Statutory Licensing Authority

Forms and Documents

Document Name	Status
2140-0023 Supporting Statement 2023 -- Statutory Licencing (to ROCIS).pdf Supporting Statement A	2023-10-18
2023-22973.pdf Supplementary Document	2023-10-18
2023-16810.pdf Supplementary Document	2023-10-18
49 USC 1321.pdf Supplementary Document	2017-05-11
CFR-2016-title49-vol8-part1104.pdf Supplementary Document	2017-05-11
CFR-2016-title49-vol8-part1152.pdf Supplementary Document	2017-05-11
CFR-2016-title49-vol8-part1180-id622.pdf Supplementary Document	2017-05-11
CFR-2016-title49-vol8-part1150-id508.pdf Supplementary Document	2017-05-11
CFR-2016-title49-vol8-part1121.pdf Supplementary Document	2017-05-11
Relevant Statutory Provisions.pdf Supplementary Document	2012-07-19

IC Document Collections

IC ID	Document Title	Status
226804	Disclosure of Rail Interchange Commitments	Modified
203384	Statutory Licensing Authority	Modified

ICR Details

OMB Control No: 2140-0023	ICR Reference No: 202310-2140-002
Status: Received in OIRA	Previous ICR Reference No: 202002-2140-003
Agency/Subagency: STB	Agency Tracking No:
Title: Statutory Licensing Authority
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular	Date Submitted to OIRA: 10/18/2023

	Requested	Previously Approved
Expiration Date	36 Months From Approved	11/30/2023
Responses	115	122
Time Burden (Hours)	7,300	4,257
Cost Burden (Dollars)	2,100	1,750

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Abstract: Various provisions of the Interstate Commerce Act require rail carriers and noncarriers to file applications with the Board to seek licensing authority to construct or abandon a line of railroad, transfer rights in a line of railroad, or consolidate ownership in a railroad through a merger or common-control arrangement under 49 U.S.C. §§ 10901-05 and 11323, or to obtain an exemption (through a petition or notice) from filing such an application under 49 U.S.C. § 10502. Pursuant to 49 C.F.R. § 1121.3(d), the Board requires that if a proposed transaction to acquire (by sale or lease) or operate a rail line includes an agreement containing an interchange commitment(whether through restrictions or incentives), the party seeking Board authorization for such transaction must identify the presence of such an interchange commitment and must file with the Board a confidential, unredacted copy of that sales or lease agreement and any related documents containing the terms of such commitment.

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Authorizing Statute(s): US Code: 49 USC 11323 Name of Law: Consolidation, merger, and acquisition of control
   US Code: 49 USC 11324 Name of Law: Consolidation, merger, and acquisition of control: conditions of approval
   US Code: 49 USC 10901 Name of Law: Construction and Operations applications
   US Code: 49 USC 11325 Name of Law: Consolidation, merger, and acquisition of control: procedure
   US Code: 49 USC 10903 Name of Law: Abandonment applications
   US Code: 49 USC 11326 Name of Law: Employee protective arrangements in transactions involving rail carriers
   US Code: 49 USC 10502 Name of Law: Exemptions
   US Code: 49 USC 1321 Name of Law: Powers
   US Code: 49 USC 10902 Name of Law: Short Line Purchases
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	88 FR 52237	08/07/2023
30-day Notice:	Federal Register Citation:	Citation Date:
	88 FR 71922	10/18/2023
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 2

IC Title	Form No.	Form Name
Disclosure of Rail Interchange Commitments
Statutory Licensing Authority

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ICR Summary of Burden

	Total Request	Previously Approved	Change Due to New Statute	Change Due to Agency Discretion	Change Due to Adjustment in Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses	115	122	0	-7	0	0
Annual Time Burden (Hours)	7,300	4,257	0	3,043	0	0
Annual Cost Burden (Dollars)	2,100	1,750	0	350	0	0

Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Miscellaneous Actions

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: This is an existing collection, which is being adjusted to update the burdens and costs based on the actual number of recent filings, using a recent three-year average. Based on the difference between the currently applicable three-year average (2020-2022) and the previously used three-year average (using 2017-2019), the estimated number of applications increased by four filings, petitions increased by three, notices decreased by 15, and interchange commitments increased by one. Additionally, the estimated number of burden hours increased for all types of filings with applications increasing by 51 hours, petitions by 17, notices by six, and interchange commitments by two. As a result of the estimated distribution and hourly burden changes, there is a net hourly burden increase of approximately 3,043 burden hours.

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Annual Cost to Federal Government: $334,294

Does this IC contain surveys, censuses, or employ statistical methods? No

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.     No

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.     No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? No

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Common Form ICR:  No

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On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(i) Why the information is being collected;

(ii) Use of information;

(iii) Burden estimate;

(iv) Nature of response (voluntary, required for a benefit, or mandatory);

(v) Nature and extent of confidentiality; and

(vi) Need to display currently valid OMB control number;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.

Certification Date: 10/18/2023

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