SURFACE TRANSPORTATION BOARD DECISION DOCUMENT
    Decision Information

Docket Number:  
EP_542_24

Case Title:  
REGULATIONS GOVERNING FEES FOR SERVICES PERFORMED IN CONNECTION WITH LICENSING AND RELATED SERVICES--2015 UPDATE

Decision Type:  
Decision

Deciding Body:  
Entire Board

    Decision Summary

Decision Notes:  
DECISION UPDATED THE FEES THAT THE PUBLIC MUST PAY TO FILE CERTAIN CASES AND PLEADINGS WITH THE BOARD.

    Decision Attachments

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    Full Text of Decision

38803

45072 SERVICE DATE – AUGUST 2, 2016

EB

 

Surface Transportation Board

 

DECISION

 

Docket No. EP 542 (Sub-No. 24)

 

REGULATIONS GOVERNING FEES FOR SERVICES PERFORMED

IN CONNECTION WITH LICENSING AND RELATED SERVICES—2016 UPDATE

 

Decided: July 27, 2016

 

Digest:[1] This decision updates the fees that the public must pay to file certain cases and pleadings with the Board to cover the 2016 full cost levels. In this update, the following results are obtained: 18 fees increased by $50 or less, 15 fees increased by $100 to $199, 23 fees increased by $200 to $300, 19 fees increased by more than $300, and the remaining 58 fees will be maintained at their current level.

 

BACKGROUND

 

The Surface Transportation Board (STB or Board) is required by regulation at 49 C.F.R.  1002.3 to update its user fees at least once per year. The Board’s last annual user-fee update was issued in Regulations Governing Fees for Services Performed in Connection with Licensing & Related Services—2015 Update (2015 Fee Update), EP 542 (Sub-No. 23) (STB served July 15, 2015), and became effective August 14, 2015. 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 2016 UPDATE

 

The Board’s current master Schedule of Filing Fees has increased from 125 to 133 fee items due to an expansion of fee item 98, which will now include four fee items each for both monthly and quarterly Waybill requests.[2] Today’s user fee decision is based on the 1.46% across-the-board general and locality salary increase and various overhead cost changes described in this decision. Approximately 86% of the fee schedule either increases by $300 or less or remains unchanged as a result of this decision.[3]

 

2016 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 General and Administrative Expense factor (Office Overhead factor), and the Board’s Office General and Administrative Expense factor (Board Overhead factor).

 

Direct Labor. Direct labor costs for 2016 reflect a combined Government-wide 1.0 percent general and 0.46 percent locality salary increase that took effect in January 2016.[4]

 

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 is applied at the same rate as in last year’s decision – 56.25%.[5]

 

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) 2015 labor data, the Operations Overhead factor for 19 employees is set at 20.49%, a slight decrease from last year’s 20.54% level, and is relied upon in this decision.

 

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 2015 budget data, the Office Overhead factor is 26.79%, an increase from the FY 2014 figure of 26.07%. Four categories contributed significantly to the increase from FY 2014 to FY 2015: Services to the Board, Equipment Procurement, Rent and Utilities, and Materials and Supplies.[6] The Services category increased by $40,327 over its FY 2014 counterpart; the Equipment category increased by $97,071 over its FY 2014 counterpart due to the new computers and related products that the Board procured in FY 2015; the Rent and Utilities component rose by $84,333 over its FY 2014 level; and the Materials and Supplies category increased over its FY 2014 level by $38,634. In total, these four categories accounted for $260,365. Factoring in the other three categories leads to a total increase of $257,825 over the FY 2014 level. Based upon the various increases and decreases to the seven categories that make up this factor, the 26.79% Office Overhead factor will be applied in this decision.[7]

 

Board Overhead. The Board 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 from 12.74% to 13.87%, as compared to last year’s decision.

 

The 2016 full cost level for each fee item developed from the cost factors discussed above is set forth in column 10 of APPENDIX A.[8]

 

FULL COST RESULTS

 

Increases to direct labor costs and two of the Board’s three overhead cost factors (Office Overhead and Board Overhead), coupled with a small decrease to the Operations Overhead factor, generate bottom-line results for each fee item in the schedule. The Board’s 133 fee items are being adjusted to cover the complete 2016 full cost levels as compared to the 2015 Fee Update full cost levels.[9] Listed below is a summary of the full cost percentage increase changes for the Board’s 133 fee items from FY 2014 to FY 2015:

 

Full Cost Increase Ranges—FY 2014 to FY 2015

 

Percentage

Increase Changes:

 

Number of Items:

0.00%

12

No FY 2014 Cost Data

8

1.90% to 2.50%

12

2.51% to 2.99%

31

3.00% to 3.15%

70

TOTAL

133

 

FEDERAL REGISTER COST

 

There is no change in publication costs from the 2014 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. Thus, the 2014 Fee Update decision publication cost levels remain unchanged and are used here.

 

OTHER FEES

 

1. Formal Complaint Fees:

 

On July 7, 2011, the STB adopted a final rule that set the fees for full Stand-Alone Cost (SAC) rate complaints (fee item 56(i)) at $350; set the fee for Simplified-SAC rate complaints at $350 (item 56 (ii)); and reduced the fee for all other formal complaints from $20,600 to $350 (item 56 (iv)). Regulations Governing Fees For Servs., EP 542 (Sub-No. 18) (STB served July 7, 2011). These fees remain unchanged and are reflected in the Schedule of Filing Fees in APPENDIX B.

 

2. Other Original Below-Cost Fees (Capped):

 

Historically, certain 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.[10] The Board has capped these fees 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.

 

Capped fees are occasionally adjusted, and the Board continues to monitor them. In Regulations Governing Fees for Services Performed in Connection with Licensing & Related Services—2009 Update (2009 Fee Update), EP 542 (Sub-No. 16) (STB served May 5, 2009), the Board raised each of the six fee items identified above from $200 to $250. These fee items were maintained at $250 in Regulations Governing Fees for Services Performed in Connection with Licensing & Related Services—2013 Update (2013 Fee Update), EP 542 (Sub-No. 21) (STB served Aug. 28, 2013). However, in keeping with the 2002 New Fees and the 2009 Fee Update decisions, the Board in its 2014 Fee Update raised these six fee and sub-fee items from $250 to $300. These existing six fees remain unchanged in this proceeding.

 

Other below-cost fees are: the feeder line development program ($2,600)–item 13; petition 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, and are included in the Schedule of Filing Fees in APPENDIX B.

 

3. Certain Fees from the 2002 New Fees Decision Held Below-Cost (Capped):

 

In 2002 New Fees, the Board added 19 new fee items to its user-fee schedule. Six of those items were capped below their full costs for reasons discussed either in the 2002 New Fees final decision or in the Notice of Proposed Rulemaking for that proceeding. Those capped items are: 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.

 

For the same reasons given above for raising the six original below-cost fees in its 2014 Fee Update, the Board also raised five out of the six capped items in 2002 New Fees from $250 to $300 and they will be held at the $300 levels in this proceeding. The filing fee for Three-Benchmark methodology cases (sub-fee item 56(iii)) will remain $150. These items are also included in the Schedule of Filing Fees in APPENDIX B.

 

The following table depicts the breakdown of user-fee changes for this proceeding:

 

 

 

 

 

 

SUMMARY OF USER-FEE CHANGES FOR 2016[11]

 

 

Fee Item Change Category:

 

Number of

User Fees

 

Percent of Total

User Fee Schedule

 

(1)

 

(2)

 

(3)

1. No Change in Fee

58

43.6%

2. Increases of $0 to $50

18

13.5%

3. Increases of $100 to $199

15

11.3%

4. Increases of $200 to $300

23

17.3%

5. Increases of $400 to $1,000

8

6.0%

6. Increases of $1,100 to $5,000

3

2.3%

7. Increases of $5,100 to $48,000

8

6.0%

TOTAL

133

100%

 

COMPARISON OF FEE LEVELS FOR YEARS 2015 AND 2016

 

In order to show clearly the changes to user fees, a comparison table between the new 2016 fee levels and last year’s 2015 fee levels is provided in APPENDIX C.

 

ROUNDING

 

In Regulations Governing Fees for Services Performed in Connection With Licensing & Related Services, 1 I.C.C.2d 60 (1984), the Interstate Commerce Commission established a formula for rounding fees downward. See id. at 73-74. This agency followed that formula until the 2014 Fee Update, when the Board clarified the fee-rounding regulation at 49 C.F.R.  1002.3(e) to add the words “all” and “downward,” to more accurately reflect the longstanding and consistently applied policy established in 1984.

 

NOTICE AND COMMENT REQUIREMENT

 

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 but does contain eight sub-items that are an expansion of existing fee item 98 that deals with Waybill requests. The Board continues to rely on the 2014 amendment to the rounding regulation discussed above that codified a long-established and consistently applied Board formula adopted in a published agency decision. Therefore, 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.

 

It is ordered:

 

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 Pub. L. No. 104-121 (Mar. 29, 1996).

 

2. Notice of this decision will be published in the Federal Register.

 

3. These rules are effective on September 1, 2016.

 

By the Board, Chairman Elliott, Vice Chairman Miller, and Commissioner Begeman.


 

APPENDIX A

 

 

 

 

FEE

 

 

2015

DIRECT

LABOR

 

2016 DIRECT LABOR UPDATE

[(2015 LEVEL X INCR. (1.46%)]

 

 

(56.25%)

GOVT.

FRINGES

 

 

 

TOTAL

3+4

 

 

(20.49%)

OPERATIONS

OVERHEAD

 

 

(26.79%)

OFFICE

G&A

 

 

(13.87%)

BOARD

G&A

 

 

 

PUBLICATION

COSTS

 

 

 

TOTAL

SUM (5‑9)

 

1

 

2

 

3

 

4

 

5

 

6

 

7

 

8

 

9

10

 

1

$1768.87

$1794.70

$1009.52

$2,804.21

$574.58

$905.12

$594.32

$4.00

$4,882.23

2i

745.73

756.62

425.60

1182.22

242.23

381.58

250.56

189.13

2245.72

2ii

1157.08

1173.97

660.36

1834.33

375.85

592.07

388.77

340.96

3531.98

2iii[12]

0.00

0.00

0.00

0.00

0.00

0.00

0.00

0.00

2924.50

3

10964.53

11124.61

6257.59

17382.21

3561.57

5610.46

3683.98

189.13

30427.35

4i

1768.87

1794.70

1009.52

2804.21

574.58

905.12

594.32

189.13

5067.36

4ii

42.51

43.13

24.26

67.39

13.81

21.75

14.28

0.00

117.24

5

199.51

202.42

113.86

316.29

64.81

102.09

67.03

5.00

555.21

6

570.91

579.25

325.83

905.07

185.45

292.13

191.82

273.28

1847.75

11i

2844.00

2885.52

1623.11

4508.63

923.81

1455.25

955.56

159.00

8002.25

11ii

608.99

617.88

347.56

965.44

197.82

311.62

204.62

291.51

1971.00

11iii

4952.09

5024.39

2826.22

7850.61

1608.57

2533.94

1663.86

189.13

13846.11

12i

29720.30

30154.22

16961.75

47115.96

9653.95

15207.63

9985.75

204.43

82167.72

12ii

608.99

617.88

347.56

965.44

197.82

311.62

204.62

291.51

1971.00

12iii

29720.30

30154.22

16961.75

47115.96

9653.95

15207.63

9985.75

204.43

82167.72

12iv

5903.87

5990.07

3369.41

9359.48

1917.73

3020.96

1983.65

0.00

16281.82

13

9128.57

9261.85

5209.79

14471.64

2965.20

4671.01

3067.12

185.50

25360.47

14i

2407.56

2442.71

1374.02

3816.73

782.04

1231.93

808.92

189.13

6828.75

 

14ii

608.99

617.88

347.56

965.44

197.82

311.62

204.62

291.51

1971.00

 

14iii

2567.56

2605.05

1465.34

4070.38

834.01

1313.80

862.68

208.70

7289.57

15

614.76

623.74

350.85

974.59

199.69

314.57

206.55

162.62

1858.02

 

16

2326.04

2360.00

1327.50

3687.50

755.56

1190.22

781.53

231.78

6646.58

 

17

8392.85

8515.39

4789.90

13305.29

2726.22

4294.55

2819.92

159.00

23304.98

 

21i

8794.03

8922.42

5018.86

13941.29

2856.54

4499.83

2954.71

159.00

24411.37

 

21ii

1312.77

1331.94

749.21

2081.15

426.42

671.73

441.08

403.54

4023.93

 

21iii

2437.22

2472.80

1390.95

3863.76

791.67

1247.11

818.88

231.78

6953.20

 

22

190.18

192.96

108.54

301.49

61.78

97.31

63.90

0.00

524.48

 

23

758.84

769.92

433.08

1203.00

246.49

388.29

254.96

0.00

2092.75

 

24

726.15

736.75

414.42

1151.17

235.87

371.56

243.98

0.00

2002.59

 

25

624.60

633.72

356.47

990.19

202.89

319.60

209.86

0.00

1722.54

 

26

9050.92

9183.06

5165.47

14348.54

2939.98

4631.28

3041.03

0.00

24960.82

27i

468.30

475.14

267.26

742.40

152.12

239.63

157.34

0.00

1291.49

 

27ii

183.65

186.33

104.81

291.14

59.65

93.97

61.70

0.00

506.47

 

36

7497.03

7606.49

4278.65

11885.14

2435.24

3836.17

2518.93

189.13

20864.60

 

37

4015.01

4073.63

2291.42

6365.05

1304.18

2054.45

1349.01

189.13

11261.81

 

38i

593135.96

601795.75

338510.11

940305.85

192666.39

303502.72

199288.29

5843.36

1641606.62

 

38ii

118629.57

120361.56

67703.38

188064.94

38534.05

60701.76

39858.46

1168.66

328327.87

 

38iii

2407.56

2442.71

1374.02

3816.73

782.04

1231.93

808.92

1494.06

8133.68

 

 

 

 

 

 

FEE

 

 

2015

DIRECT

LABOR

 

2016 DIRECT LABOR UPDATE

[(2015 LEVEL X INCR. (1.46%)]

 

 

(56.25%)

GOVT.

FRINGES

 

 

 

TOTAL

3+4

 

 

(20.49%)

OPERATIONS

OVERHEAD

 

 

(26.79%)

OFFICE

G&A

 

 

(13.87%)

BOARD

G&A

 

 

 

PUBLICATION

COSTS

 

 

 

TOTAL

SUM (5‑9)

1

 

2

 

3

 

4

 

5

 

6

 

7

 

8

 

9

10

38iv

570.91

579.25

325.83

905.07

185.45

292.13

191.82

273.28

1847.75

38v

2407.56

2442.71

1374.02

3816.73

782.04

1231.93

808.92

1494.06

8133.68

38vi

3675.03

3728.69

2097.39

5826.07

1193.75

1880.48

1234.78

189.13

10324.21

38vii

2211.18

2243.46

1261.95

3505.41

718.25

1131.44

742.94

0.00

6098.04

39i

593135.96

601795.75

338510.11

940305.85

192666.39

303502.72

199288.29

5843.36

1641606.62

39ii

118629.57

120361.56

67703.38

188064.94

38534.05

60701.76

39858.46

1168.66

328327.87

39iii

2407.56

2442.71

1374.02

3816.73

782.04

1231.93

808.92

1494.06

8133.68

39iv

414.38

420.43

236.49

656.92

134.60

212.03

139.23

294.15

1436.94

39v

2407.56

2442.71

1374.02

3816.73

782.04

1231.93

808.92

1,494.06

8133.68

39vi

3675.03

3728.69

2097.39

5826.07

1193.75

1880.48

1234.78

189.13

10324.21

39vii

2211.18

2243.46

1261.95

3505.41

718.25

1131.44

742.94

0.00

6098.04

40i

593135.96

601795.75

338510.11

940305.85

192666.39

303502.72

199288.29

5843.36

1641606.62

40ii

118629.57

120361.56

67703.38

188064.94

38534.05

60701.76

39858.46

1168.66

328327.87

40iii

2407.56

2442.71

1374.02

3816.73

782.04

1231.93

808.92

1494.06

8133.68

40iv

383.81

389.41

219.05

608.46

124.67

196.39

128.96

240.51

1298.99

40v

2407.56

2442.71

1374.02

3816.73

782.04

1231.93

808.92

1494.06

8133.68

40vi

3675.03

3728.69

2097.39

5826.07

1193.75

1880.48

1234.78

189.13

10324.21

40vii

2211.18

2243.46

1261.95

3505.41

718.25

1131.44

742.94

0.00

6098.04

41i

593135.96

601795.75

338510.11

940305.85

192666.39

303502.72

199288.29

5843.36

1641606.62

41ii

118629.57

120361.56

67703.38

188064.94

38534.05

60701.76

39858.46

1168.66

328327.87

41iii

2407.56

2442.71

1374.02

3816.73

782.04

1231.93

808.92

1494.06

8133.68

41iv

456.34

463.00

260.44

723.44

148.23

233.51

153.33

272.57

1531.07

41v

2407.56

2442.71

1374.02

3816.73

782.04

1231.93

808.92

1494.06

8133.68


 

 

 

 

FEE

 

 

2015

DIRECT

LABOR

 

 

2016 DIRECT LABOR UPDATE

[(2015 LEVEL X INCR. (1.46%)]

 

 

(56.25%)

GOVT.

FRINGES

 

 

 

TOTAL

3+4

 

 

(20.49%)

OPERATIONS

OVERHEAD

 

 

(26.79%)

OFFICE

G&A

 

 

(13.87%)

BOARD

G&A

 

 

 

PUBLICATION

COSTS

 

 

 

TOTAL

SUM (5‑9)

 

1

 

2

 

3

 

4

 

5

 

6

 

7

 

8

 

9

10

 

41vi

2567.56

2605.05

1465.34

4070.38

834.01

1313.80

862.68

208.70

7289.57

 

41vii

2211.18

2243.46

1261.95

3505.41

718.25

1131.44

742.94

0.00

6098.04

 

42

824.10

836.13

470.32

1306.46

267.69

421.69

276.89

344.50

2617.22

 

43

27812.71

28218.78

15873.06

44091.84

9034.31

14231.53

9344.82

189.13

76891.63

 

44i

5095.39

5169.78

2908.00

8077.79

1655.12

2607.27

1712.00

189.13

14241.31

 

44ii

42.51

43.13

24.26

67.39

13.81

21.75

14.28

0.00

117.24

 

45

316.47

321.09

180.61

501.70

102.80

161.94

106.33

0.00

872.77

 

46

3127.50

3173.16

1784.90

4958.06

1015.90

1600.32

1050.81

189.13

8814.22

 

47

60154.34

61032.59

34330.83

95363.43

19539.74

30780.47

20211.31

0.00

165894.95

 

48

72960.80

74026.03

41639.64

115665.67

23699.62

37333.43

24514.17

0.00

201212.88

 

56i

166577.97

169010.01

95068.13

264078.14

54108.97

85236.56

55968.68

0.00

459392.35

 

56ii

16527.36

16768.66

9432.37

26201.03

5368.53

8456.91

5553.04

0.00

45579.51

 

56iii

0.00

0.00

0.00

0.00

0.00

0.00

0.00

0.00

150.00

 

56iv

16527.36

16768.66

9432.37

26201.03

5368.53

8456.91

5553.04

0.00

45579.51

 

56v

0.00

0.00

0.00

0.00

0.00

0.00

0.00

0.00

150.00

 

56vi

20599.77

20900.53

11756.55

32657.07

6691.36

10540.73

6921.34

0.00

56810.49

 

57

3544.89

3596.65

2023.11

5619.76

1151.47

1813.89

1191.05

0.00

9776.17

 

58i

3330.21

3378.83

1900.59

5279.42

1081.74

1704.04

1118.92

596.26

9780.39

 

58ii

2635.04

2673.51

1503.85

4177.36

855.93

1348.33

885.35

159.00

7425.97

 

59

2739.40

2779.40

1563.41

4342.81

889.83

1401.73

920.41

189.13

7743.91

 

60

5428.28

5507.53

3097.99

8605.52

1763.25

2777.61

1823.85

0.00

14970.23

 

61i

2646.37

2685.01

1510.32

4195.32

859.61

1354.13

889.16

0.00

7298.22

 


 

 

 

 

FEE

 

 

2015

DIRECT

LABOR

 

2016 DIRECT LABOR UPDATE

[(2015 LEVEL X INCR. (1.46%)]

 

 

(56.25%)

GOVT.

FRINGES

 

 

 

TOTAL

3+4

 

 

(20.49%)

OPERATIONS

OVERHEAD

 

 

(26.79%)

OFFICE

G&A

 

 

(13.87%)

BOARD

G&A

 

 

 

PUBLICATION

COSTS

 

 

 

TOTAL

SUM (5‑9)

 

1

 

2

 

3

 

4

 

5

 

6

 

7

 

8

 

9

10

61ii

151.00

153.20

86.18

239.38

49.05

77.27

50.73

0.00

416.43

62

4192.55

4253.76

2392.74

6646.50

1361.85

2145.29

1408.66

0.00

11562.31

63i

7443.61

7552.29

4248.16

11800.45

2417.88

3808.83

2500.99

0.00

20528.15

63ii

8297.70

8418.85

4735.60

13154.45

2695.31

4245.86

2787.95

0.00

22883.58

64

238.85

242.34

136.31

378.65

77.58

122.22

80.25

0.00

658.71

76

496.15

503.39

283.16

786.55

161.16

253.88

166.70

2.00

1370.29

77

52.48

53.25

29.95

83.20

17.05

26.85

17.63

0.00

144.73

78

9.88

10.02

5.64

15.66

3.21

5.06

3.32

0.00

27.25

79i

0.00

0.00

0.00

0.00

0.00

0.00

0.00

0.00

75.00

79ii

62.53

63.44

35.69

99.13

20.31

32.00

21.01

0.00

172.45

80

244.75

248.32

139.68

388.01

79.50

125.24

82.23

0.00

674.98

81i

0.00

0.00

0.00

0.00

0.00

0.00

0.00

0.00

75.00

81ii

62.53

63.44

35.69

99.13

20.31

32.00

21.01

0.00

172.45

82

99.36

100.81

56.71

157.52

32.27

54.47

33.38

0.00

274.02

83

16.42

16.66

9.37

26.03

5.33

8.40

5.52

0.00

45.28

84

106.45

108.00

60.75

168.76

34.58

54.47

35.77

0.00

293.57

85

457.58

464.26

261.15

725.41

148.63

234.14

153.74

0.00

1261.92

86i

596.18

604.88

340.25

945.13

193.66

305.06

200.31

0.00

1644.16

86ii

2047.59

2077.48

1168.59

3246.07

665.11

1047.73

687.97

0.00

5646.89

86iii

209.61

212.67

119.63

332.30

68.09

107.26

70.43

0.00

578.07

87i

0.00

0.00

0.00

0.00

0.00

0.00

0.00

0.00

75.00

87ii

0.00

0.00

0.00

0.00

0.00

0.00

0.00

0.00

75.00


 

 

 

 

FEE

 

 

2015

DIRECT

LABOR

 

2016 DIRECT LABOR UPDATE

[(2015 LEVEL X INCR. (1.46%)]

 

 

(56.25%)

GOVT.

FRINGES

 

 

 

TOTAL

3+4

 

 

(20.49%)

OPERATIONS

OVERHEAD

 

 

(26.79%)

OFFICE

G&A

 

 

(13.87%)

BOARD

G&A

 

 

 

PUBLICATION

COSTS

 

 

 

TOTAL

SUM (5‑9)

1

2

3

4

5

6

7

8

9

10

87iii

0.00

0.00

0.00

0.00

0.00

0.00

0.00

0.00

75.00

 

87iv

0.00

0.00

0.00

0.00

0.00

0.00

0.00

0.00

75.00

 

87v

0.00

0.00

0.00

0.00

0.00

0.00

0.00

0.00

150.00

 

88

228.50

231.84

130.41

362.24

74.22

116.92

76.77

0.00

630.16

 

96

12.85

13.04

7.33

20.37

4.17

6.58

4.32

0.00

35.44

 

97

9.78

9.92

5.58

15.50

3.18

5.00

3.29

0.00

26.97

 

98ia

65.06

66.01

37.13

103.14

21.13

33.29

21.86

0.00

179.42

 

98ib

18.86

19.14

10.76

29.90

6.13

9.65

6.34

0.00

52.01

 

98iia

102.79

104.29

58.66

162.95

33.39

52.60

34.54

159.00

442.48

 

98iib

18.86

19.14

10.76

29.90

6.13

9.65

6.34

0.00

52.01

 

98iiia

16.27

16.50

9.28

25.79

5.28

8.32

5.46

0.00

44.86

 

98iiib

4.72

4.78

2.69

7.47

1.53

2.41

1.58

0.00

13.00

 

98iva

25.70

26.07

14.67

40.74

8.35

13.15

8.63

159.00

229.87

 

98ivb

4.72

4.78

2.69

7.47

1.53

2.41

1.58

0.00

13.00

 

98va

5.42

5.50

3.09

8.60

1.76

2.77

1.82

0.00

14.95

 

98vb

1.57

1.59

0.90

2.49

0.51

0.80

0.53

0.00

4.33

 

98via

8.57

8.69

4.89

13.58

2.78

4.38

2.88

159.00

182.62

 

98vib

1.57

1.59

0.90

2.49

0.51

0.80

0.53

0.00

4.33

 

99i

76.39

77.51

43.60

121.10

24.81

39.09

25.67

0.00

210.67

 

99ii

0.00

0.00

0.00

0.00

0.00

0.00

0.00

0.00

25.00

 

100i

0.00

0.00

0.00

0.00

0.00

0.00

0.00

0.00

250.00

 

100ii

73.34

74.41

41.86

116.27

23.82

37.53

24.67

0.00

202.26

 

102

6.81

6.91

3.89

10.80

2.21

3.48

2.29

0.00

18.78

 

103

42.14

42.76

24.05

66.81

13.69

21.56

14.16

0.00

116.21

 

104

29.17

29.60

16.65

46.24

9.48

14.93

9.80

0.00

80.45

 

105

0.95

0.96

0.54

1.51

0.31

0.49

0.32

0.00

2.62

 

106

73.34

74.41

41.86

116.27

23.82

37.53

24.64

0.00

202.26

 


 

APPENDIX B

 

For the reasons set forth in the preamble, title 49, chapter X, part 1002, of the Code of Federal Regulations is amended as follows:

Part 1002 - FEES

1. The authority citation for part 1002 continues to read as follows:

Authority: 5 U.S.C. 552(a)(4)(A) and 553; 31 U.S.C. 9701 and 49 U.S.C. 1321(a).

2. Section 1002.1 is amended by revising paragraphs (a) and (d), (f)(1) and (g)(6) and (7) as follows:

1002.1 Fees for record search, review, copying, certification, and related service.

* * * * *

* * *

(d) Photocopies of tariffs, reports and other public documents, at a rate of $1.50 per letter or legal size exposure. A minimum charge of $7.50 will be made for this service.

* * * * *

(f) * * *

(1) A fee of $74.00 per hour for professional staff time will be charged when it is required to fulfill a request for ADP data.

* * * * *

(g) * * *

(6) * * *

Grade

 

Rate

 

Grade

 

Rate

GS-1

GS-2

GS-3

GS-4

GS-5

GS-6

GS-7

GS-8

 

$12.43

13.53

15.25

17.12

19.15

21.35

23.72

26.27

 

GS-9

GS-10

GS-11

GS-12

GS-13

GS-14

GS-15 and

over

 

 

 

$29.02

31.95

35.11

42.08

50.04

59.13

69.56

 

(7) The fee for photocopies shall be $1.50 per letter or legal size exposures with a minimum of $7.50.

* * * * *

3. In 1002.2, paragraph (f) is revised as follows:

 

(f) Schedule of filing fees.

 

Type of Proceeding

Fee

PART I: Non-Rail Applications or Proceedings to Enter Into a Particular Financial Transaction or Joint Arrangement:

 

(1) An application for the pooling or division of traffic........

$4,800.

(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...................................................................

 

 

 

$2,200.

(ii) A petition for exemption under 49 U.S.C. 13541 (other than a rulemaking) filed by a non-rail carrier not otherwise covered............................................................

 

 

$3,500.

(iii) A petition to revoke an exemption filed under 49 U.S.C. 13541(d)...............................................................

 

$2,900.

(3) An application for approval of a non-rail rate association agreement. 49 U.S.C. 13703..........................................

 

$30,400.

(4) An application for approval of an amendment to a non-rail rate association agreement:

 

(i) Significant amendment..............................................

$5,000.

(ii) Minor amendment......................................................

$100.

(5) An application for temporary authority to operate a motor carrier of passengers. 49 U.S.C. 14303(i)...........

 

$550.

(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....

 

 

 

 

$1,800.

 

(7)-(10) [Reserved]

 

PART II: Rail Licensing Proceedings other than Abandonment or Discontinuance Proceedings:

 

(11) (i) An application for a certificate authorizing the extension, acquisition, or operation of lines of railroad. 49 U.S.C. 10901 ............................................................

 

 

$8,000.

(ii) Notice of exemption under 49 CFR

1150.31-1150.35.............................................................

 

$1,900.

(iii) Petition for exemption under 49 U.S.C. 10502 ........

$13,800.

(12) (i) An application involving the construction of a rail line-

$82,100.

(ii) A notice of exemption involving construction of a rail line under 49 CFR 1150.36..............................................

 

$1,900.

(iii) A petition for exemption under 49 U.S.C. 10502 involving construction of a rail line .................................

 

$82,100.

(iv) A request for determination of a dispute involving a rail construction that crosses the line of another carrier under 49 U.S.C. 10902(d)................................................

 

 

$300.

(13) A Feeder Line Development Program application filed under 49 U.S.C. 10907(b)(1)(A)(i) or 10907(b)(1)(A)(ii)

 

$2,600.

(14) (i) An application of a class II or class III carrier to acquire an extended or additional rail line under 49 U.S.C. 10902..................................................................

 

$6,800.

(ii) Notice of exemption under 49 CFR 1150.41 - 1150.45.............................................................................

 

$1,900.

(iii) Petition for exemption under 49 U.S.C. 10502 relating to an exemption from the provisions of 49 U.S.C. 10902....................................................................

 

 

$7,200.

(15) A notice of a modified certificate of public convenience and necessity under 49 CFR 1150.21-1150.24..............

 

$1,800.

(16) An application for a land-use-exemption permit for a facility existing as of October 16, 2008 under 49 U.S.C. 10909..............................................................................

 

 

$6,600.

(17) An application for a land-use-exemption permit for a facility not existing as of October 16, 2008 under 49 U.S.C. 10909..................................................................

 

 

$23,300.

(18)-(20) [Reserved]

 

 

PART III: Rail Abandonment or Discontinuance of Transportation Services Proceedings:

 

 

(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) ...............................................................

 

 

 

 

 

 

$24,400.

(ii) Notice of an exempt abandonment or discontinuance under 49 CFR 1152.50.....................................................

 

$4,000.

(iii) A petition for exemption under 49 U.S.C. 10502 ....

$6,900.

(22) An application for authority to abandon all or a portion of a line of a railroad or operation thereof filed by Consolidated Rail Corporation pursuant to Northeast Rail Service Act..............................................................

 

 

 

$500.

(23) Abandonments filed by bankrupt railroads......................

$2,000.

(24) A request for waiver of filing requirements for abandonment application proceedings............................

 

$2,000.

(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...................

 

 

$1,700.

(26) A request to set terms and conditions for the sale of or subsidy for a rail line proposed to be abandoned...........

 

$24,900.

(27) (i) Request for a trail use condition in an abandonment proceeding under 16 U.S.C.1247(d)......................................................

 

$300.

(ii) A request to extend the period to negotiate a trail use agreement.........................................................................

 

$500.

(28)-(35) [Reserved]

 

 

PART IV: Rail Applications to Enter Into a Particular Financial Transaction or Joint Arrangement:

 

(36) An application for use of terminal facilities or other applications under 49 U.S.C. 11102...............................

 

$20,800.

(37) An application for the pooling or division of traffic. 49 U.S.C. 11322..................................................................

 

$11,200.

(38) An application for two or more carriers to consolidate or merge their properties or franchises (or a part thereof) into one corporation for ownership, management, and operation of the properties previously in separate ownership. 49 U.S.C. 11324:

 

 

(i) Major transaction.......................................................

$1,641,600.

(ii) Significant transaction...............................................

$328,300.

(iii) Minor transaction.......................................................

$8,100.

(iv) Notice of an exempt transaction under 49 CFR 1180.2(d)..........................................................................

 

$1,800.

(v) Responsive application.............................................

$8,100.

(vi) Petition for exemption under 49 U.S.C. 10502......

$10,300.

(vii) A request for waiver or clarification of regulations filed in a major financial proceeding as defined at 49 CFR 1180.2(a)..................................................................

 

 

$6,000.

(39) An application of a non-carrier to acquire control of two or more carriers through ownership of stock or otherwise. 49 U.S.C. 11324:

 

 

(i) Major transaction.......................................................

$1,641,600.

(ii) Significant transaction...............................................

$328,300.

(iii) Minor transaction.......................................................

$8,100.

(iv) A notice of an exempt transaction under 49 CFR 1180.2(d)..........................................................................

 

$1,400.

(v) Responsive application.............................................

$8,100.

(vi) Petition for exemption under 49 U.S.C. 10502......

$10,300.

(vii) A request for waiver or clarification of regulations filed in a major financial proceeding as defined at 49 CFR 1180.2(a)..................................................................

 

 

$6,000.

(40) An application to acquire trackage rights over, joint ownership in, or joint use of any railroad lines owned and operated by any other carrier and terminals incidental thereto. 49 U.S.C. 11324:

 

(i) Major transaction.......................................................

$1,641,600.

(ii) Significant transaction..............................................

$328,300.

(iii) Minor transaction.......................................................

$8,100.

(iv) Notice of an exempt transaction under 49 CFR 1180.2(d)..........................................................................

 

$1,200.

(v) Responsive application.............................................

$8,100.

(vi) Petition for exemption under 49 U.S.C. 10502........

$10,300.

(vii) A request for waiver or clarification of regulations filed in a major financial proceeding as defined at 49 CFR 1180.2(a)..................................................................

 

 

$6,000.

(41) An application of a carrier or carriers to purchase, lease, or contract to operate the properties of another, or to acquire control of another by purchase of stock or otherwise. 49 U.S.C. 11324:

 

(i) Major transaction.......................................................

$1,641,600.

(ii) Significant transaction...............................................

$328,300.

(iii) Minor transaction.......................................................

$8,100.

(iv) Notice of an exempt transaction under 49 CFR 1180.2(d)..........................................................................

 

$1,500.

(v) Responsive application.............................................

$8,100.

(vi) Petition for exemption under 49 U.S.C. 10502......

$7,200.

(vii) A request for waiver or clarification of regulations filed in a major financial proceeding as defined at 49 CFR 1180.2(a)..................................................................

 

 

$6,000.

(42) Notice of a joint project involving relocation of a rail line under 49 CFR 1180.2(d)(5)............................................

 

$2,600.

(43) An application for approval of a rail rate association agreement. 49 U.S.C. 10706..........................................

 

$76,800.

(44) An application for approval of an amendment to a rail rate association agreement. 49 U.S.C. 10706:

 

(i) Significant amendment................................................

$14,200.

(ii) Minor amendment......................................................

$100.

(45) An application for authority to hold a position as officer or director under 49 U.S.C. 11328.................................

 

$850.

(46) A petition for exemption under 49 U.S.C. 10502 (other than a rulemaking) filed by rail carrier not otherwise covered...........................................................................

 

 

$8,800.

(47) National Railroad Passenger Corporation (Amtrak) conveyance proceeding under 45 U.S.C. 562................

 

$300.

 

(48) National Railroad Passenger Corporation (Amtrak) compensation proceeding under Section 402(a) of the Rail Passenger Service Act.............................................

 

 

 

$300.

(49)-(55) [Reserved]

 

 

PART V: Formal Proceedings:

 

(56) A formal complaint alleging unlawful rates or practices of carriers:

 

(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) ..........................................................

 

$350.

(ii) A formal complaint involving rail maximum rates filed under the Simplified-SAC methodology . . . . . . . .

 

$350.

(iii) A formal complaint involving rail maximum rates filed under the Three Benchmark methodology..............

 

$150.

(iv) All other formal complaints (except competitive access complaints)............................................................

 

$350.

(v) Competitive access complaints..................................

$150.

(vi) A request for an order compelling a rail carrier to establish a common carrier rate........................................

 

$300.

(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.................... .

 

 

$9,700.

(58) A petition for declaratory order:

 

(i) A petition for declaratory order involving a dispute over an existing rate or practice which is comparable to a complaint proceeding.......................................................

 

 

$1,000.

(ii) All other petitions for declaratory order.....................

$1,400.

(59) An application for shipper antitrust immunity. 49 U.S.C. 10706(a)(5)(A)................................................................

 

$7,700.

(60) Labor arbitration proceedings..........................................

$300.

(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).....................................

 

 

$300.

(ii) An appeal of a Surface Transportation Board decision on procedural matters except discovery rulings...............

 

$400.

(62) Motor carrier undercharge proceedings............................

$300.

(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.....................................

 

 

$300.

(ii) Expedited relief for service inadequacies: A request for temporary relief under 49 U.S.C. 10705 and 11102, and 49 CFR part 1147 for service inadequacy.................

 

 

$300.

(64) A request for waiver or clarification of regulations except one filed in an abandonment or discontinuance proceeding, or in a major financial proceeding as defined at 49 CFR 1180.2(a)..........................................

 

 

 

$650.

(65)-(75) [Reserved]

 

 

PART VI: Informal Proceedings:

 

(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

 

 

$1,300.

(77) An application for special permission for short notice or the waiver of other tariff publishing requirements

 

$100.

(78) The filing of tariffs, including supplements, or contract summaries

$1 per page. ($27 min. charge.)

(79) Special docket applications from rail and water carriers:

 

(i) Applications involving $25,000 or less

$75.

(ii) Applications involving over $25,000

$150.

(80) Informal complaint about rail rate applications

$650.

(81) Tariff reconciliation petitions from motor common carriers:

 

(i) Petitions involving $25,000 or less

$75.

(ii) Petitions involving over $25,000

$150.

(82) Request for a determination of the applicability or reasonableness of motor carrier rates under 49 U.S.C. 13710(a)(2) and (3)

 

 

$250.

(83) Filing of documents for recordation. 49 U.S.C. 11301 and 49 CFR 1177.3(c).

 

$45 per document.

(84) Informal opinions about rate applications (all modes)

 

$250.

(85) A railroad accounting interpretation

$1,200.

(86) (i) A request for an informal opinion not otherwise covered

 

$1,600.

(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)

 

 

 

$5,600.

(iii) A request for an informal opinion on a voting trust agreement pursuant to 49 CFR 1013.3(a) not otherwise covered

 

 

$550.

(87) Arbitration of Certain Disputes Subject to the Statutory Jurisdiction of the Surface Transportation Board under 49 CFR 1108:

 

(i) Complaint

$75.

(ii) Answer (per defendant), Unless Declining to Submit to Any Arbitration

 

$75.

(iii) Third Party Complaint

$75.

(iv) Third Party Answer (per defendant), Unless Declining to Submit to Any Arbitration

 

$75.

(v) Appeals of Arbitration Decisions or Petitions to Modify or Vacate an Arbitration Award

 

$150.

(88) Basic fee for STB adjudicatory services not otherwise covered

 

$300.

(89)-(95) [Reserved]

 

 

PART VII: Services:

 

(96) Messenger delivery of decision to a railroad carrier’s Washington, DC, agent

 

$35 per delivery.

(97) Request for service or pleading list for proceedings

$26 per list.

(98) Processing the paperwork related to a request for the Carload Waybill Sample to be used in an STB or State proceeding that:

 

(i) Annual request does not require a Federal Register (FR) notice:

 

(a)    Set cost portion

$150.

(b)   Sliding cost portion

$52 per party.

(ii) Annual request does require a FR notice.

 

(a)    Set cost portion

$400.

(b)   Sliding cost portion

$52 per party.

(iii) Quarterly request does not require a FR notice:

 

(a)    Set cost portion

$44.

(b)   Sliding cost portion

$13 per party.

(iv) Quarterly request does require a FR notice:

 

(a)    Set cost portion

$225.

(b)   Sliding cost portion

$13 per party.

(v) Monthly request does not require a FR notice:

 

(a)    Set cost portion

$14.

(b)   Sliding cost portion

$4 per party.

(vi) Monthly request does require a FR notice:

 

(a)    Set cost portion

$180.

(b)   Sliding cost portion

$4 per party.

(99) (i) Application fee for the STB’s Practitioners’ Exam

$200.

(ii) Practitioners’ Exam Information Package

$25.

(100) Carload Waybill Sample data:

 

(i)                 Requests for Public Use File for all years prior to the most current year Carload Waybill Sample data available, provided on CD-R

 

 

$250 per year.

(ii) Specialized programming for Waybill requests to the Board

 

$116 per hour.

 

* * * * *

 


 

APPENDIX C

2015 Fee

2016 Fee

Fee Item

Description

(Sub-No. 23)

(Sub-No. 24)

Difference

(1)

Pooling/Division Traf. Non-Rail

$4,700

$4,800

$100

(2i)

Appl. Purch. Lease of MC Passen.

$2,100

$2,200

$100

(2ii)

PFE-Not Otherwise Cover. N-Rail

$3,400

$3,500

$100

(2iii)

Pet. To Revoke-Filing from (2ii)

$2,800

$2,900

$100

(3)

Appl. N-Rail Rate Assoc. Agree

$29,500

$30,400

$900

(4i)

Appl. Amend. Agree. - Significant

$4,900

$5,000

$100

(4ii)

Appl. Amend. Agree. - Minor

$100

$100

$0

(5)

Temp. Author. of MC Passenger

$500

$550

$50

(6)

Notice of Exempt. - MC Pass. Corp.

$1,800

$1,800

$0