representative wish to reinstate, 
motor carrier or broker?
    Does the entity/representative authorize the fee for the name 
change or reinstatement?
    Does the entity/representative authorize the reinstatement of 
operating authority or name/address change?
    What is the credit card information (name, number, expiration date, 
address, date) for the card used to pay the fee?

Comment From the Public

    The FMCSA received two comments to the 60-day comment request 
Federal Register notice published on June 27, 2014 (79 FR 36578) for 
this ICR. Comments were received from DOT Authority.com and the 
National Motor Freight Traffic Association, INC. The full comments and 
FMCSA's responsive considerations are as follow:
    DOTAuthority.com commented ``I would like to thank the Federal 
Motor Carrier Safety Administration (``FMCSA'') for inviting the 
industry to comment on the ``Motor Carrier Records Change Form'' being 
discussed in accordance with the Paperwork Reduction Act of 1995.
    DOTAuthority.com is a private consulting firm that is one of the 
premier private agencies for start-up motor carriers looking to acquire 
their own operating authority. Among the wide variety of filing 
services offered are DOT & MC Number applications, UCR Registration, 
and HAZMAT registration. Specific to this proposal, DOTAuthority.com 
helps motor carriers that are looking to update the name and/or address 
on their MC and DOT number record and we file petitions for 
reinstatement on inactive authorities and petitions for reconsideration 
of dismissed applications.
    I am writing to offer this comment to the docket and advise you 
that DOTAuthority.com fully supports the proposal to streamline the way 
changes are collected by the Office of Registration and Safety 
Information.
    We ask that in order to avoid confusion in regards to who is 
submitting the form, that in addition to entity/representative the form 
should also state `agent'. This would be in accordance with the FMCSA's 
existing Frequently Asked Questions (FAQ) found at: http://www.fmcsa.dot.gov/faq/i-do-not-have-credit-card-can-i-use-someone-elses-credit-card-apply-usdot-number as well as 49 CFR 365 (http://www.ecfr.gov/cgi-bin/text-idx?SID=63a3e958e356cae74ce761f0e28a7b61&node=49:5.1.1.2.8&rgn=div5).
    As you know, it has been the policy of the FMCSA for years to allow 
what essentially constitutes a petition for reconsideration of 
dismissed applications up to one year from the date of the dismissal to 
enable the motor carrier to avoid having to pay the $300 application a 
second time. We believe the change form should address this issue.
    We offer the following information in response to the specific 
questions posted in the Federal Register on June 27, 2014:
    (1) Whether the proposed collection is necessary for the 
performance of FMCSA's functions.
    DOTAuthority.com believes that this document would greatly simplify 
the process of getting the FMCSA correct and up-to-date information on 
motor carriers. Therefore, we believe that this proposed collection 
process is necessary for the performance of FMCSA's functions.
    (2) The accuracy of the estimated burden. We have no reason to 
believe that the estimated burden identified in the register is in any 
way inaccurate.

[[Page 64246]]

    (3) Ways for FMCSA to enhance the quality, usefulness, and clarity 
of the collected information. It is our opinion that the quality, 
usefulness, and clarity of the collected information has been optimized 
in this proposal.
    (4) Ways that the burden could be minimized without reducing the 
quality of the collected information.
    Due to the already low burden cited, we do not see a way to 
minimize it without risking the quality of the proposed document.
    Thank you again for allowing us to comment on this proposal, which 
will make for a better and more efficient data collection system.''
    The FMCSA in response to DOTAuthority.com states that it considers 
the term ``Representative'' to apply to a range of organizations such 
as process agents, service providers and other individuals or companies 
authorized to submit documents on behalf of a motor carrier, broker, or 
freight forwarder, or upon whom court papers may be served in any 
proceeding brought against such an entity.'' We do not feel that it is 
necessary to add an option for the term ``Agent'' to the existing 
``Applicant'' and ``Representative'' when indicating who completed the 
form. The commenter's suggestion that requests for the reactivation of 
dismissed applications for operating authority (``undismissals'') be 
added will be considered for future revisions to the form.
    The National Motor Freight Traffic Association, Inc. commented as 
follow: ``The National Motor Freight Traffic Association, Inc. 
(``NMFTA'' or ``Association'') submits these comments in support of the 
creation of a standardized ``Motor Carrier Records Change Form,'' as 
proposed by the Federal Motor Carrier Safety Administration (``FMCSA'' 
or ``Agency'') in its June 27, 2014 notice at 79 FR 36578 (the 
``Notice''). The Records Change Form would be used to process name 
changes, address changes, and requests for reinstatement of operating 
authority. Currently, when regulated motor carriers, brokers, or 
freight forwarders (``entities'') request such record changes, they 
submit the request without the use of any formal data collection form. 
This sometimes results in submission of incomplete supporting data that 
cannot be fully processed without follow-up by the FMCSA staff and the 
involved entities. The proposed form is intended to clarify the data 
requirements for such record changes, resulting in a process that is 
more efficient for all parties involved.
    NMFTA is a trade association, with offices located at 1001 North 
Fairfax Street, Suite 600, Alexandria, Virginia 22314, whose members 
include approximately 450 less-than-truckload motor carriers operating 
throughout the United States and Canada. NMFTA has direct experience 
with FMCSA's record-correction process because it sometimes comes into 
play when NMFTA assigns entities Standard Carrier Alpha Codes 
(``SCAC''), unique two-to-four letter codes used to identify entities 
operating in all modes of the transportation industry for a variety of 
purposes. Because NMFTA must use the name of the entity as it is 
registered with DOT for regulated motor carriers, freight forwarders 
and brokers, the Association validates the accuracy of the information 
provided by the entity applying for a SCAC against Government records. 
In a number of cases, NMFTA staff finds discrepancies between the 
information provided by the applicant on the SCAC application and the 
information on file with the FMCSA in the Licensing and Insurance 
system and/or the Safety and Fitness Electronic Records database. The 
discrepancy often involves the company name, address, or operating 
status, the exact data points addressed by the proposed form. In such 
cases, the applicant is instructed to correct the FMCSA's information 
before the SCAC can be issued and, if the applicant asks how to do 
this, will be referred to the FMCSA's toll-free 800 number.
    Because FMCSA does not have any form that is used to collect the 
information needed to accomplish the change, correction often involves 
a time-consuming trial and error process before the change can 
officially be made by the Agency. The availability of a standardized 
form to which NMFTA can direct these parties would be very helpful in 
facilitating the correction process and indirectly the SCAC-issuance 
process. Accordingly, NMFTA supports the FMCSA's plan to develop such a 
form and appreciates the opportunity being given to comment on the 
proposed form.
    However, NMFTA is hampered in its ability to provide complete 
comments by the lack of an actual form to review. To encourage full 
public participation in the development process, NMFTA would ask that a 
draft form and accompanying instructions be placed in the docket, and 
that another opportunity for comments from interested parties be 
allowed. In the interim, NMFTA is providing some general comments below 
based upon the descriptive information contained in the Notice.

Discussion

I. A Standardized Form Would Improve the Efficiency of the Records 
Change Process While Minimizing the Burden on the Involved Parties
    In the Notice, FMCSA asks parties to comment on whether the 
proposed collection is ``necessary'' for the performance of FMCSA's 
functions. 79 FR at 36579. Since FMCSA has in the past and is now 
processing record change requests without a standardized form the 
technical answer to this question is ``no''. However, given the 
reported problems that FMCSA and involved entities have had in 
attempting to make such record changes, when applications are 
incomplete, inaccurate, or not compliant with regulations, it is clear 
that the proposed form would ultimately make the record change process 
more efficient. In short, it will ``make the agency's regulatory 
program more effective or less burdensome in achieving the regulatory 
objectives,'' in compliance with recent Executive Orders seeking to 
reduce regulatory burdens and costs.
    The Notice also asks for comments on the estimated burden imposed 
by the form, which FMCSA identifies as .25 hours per form. Id. Even 
this minimal burden figure is misleading, however, since the time 
involved in completing the form is time that would currently be spent 
by parties seeking record changes to compose a letter, fax, or email 
conveying the same information to FMCSA. With a comprehensive and clear 
form, less time should be required of a regulated entity to effectively 
cause a name change, address change, or change in operating status. 
Consequently, there really is no burden imposed by the form.
II. Additional Data Points Are Needed To Cover All Record Changes
    FMCSA has provided a list of 11 data points that users may report 
on the proposed form. NMFTA believes that several additional data 
points are needed to conform this form more fully to the language of 49 
CFR 365.413, the rule setting forth the procedures for certain record 
changes.
    First, the form should specifically include changes to ``business 
form'' as a data point. Such changes are currently subject to the same 
regulatory procedures as name or address changes as referenced in data 
point 3. Second, changes reflecting reinstatement of operating 
authority should be allowed by ``freight forwarders'', as well as motor 
carriers and brokers now referenced in data point 8. As reflected in 
the Notice, the record change

[[Page 64247]]

procedures in 49 CFR 365.413 apply uniformly to ``a motor carrier, 
freight forwarder, or property broker.''
    Finally, data point 11 regarding the credit card information 
suggests that the applicable record change fee must be paid by credit 
card. Credit cards are currently the exclusive form of payment only 
when record changes are requested online. Checks or money orders are 
also allowed when changes are requested by mail. Thus, the data points 
should include a place to indicate the form of submission and payment, 
and require the credit-card related information now in data point 11 
only if that is the method chosen. In this regard, NMFTA believes that 
both online and mail submissions, as well as the currently available 
means of payment, should continue to be allowed. While the majority of 
applicants may opt for online submission and credit card payments, 
because that speeds up the record-change process, there are still those 
who prefer handling such matters using hardcopy submissions accompanied 
by check or money order.
III. Detailed Instructions Must Accompany the New Record Change Form
    FMCSA also asks commenters to indicate ``ways for FMCSA to enhance 
the quality, usefulness, and clarity of the collected information''. 
Id. In NMFTA's experience, thorough instructions can be more helpful 
than the actual data points included on a form in ensuring that the 
organization or agency processing the form gets all of the data it 
needs to perform its task. Only complete instructions will eliminate 
the need for follow-up by Agency staff and entities, as currently 
exists. FMCSA, however, does not give any indication in the Notice of 
the type or extent of guidance or instructions that will accompany the 
form. Some suggestions of information NMFTA believes should be provided 
with the form are discussed below.
    The Notice advises that users should report whichever of the 11 
data points ``are relevant to their records change request''. To 
eliminate any uncertainty, it is important that the instructions tell 
users which data points are relevant to each type of request. The 
instructions should also clearly identify the documentation that must 
be submitted along with each type of request. Absent such direction, 
FMCSA will likely continue to get information that is just as 
incomplete as the individualized letter requests currently submitted 
for record change purposes.
    NMFTA would also recommend the following instructions for name and 
business form changes. Because FMCSA cannot change either a legal or d/
b/a name in its database unless the user has previously filed the new 
name with the appropriate State authority and been given approval for 
its use, the need for such prior action as well as the proof of the 
State action needed to support a record change request should be 
mentioned in the instructions. Similarly, while the form can be used to 
report name changes associated with changes in business form (e.g., 
incorporation of a partnership or sole proprietorship), there should be 
instructions advising users of the steps that must be taken at the 
State level to actually effectuate the change and the documentation of 
the change that must be provided to FMCSA along with the form.
    In addition, while users may indicate on the form (data point 6) 
whether the name change was associated with a change in ownership, 
management or control of the entity, the instructions should advise 
users of the additional steps that must be taken before requesting a 
record change when more than a simple name change is involved. In sum, 
the instructions must make it clear to users that this form only 
reports changes that have been previously made, it cannot be used to 
actually make any changes to the applicant's business form or name.
    As with name changes, an entity cannot use the records correction 
form to reinstate its authority unless other preliminary steps have 
been taken. Specifically, an entity must obtain the required insurance, 
surety bond, or trust agreement, and make sure that the provider has 
filed with FMCSA the appropriate forms demonstrating such proof of 
financial responsibility for all motor vehicles operated on public 
highways. Entities seeking to reinstate their authority must also 
ensure that an effective designation of process agents (BOC-3) has been 
filed with the Agency. The instructions on the record change form 
should advise users of the steps required to reinstate operating 
authority before the change can actually be made in FMCSA records. 
Perhaps an additional data point requiring confirmation that such steps 
have been taken would minimize the follow-up associated with 
reinstatement requests using the proposed form.

Conclusion

    For the reasons discussed above, NMFTA strongly supports FMCSA's 
proposal to develop a standardized ``Motor Carrier Records Change 
Form'' that can be used for the most common types of record changes 
requested by regulated motor carriers, property brokers, and freight 
forwarders. Such a form, if accompanied by complete instructions, 
including the items discussed above, would help the Agency, regulated 
entities, and parties such as NMFTA who also work with regulated 
entities, to accomplish record changes in the most efficient possible 
manner.''
    The FMCSA, in response to National Motor Freight Traffic 
Association, INC., states that it will consider adding the form to the 
docket once the revisions detailed below are complete.
    Regarding the NMFTA's request for change of business to be added to 
the form, the FMCSA feels that this is addressed by Section C: Name 
Changes, where options include incorporating and adding/removing a 
partner due to divorce, death, or other reasons. This section also 
specifies which documents must be submitted for each category.
    In response to the NMFTA's suggestions, FMCSA will add ``Freight 
Forwarder'' as an option for a type of authority that can be 
reinstated, and add options/instructions for paying by check or money 
order. FMCSA doesn't intend to add detailed instructions to the form at 
this time, since we do provide instructions for these transactions in 
FMCSA's FAQ knowledge base at www.fmcsa.dot.gov/FAQ (as cited at the 
top of the form). FMCSA will add a reference to these FAQs to Section D 
(reinstatements) as well.
    The NMFTA stated that ``. . . it is important that the instructions 
tell users which data points are relevant to each type of request.'' 
FMCSA has designed the form so that there are 5 sections: Section A, 
which all users must fill out, includes general entity information, 
such as company name, DOT/MC number, contact information, etc. Section 
B is labeled ``Address Changes Only.'' Section C: ``Name Changes 
Only,'' Section D: ``Reinstatement of Operating Authority Only'' and 
Section E: ``Payment: Name Changes and Reinstatements Only.'' This 
should make it clear which sections need to be filled out. For an 
address change, just sections A and B; for name changes, A, C and E; 
for reinstatements, A, D and E.
    Public Comments Invited: You are asked to comment on any aspect of 
this information collection, including: (1) Whether the proposed 
collection is necessary for the FMCSA to perform its functions; (2) the 
accuracy of the estimated burden; (3) ways for the FMCSA to enhance the 
quality, usefulness, and clarity of the collected information; and (4) 
ways that the burden could be minimized without

[[Page 64248]]

reducing the quality of the collected information.

    Issued under the authority delegated in 49 CFR 1.87 on: October 
21, 2014.
G. Kelly Regal,
Associate Administrator, Office of Research and Information Technology 
and Chief Information Officer.
[FR Doc. 2014-25597 Filed 10-27-14; 8:45 am]
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