[Federal Register Volume 63, Number 30 (Friday, February 13, 1998)]
[Proposed Rules]
[Pages 7362-7387]
From the Federal Register Online via the Government Printing 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