Source: https://www.stb.gov/decisions/readingroom.nsf/9855c1fb354da09b85257f1f000b5f79/1cc3a691ecb22f5d8525816b0042be89?OpenDocument
Timestamp: 2019-03-22 21:19:26
Document Index: 33308898

Matched Legal Cases: ['§ 1002', '§ 1002', '§ 1002', '§ 1002', '§ 553', 'art 1002', 'art 1146']

45904 - Decision
EP_542_25
REGULATIONS GOVERNING FEES FOR SERVICES PERFORMED IN CONNECTION WITH LICENSING AND RELATED SERVICES—2017 UPDATE
DECISION UPDATED THE FEES THAT THE PUBLIC MUST PAY TO FILE CERTAIN CASES AND PLEADINGS WITH THE BOARD.
45904 SERVICE DATE – JULY 28, 2017
IN CONNECTION WITH LICENSING AND RELATED SERVICES—2017 UPDATE
Digest:[1] This decision updates the Board’s filing fees to reflect 2017 cost levels. Pursuant to this update, 83 fees will be increased, while 50 fees will be maintained at current levels.
The Surface Transportation Board (STB or Board) is required to update its user fees at least once per year. See 49 C.F.R. § 1002.3(a). The Board’s last annual user-fee update was issued in Regulations Governing Fees for Services Performed in Connection with Licensing & Related Services—2016 Update (2016 Fee Update), EP 542 (Sub-No. 24) (STB served Aug. 2, 2016), and became effective September 1, 2016. This decision updates the Board’s fees based on the cost study formula set forth at 49 C.F.R. § 1002.3(d) and other relevant factors.
RESULTS FROM THE 2017 UPDATE
The Board’s current master Schedule of Filing Fees contains 133 fee items. Today’s user fee decision is based on the 2.88% across-the-board general and locality salary increase and various overhead cost changes described in this decision. Approximately 85% of the fee schedule either increases by $400 or less or remains unchanged as a result of this decision.[2]
2017 UPDATE FACTORS
The factors that bear on the full-cost calculation of the Board’s fee items are direct labor costs, government fringe benefit costs, and three types of overhead costs: the Operations Overhead factor, the Office Overhead factor, and the Support Services Overhead factor.
Direct Labor. Direct labor costs for 2017 reflect a combined Government-wide 1.0 percent general and 1.88 percent locality salary increase that took effect in January 2017.[3]
Government Fringe Benefits. No updates have been instituted with respect to the Government Fringe Benefit Cost factor. Therefore, the Government Fringe Benefit Cost factor used in the update formula remains at 56.25%.[4]
Operations Overhead. The Operations Overhead factor accounts for the time devoted by Office Directors, Deputy Directors, and any Directors’ assistants or administrative staff. Based on fiscal year (FY) 2016 labor data, the updated Operations Overhead factor is 21.59%, a 1.10 percentage point increase from last year’s level of 20.49%.
Office Overhead. The Office Overhead factor accounts for non-labor costs in the following seven categories: (1) Property Movement; (2) Rent and Utilities; (3) Printing; (4) Services to the Board; (5) Materials and Supplies; (6) Equipment Procurement; and (7) Property Indemnities/Other-Legal Settlement. Based on FY 2016 levels, the Office Overhead factor is 27.60%, an increase from last year’s level of 26.79%. Three categories mainly contributed to this increase: Services to the Board; Rent and Utilities; and Printing. The Services category increased by $1,088,036 over the FY 2015 level primarily due to increased costs for information technology and other administrative functions; the Rent and Utilities component rose by $25,453 over the FY 2015 level; and the Printing category increased over the FY 2015 level by $11,427. On the other hand, Equipment Procurement decreased $341,824 and Materials and Supplies decreased $19,383 from the FY 2015 levels. Factoring together all categories leads to a total increase of $763,990 over the FY 2015 level, which results in a 27.60% Office Overhead factor (a 0.81 percentage point increase).
Support Services Overhead. The Support Services Overhead factor accounts for the time devoted to all Board-wide support services, such as the mailroom staff, the information technology department, the financial services department, and the human resources department. This factor increased slightly from 13.87% to 13.96% compared to last year’s decision (a 0.08 percentage point increase).
The 2017 full cost level for each fee item developed from the cost factors discussed above is set forth in column 10 of APPENDIX A.[5]
Increases to direct labor costs and to all three of the Board’s overhead cost factors contribute to bottom-line results for each fee item in the schedule. As a result, 83 of the Board’s 133 fee schedule items (or 62.4%) must be adjusted to cover the complete 2017 full cost levels as compared to the 2016 Fee Update full cost levels.[6] See 49 C.F.R. § 1002.3(e).
There is no change in publication costs from the 2016 Fee Update decision. The United States Government Printing Office (GPO) has set publication costs at $159 per column in GPO Circular Letter no. 942 (revised) on June 3, 2015. Publication cost levels therefore remain unchanged from last year’s update.
In some instances fees have been capped out of a concern that higher fees could have a chilling effect on the ability of some to bring a matter to the Board’s attention, or because certain types of actions were deemed to benefit the general public. The following categories of capped fees are discussed below.
Formal complaint fees have been capped at $350 either by statute or by Board action.[7] Fees for full Stand-Alone Cost (SAC) rate complaints (fee item 56(i)), Simplified-SAC rate complaints (item 56 (ii)), and all other formal complaints (item 56 (iv)) – remain unchanged, as reflected in the Schedule of Filing Fees in APPENDIX B.
2. Other Original Below-Cost Fees:
Historically, certain other fees have been held well below the full cost level, including trail use condition requests (item 27(i)); Amtrak conveyance and compensation proceedings (items 47 and 48, respectively); labor arbitration proceedings (item 60); appeals of Board decisions (item 61(i)); and motor carrier undercharge proceedings (item 62). Capped fees are occasionally adjusted, but these existing six fees remain unchanged in this proceeding, as reflected in the Schedule of Filing Fees in APPENDIX B.
Other below-cost fees are: the feeder line development program ($2,600) (item 13); petitions for declaratory order involving a dispute over an existing rate or practice ($1,000) (item 58(i)); and all other petitions for declaratory order ($1,400) (item 58(ii)). These three items will also remain at their current fee levels, as reflected in the Schedule of Filing Fees in APPENDIX B.
3. Certain Fees from the 2002 New Fees Decision Held Below-Cost:
In 2002, the Board capped six of 19 new fee items that were added to its user-fee schedule. See Regulations Governing Fees for Servs. Performed in Connection with Licensing and Related Servs.—2002 New Fees, EP 542 (Sub-No. 4) (STB served Aug. 29, 2002). These include: request for determination of a dispute involving a rail construction that crosses the line of another carrier (item 12(iv)); formal complaint involving rail maximum rates filed under the Three Benchmark methodology (former item 56(ii), now 56(iii)); request for an order compelling a rail carrier to establish a common carrier rate (former item 56(v), now 56(vi)); request for expedited or temporary relief for service emergency or service inadequacy (items 63(i) and 63(ii), respectively); and basic fee for STB adjudicatory services not otherwise covered (item 88). These fees will remain unchanged, as reflected in the Schedule of Filing Fees in APPENDIX B.
SUMMARY OF USER-FEE CHANGES FOR 2017[8]
2. Increases of $0 to $50
3. Increases of $100 to $299
4. Increases of $300 to $400
5. Increases of $500 to $1,000
6. Increases of $1,100 to $5,000
7. Increases of $5,100 to $74,600
COMPARISON OF FEE LEVELS FOR YEARS 2016 AND 2017
In order to show clearly the changes to user fees, a comparison table between the new 2017 fee levels and last year’s 2016 fee levels is provided in APPENDIX C.
The fee changes adopted here generally are a product of the mechanical application of the current update formula at 49 C.F.R. § 1002.3(d), which was adopted through notice and comment procedures in Regulations Governing Fees for Services Performed in Connection with Licensing & Related Services—1987 Update, 4 I.C.C.2d 137 (1987), as well as existing Board policy regarding capped fees. Additionally, this decision does not contain any new proposed fee items. Therefore, as with prior fee updates, we find good cause to conclude that notice and comment are unnecessary for this proceeding. See 5 U.S.C. § 553(b); 2013 Fee Update, slip op. at 6.
1. 49 C.F.R. Part 1002 of the Code of Federal Regulations is amended as indicated in APPENDIX B. Notice of the final rules adopted here will be transmitted to Congress pursuant to the Contract with America Advancement Act of 1996, Pub. L. No. 104-21, 110 Stat. 847-75 (1996).
3. These rules are effective on September 1, 2017.
2017 DIRECT LABOR UPDATE
[(2016 LEVEL X INCR. (2.88%)]
$5,104.93
3677.64
2iii[9]
11124.61
6437.81
17882.81
6001.96
31807.68
5290.06
2885.52
2968.62
8360.27
5024.39
5169.09
2710.76
14469.53
30154.22
31022.66
17450.25
48472.91
10466.64
16268.82
10496.45
85909.25
6162.58
9629.04
3231.77
17025.08
9261.85
9528.59
5359.83
14888.42
3214.82
4996.96
26509.68
2513.06
3926.66
4187.62
2427.97
3793.70
6939.41
8515.39
13688.49
4594.23
2964.14
24361.58
9179.39
5163.40
14342.79
3097.01
4813.83
25518.45
2544.02
9183.06
9447.53
5314.24
14761.77
3187.47
4954.45
3196.55
26100.24
7606.49
7825.56
12227.43
21808.42
4190.95
601795.75
619127.47
348259.20
967386.67
208885.55
324681.17
209480.41
1716277.16
120361.56
123827.97
69653.23
193481.21
41777.95
64937.54
41896.92
343262.27
8436.77
3728.69
5993.87
6376.40
2720.96
28218.78
29031.48
45361.69
9794.84
15224.61
9822.74
80393.01
5169.78
8310.42
14882.76
3264.55
9207.94
61032.59
62790.33
35319.56
98109.89
21184.64
32928.34
21244.97
173467.83
74026.03
76157.98
42838.86
118996.84
25694.71
39938.56
25767.88
210398.00
169010.01
173877.50
97806.09
271683.59
58664.00
91184.37
58831.07
480363.04
16768.66
17251.60
9704.02
26955.62
47660.16
20900.53
21502.47
12095.14
33597.60
7254.65
11276.27
7275.31
3700.23
5781.61
3378.83
3476.14
5431.47
2750.51
7757.69
2859.45
8088.79
5507.53
5666.15
8853.35
15653.59
4316.15
7631.38
4376.27
12090.11
4370.51
12140.31
2628.89
21465.24
8418.70
13533.30
4542.14
23928.19
3339.55
98iiia
98iiib
98iva
98ivb
98vb
98via
98vib
Authority: 5 U.S.C. 552(a)(4)(A) and 553; 31 U.S.C. 9701 and 49 U.S.C. 1321(a).
(a) Certificate of the Records Officer, $19.00.
(b) Services involved in examination of tariffs or schedules for preparation of certified copies of tariffs or schedules or extracts therefrom at the rate of $43.00 per hour.
(c) Services involved in checking records to be certified to determine authenticity, including clerical work, etc. identical thereto, at the rate of $30.00 per hour.
(1) A fee of $76.00 per hour for professional staff time will be charged when it is required to fulfill a request for ADP data.
(2) (i) An application involving the purchase, lease, consolidation, merger, or acquisition of control of a motor carrier of passengers under 49 U.S.C. 14303..............................................................................
$31,800.
(ii) Minor amendment.....................................................
(6) A notice of exemption for transaction within a motor passenger corporate family that does not result in adverse changes in service levels, significant operational changes, or a change in the competitive balance with motor passenger carriers outside the corporate family..............................................................
(11) (i) An application for a certificate authorizing the extension, acquisition, or operation of lines of railroad. 49 U.S.C. 10901.............................................................
(iii) Petition for exemption under 49 U.S.C. 10502.........
$85,900.
(ii) A notice of exemption involving construction of a rail line under 49 CFR 1150.36........................................
(iii) A petition for exemption under 49 U.S.C. 10502 involving construction of a rail line.................................
(13) A Feeder Line Development Program application filed under 49 U.S.C. 10907(b)(1)(A)(i) or 10907(b)(1)(A)(ii)..........................................................
(ii) Notice of exemption under 49 CFR 1150.41-1150.45..........................................................................................
(15) A notice of a modified certificate of public convenience and necessity under 49 CFR 1150.21-1150.24...............
(21) (i) An application for authority to abandon all or a portion of a line of railroad or discontinue operation thereof filed by a railroad (except applications filed by Consolidated Rail Corporation pursuant to the Northeast Rail Service Act [Subtitle E of Title XI of Pub. L. 97-35], bankrupt railroads, or exempt abandonments)................................................................
(iii) A petition for exemption under 49 U.S.C. 10502.....
(24) A request for waiver of filing requirements for abandonment application proceedings...........................
(25) An offer of financial assistance under 49 U.S.C. 10904 relating to the purchase of or subsidy for a rail line proposed for abandonment.............................
(27) (i) Request for a trail use condition in an abandonment proceeding under 16 U.S.C.1247(d).................................................................
$21,800.
(i) Major transaction......................................................
$1,716,200.
$343,200.
(iii) Minor transaction......................................................
$10,700.
(ii) Significant transaction.............................................
(42) Notice of a joint project involving relocation of a rail line under 49 CFR 1180.2(d)(5).....................................
$80,300.
(47) National Railroad Passenger Corporation (Amtrak) conveyance proceeding under 45 U.S.C. 562.................
(i) A formal complaint filed under the coal rate guidelines (Stand-Alone Cost Methodology) alleging unlawful rates and/or practices of rail carriers under 49 U.S.C. 10704(c)(1)...........................................................
(ii) A formal complaint involving rail maximum rates filed under the Simplified-SAC methodology.………….
(iv) All other formal complaints (except competitive access complaints)...........................................................
(v) Competitive access complaints.................................
(vi) A request for an order compelling a rail carrier to establish a common carrier rate.......................................
(57) A complaint seeking or a petition requesting institution of an investigation seeking the prescription or division of joint rates or charges. 49 U.S.C. 10705.....................
(ii) All other petitions for declaratory order....................
(59) An application for shipper antitrust immunity. 49 U.S.C. 10706(a)(5)(A)...............................................................
(61) (i) An appeal of a Surface Transportation Board decision on the merits or petition to revoke an exemption pursuant to 49 U.S.C. 10502(d)......................................
(ii) An appeal of a Surface Transportation Board decision on procedural matters except discovery rulings
(62) Motor carrier undercharge proceedings...........................
(63) (i) Expedited relief for service inadequacies: A request for expedited relief under 49 U.S.C. 11123 and 49 CFR part 1146 for service emergency....................................
(76) An application for authority to establish released value rates or ratings for motor carriers and freight forwarders of household goods under 49 U.S.C. 14706
(77) An application for special permission for short notice or the waiver of other tariff publishing requirements
(78) The filing of tariffs, including supplements, or contract summaries
$1 per page. ($28 min. charge.)
(i) Applications involving $25,000 or less
(ii) Applications involving over $25,000
(80) Informal complaint about rail rate applications
(i) Petitions involving $25,000 or less
(ii) Petitions involving over $25,000
(82) Request for a determination of the applicability or reasonableness of motor carrier rates under 49 U.S.C. 13710(a)(2) and (3)
(83) Filing of documents for recordation. 49 U.S.C. 11301 and 49 CFR 1177.3(c).
$47 per document.
(84) Informal opinions about rate applications (all modes)
(85) A railroad accounting interpretation
(86) (i) A request for an informal opinion not otherwise covered
(ii) A proposal to use on a voting trust agreement pursuant to 49 CFR 1013 and 49 CFR 1180.4(b)(4)(iv) in connection with a major control proceeding as defined at 49 CFR 1180.2(a)
(iii) A request for an informal opinion on a voting trust agreement pursuant to 49 CFR 1013.3(a) not otherwise covered
(ii) Answer (per defendant), Unless Declining to Submit to Any Arbitration
(iii) Third Party Complaint
(iv) Third Party Answer (per defendant), Unless Declining to Submit to Any Arbitration
(v) Appeals of Arbitration Decisions or Petitions to Modify or Vacate an Arbitration Award
(88) Basic fee for STB adjudicatory services not otherwise covered
(96) Messenger delivery of decision to a railroad carrier’s Washington, DC, agent
$37 per delivery.
(97) Request for service or pleading list for proceedings
$28 per list.
(a) Set cost portion
(b) Sliding cost portion
$54 per party.
$13 per party.