SURFACE TRANSPORTATION BOARD DECISION DOCUMENT
    Decision Information

Docket Number:  
EP_542_19

Case Title:  
REGULATIONS GOVERNING FEES FOR SERVICES PERFORMED IN CONNECTION WITH LICENSING AND RELATED SERVICES-2011 UPDATE

Decision Type:  
Decision

Deciding Body:  
Entire Board

    Decision Summary

Decision Notes:  
DECISION UPDATED THE 2011 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

41725 SERVICE DATE – JULY 28, 2011

EB

 

This decision will be included in the bound volumes

of printed reports at a later date.

 

DECISION

 

Docket No. EP 542 (Sub-No. 19)

 

REGULATIONS GOVERNING FEES FOR SERVICES PERFORMED

IN CONNECTION WITH LICENSING AND RELATED SERVICES–2011 UPDATE

 

------------------------------------

Decided: July 27, 2011

------------------------------------

 

Digest:[1] The Board updates for 2011 the fees that the public must pay to file certain cases and pleadings with the Board. All of the Board’s user fees either decrease slightly or remain unchanged.

 

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 and Related Services–2010 Update, EP 542 (Sub-No. 17) (STB served July 28, 2010) (2010 Fee Update), and became effective August 27, 2010. This decision updates our fees based on the cost study formula set forth at 49 C.F.R.  1002.3(d) and other factors relevant to Board fee policy.[2]

 

In this decision, we decrease 12 of the Board’s user fee or sub-fee items. The other 113 fee or sub-fee items remain unchanged. Due to a freeze on Government-wide wages and salaries,[3] as well as a slight overall decrease in overhead operation and publication costs, all of the Board’s user fees either decrease slightly or remain unchanged in the 2011 Fee Update. The results of our application of the 2011 update factors are described below.

 

2011 UPDATE FACTORS

 

Due to the freeze placed on the 2011 direct-labor costs, the 2011 update reflects the same level of direct-labor costs as in the combined 2010 Government-wide general and locality salary that took effect in January 2010.[4] Therefore, the fees in this decision generally have either decreased or remained unchanged from those in the 2010 Fee Update, due mainly to various Board overhead cost changes. Specifically, the Government Fringe Benefit Cost Factor used in the current update formula is applied at the same rate as last year’s decision – 56.25%.[5] Based on fiscal year (FY) 2010 actual budget data, the Office General and Administrative Expense Factor has decreased from 24.04% to 22.21%, while the Operations Overhead Factor, developed from FY 2010 payroll cost data, has decreased from 19.23% to 18.58%. Lastly, the Board’s General and Administrative Expense Factor increased from 10.45% to 12.62%. The 2011 full cost for each fee or sub-fee item developed from these factors is set forth in column 9 of APPENDIX A.[6]

 

Due to the absence of a pay increase, a decrease in 2 of the Board’s 3 overhead cost factors, and, as noted immediately below, a reduction in publication costs, the 2011 full cost levels have dropped slightly vis a vis their comparable 2010 Fee Update full cost levels.

 

FEDERAL REGISTER COST

 

There is a small decrease in publication costs from the 2010 Fee Update decision. The United States Government Printing Office (GPO) has informed the Board that, due to changes called for in GPO’s July 2, 2010 Circular Letter No. 777, publication costs now are set at $159 per column, which represents a decrease of $4 from last year’s cost of $163 per column and equates to a decrease of about 2.45% for any fee or sub-fee items that require Federal Register publication.

 

OTHER FEES

 

1. Formal Complaint Fees:

 

On February 15, 2011, the Board served a notice of proposed rulemaking, in which we proposed that all formal complaint fees be set at $350 (except for Three Benchmark rate complaints, the fee for which was already set at $150 (sub-item 56(iii)). The Board proposed setting the fee for full Stand-Alone Cost rate complaints (fee item 56(i)) at $350;[7] setting the fee for Simplified-SAC rate complaints at $350 (sub-item 56 (ii)); and reducing the fee for all other formal complaints from $20,600 to $350 (sub- item 56 (iv)). Regulations Governing Fees For Services, EP 542 (Sub-No. 18) (STB served Feb. 15, 2011). On July 7, 2011, the Board adopted a final rule that set the fees for sub-items 56(i), (ii), and (iv) at $350, and continued to hold the Three Benchmark rate complaint fee at its previously set level of $150. These fees 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. The Board capped these fees out of a concern that higher fees would have a chilling effect on some complaints or petitions, 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. Such fees include: trail use condition requests–item 27(i); Amtrak conveyance and compensation proceedings–items 47 and 48, respectively; appeals to Board decisions–item 61(i); motor carrier undercharge proceedings–item 62; and labor arbitration proceedings–item 60. See Regulations Governing Fees for Services Performed in Connection with Licensing and Related Services–2002 New Fees, 7 S.T.B. 511 (2004) (2002 New Fees).

 

In the 2009 Fee Update, the Board raised each of these 6 fee and sub-fee items from $200 to $250. The $250 fees were predicated on a measurement of the full cost level changes between March 2004 and March 2009. These fee and sub-fee items were kept at these levels in last year’s fee update decision, and the Board will continue to hold the 6 items constant at their $250 levels in this decision.

 

Other below-cost fees – fees for item 13, feeder line development program ($2,600), item 58(i), petition for declaratory order involving a dispute over an existing rate or practice ($1,000), and item 58(ii), all other petitions for declaratory order ($1,400) – will also remain at their current fee levels.

 

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

 

In 2002 New Fees, the Board added 19 new fee or sub-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.[8] Those capped items included: item 12(iv), request for determination of a dispute involving a rail construction that crosses the line of another carrier; former item 56(ii), now 56(iii), formal complaint involving rail maximum rates filed under the Three Benchmark methodology; item 56(vi), request for an order compelling a rail carrier to establish a common carrier rate; items 63(i) and 63(ii), request for expedited or temporary relief for service emergency or service inadequacy, respectively; and item 88, basic fee for STB adjudicatory services not otherwise covered.

 

In this decision, the Board also holds the fees for 5 out of the 6 2002 New Fee sub-item fees at their current $250 levels. The 6th capped sub-fee item—item 56(iii)—will be held at $150. The Board adjusts the remaining 13 items established in 2002 New Fees to account for the changes to the Board’s various overhead and publication costs. These items are included in the Schedule of Filing Fees in APPENDIX B.

 

4. Fee Items Pertaining to Solid-Waste Rail Transfer Facilities:

 

On January 14, 2009, the Board served both a Notice of Proposed Rulemaking and an Adoption of Interim Rules in Solid Waste Rail Transfer Facilities, EP 684. This rulemaking was based on the October 16, 2008 Clean Railroads Act of 2008, Pub. L. No. 110-432, 122 Stat. 4848 (CRA), which revised 49 U.S.C.  10501(c)(2) to remove regulation of solid-waste rail transfer facilities from the Board’s jurisdiction, except as provided in that Act. The CRA limited the Board’s authority to regulate solid-waste rail transfer facilities to the issuance of land-use-exemption permits. In adopting Interim Rules, the Board established 2 new fees for the Board’s current master Schedule of Filing Fees, which are:

 

(16) An application for a land-use-exemption permit for a facility existing as of October 16, 2008 under 49 U.S.C. 10909……………………………….. $6,300.

 

(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 ……………….….………. $22,200.[9]

 

On March 24, 2011, the Board served Revised Interim Rules governing land-use-exemption permits for solid waste rail transfer facilities and requested comments from interested parties on the modifications.[10] The fees established for filings under the original Interim Rules, as adjusted in the 2010 Fee Update, will remain in place for filings under these new rules. Therefore, the Board applies the current update formula to these 2 items, adjusting them as it does for other non-capped user fee or sub-fee items in the schedule. Application of the formula results in 2011 fees of $6,000 and $21,100 for items (16) and (17), respectively, which results in no change from their 2010 Fee Update levels.

 

RESULTS FROM THE 2011 UPDATE

 

The Board’s current master Schedule of Filing Fees, like last year, contains 125 fee or sub-fee items. Based on the various overhead and publication cost changes instituted in this decision, we find the following: (1) legislation continues to hold fees for 2 of these 125 items at $350; (2) fees for an additional 111 items (about 90% of the Board’s fee schedule) are unchanged; (3) fees for 3 items are decreased by $100; (4) fees for 4 items are decreased by $300; (5) fees for 4 items are decreased by $1,400; and (6) the 1 fee for sub-fee item 56(iv) is decreased by $20,250.[11]

 

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

 

SUMMARY OF USER-FEE CHANGES FOR 2011

 

 

Fee Item Change Category:

 

Number of

User Fees

 

Percent of Total

User Fee Schedule

 

(1)

 

(2)

 

(3)

 

1. No Fee Change

 

113

 

90.40%

 

2. Decreases of $100

 

3

 

2.40%

 

3. Decreases of $300

 

4

 

3.20%

 

4. Decreases of $1,400

 

4

 

3.20%

 

5. Decrease of $20,250

 

1

 

0.80%

 

TOTAL

 

125

 

100.00%

 

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 Service–1987 Update, 4 I.C.C.2d 137 (1987). This decision does not contain any new proposed fee or sub-fee items. Therefore, notice and comment are unnecessary for this proceeding. See Regulations Governing Fees For Services–1990 Update, 7 I.C.C.2d 3 (1990); Regulations Governing Fees For Services–1991 Update, 8 I.C.C.2d 13 (1991); and Regulations Governing Fees For Services–1993 Update, 9 I.C.C.2d 855 (1993).

 

REGULATORY FLEXIBILITY ANALYSIS

 

The Regulatory Flexibility Act of 1980, 5 U.S.C.  601-612, generally requires a description and analysis of final rules that will have significant economic impact on a substantial number of small entities. In drafting a rule, an agency is required to: (1) assess the effect that its regulation will have on small entities; (2) analyze effective alternatives that may minimize a regulation’s impact; and (3) make the analysis available for public comment. 5 U.S.C.  601-604. In its notice of proposed rulemaking, the agency must either include an initial regulatory flexibility analysis, 5 U.S.C.  603(a), or certify that the proposed rule will not have a “significant impact on a substantial number of small entities,” 5 U.S.C.  605(b), i.e., a direct impact on small entities “whose conduct is circumscribed or mandated” by the proposed rule. White Eagle Coop. Ass’n v. Conner, 553 F.3d 467, 480 (7th Cir. 2009).

 

Though these rules may have some impact on a small entity because a small entity may be subject to a filing fee, the rules provide a waiver provision of filing fees for those entities that can make the required showing of financial hardship. Therefore, any small entity that would incur a significant economic impact from paying one of the fees – which in fact are either held at current levels or reduced in this decision – could make such a showing and have that fee waived. Accordingly, pursuant to 5 U.S.C.  605(b), the Board certifies that the regulations proposed herein would not have a significant economic impact on a substantial number of small entities within the meaning of the Regulatory Flexibility Act. A copy of this decision will be served upon the Chief Counsel for Advocacy, Office of Advocacy, U.S. Small Business Administration, Washington, DC 20416.

 

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. 104-121 (Mar. 29, 1996).

 

2. These rules are effective on September 2, 2011.

 

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


APPENDIX A

 

 

 

 

FEE

 

 

2009

DIRECT

LABOR

 

2011 DIRECT LABOR UPDATE

[(2010 LEVEL NO INCR. (0.00%)]

 

 

(56.25%)

GOVT.

FRINGES

 

 

 

TOTAL

2+3

 

 

(18.58%)

OPERATIONS

OVERHEAD

 

 

(22.21%)

OFFICE

G&A

 

 

(12.62%)

BOARD

G&A

 

 

 

PUBLICATION

COSTS

 

 

 

TOTAL

SUM(4‑8)

 

 

 

1

 

2

 

3

 

4

 

5

 

6

 

7

 

8

 

9

 

1

$1,693.05

$1734.02

$975.39

$2,709.41

$503.38

$713.59

$495.51

$4.00

$4,425.89

2i

713.77

731.04

411.21

1142.26

212.22

300.84

208.90

189.13

2053.35

2ii

1107.48

1134.28

638.03

1772.31

329.28

466.78

324.13

340.96

3233.46

2iii

0.00

0.00

0.00

0.00

0.00

0.00

0.00

0.00

2671.41[12]

3

10494.52

10748.49

6046.02

16794.51

3120.23

4423.26

3071.45

189.13

27598.59

4i

1693.05

1734.02

975.39

2709.41

503.38

713.59

495.51

189.13

4611.02

4ii

40.69

41.67

23.44

65.12

12.10

17.15

11.91

0.00

106.27

5

190.95

195.57

110.01

305.58

56.77

80.48

55.89

5.00

503.72

6

546.44

559.66

314.81

874.47

162.47

230.32

159.93

273.28

1700.47

11i

2722.09

2787.96

1568.23

4356.19

809.33

1147.31

796.68

159.00

7268.52

11ii

582.88

596.99

335.80

932.79

173.30

245.67

170.59

291.51

1813.87

11iii

4739.81

4854.51

2730.66

7585.18

1409.24

1997.75

1387.21

189.13

12568.51

12i

28446.29

29134.69

16388.26

45522.95

8457.66

11989.63

8325.42

204.43

74500.09

12ii

582.88

596.99

335.80

932.79

173.30

245.67

170.59

291.51

1813.87

12iii

28446.29

29134.69

16388.26

45522.95

8457.66

11989.63

8325.42

204.43

74500.09

12iv

5650.79

5787.54

3255.49

9043.03

1680.09

2381.71

1653.83

0.00

14758.66

13

8737.26

8948.70

5033.64

13982.35

2597.76

3682.61

2557.15

185.50

23005.37

14i

2304.35

2360.12

1327.56

3687.68

685.13

971.24

674.42

189.13

6207.60

 

14ii

582.88

596.99

335.80

932.79

173.30

245.67

170.59

291.51

1813.87

 

14iii

2457.50

2516.97

1415.80

3932.77

730.66

1035.79

719.24

208.70

6627.17

15

588.40

602.64

338.98

941.62

174.94

248.00

172.21

162.62

1699.39

 

16

2226.33

2280.21

1287.18

3567.38

662.78

939.56

652.42

231.78

6053.92

 

17

8033.08

8227.48

4627.96

12855.44

2388.40

3385.81

2351.05

159.00

21139.70

 

21i

8417.06

8620.75

4849.17

13469.93

2502.56

3547.65

2463.43

159.00

22142.57

 

21ii

1256.49

1286.90

723.88

2010.78

373.58

529.59

367.74

403.54

3685.22

 

21iii

2332.75

2389.20

1343.93

3733.13

693.57

983.21

682.73

231.78

6324.43

 

22

182.03

186.44

104.87

291.30

54.12

76.72

53.27

0.00

475.42

 

23

726.31

743.89

418.44

1162.32

215.95

306.13

212.57

0.00

1896.97

 

24

695.02

711.84

400.41

1112.25

206.64

292.94

203.41

0.00

1815.24

 

25

597.83

612.30

344.42

956.71

177.75

251.98

174.97

0.00

1561.40

 

26

8662.94

8872.58

4990.83

13863.41

2575.67

3651.28

2535.40

0.00

22625.97

27i

448.22

459.07

258.23

717.29

133.26

188.92

131.18

0.00

1170.66

 

27ii

175.78

180.03

101.27

281.30

52.26

74.09

51.45

0.00

459.10

 

36

7175.66

7349.31

4133.99

11483.30

2133.47

3024.42

2100.11

189.13

18930.43

 

37

3842.90

3935.90

2213.94

6149.84

1142.57

1619.72

1124.71

189.13

10225.97

 

38i

567710.25

581448.84

327064.97

908513.81

168791.76

239280.25

166152.60

5843.36

1488581.79

 

38ii

113544.33

116292.10

65414.31

181706.41

33759.03

47857.01

33231.19

1168.66

297722.30

 

38iii

2304.35

2360.12

1327.56

3687.68

685.01

971.24

674.42

1494.06

7512.54

 

 

 

 

 

 

 

 

 

 

 

 


 

 

 

 

 

FEE

 

 

2009

DIRECT

LABOR

 

2011 DIRECT LABOR UPDATE

[2010 LEVEL NO INCR. (0.00%)

 

 

(56.25%)

GOVT.

FRINGES

 

 

 

TOTAL

2+3

 

 

(18.58%)

OPERATIONS

OVERHEAD

 

 

(22.21%)

OFFICE

G&A

 

 

(12.62%)

BOARD

G&A

 

 

 

PUBLICATION

COSTS

 

 

 

TOTAL

SUM(4‑8)

 

1

 

2

 

3

 

4

 

5

 

6

 

7

 

8

 

9

38iv

546.44

559.66

314.81

874.47

162.47

230.32

159.93

273.28

1700.47

38v

2304.35

2360.12

1327.56

3687.68

685.13

971.24

674.42

1494.06

7512.54

38vi

3517.49

3602.61

2026.47

5629.08

1045.82

1482.56

1029.47

189.13

9376.07

38vii

2116.39

2167.61

1219.28

3386.89

629.25

892.02

619.41

0.00

5527.56

39i

567710.25

581448.84

327064.97

908513.81

168791.76

239280.25

166152.60

5843.36

1488581.79

39ii

113544.33

116292.10

65414.31

181706.41

33759.03

47857.01

33231.19

1168.66

297722.30

39iii

2304.35

2360.12

1327.56

3687.68

685.13

971.24

674.42

1494.06

7512.54

39iv

396.62

406.22

228.50

634.72

117.92

167.17

116.08

294.15

1330.04

39v

2304.35

2360.12

1327.56

3687.68

685.13

971.24

674.42

1494.06

7512.54

39vi

3517.49

3602.61

2026.47

5629.08

1045.82

1482.56

1029.47

189.13

9376.07

39vii

2116.39

2167.61

1219.28

3386.89

629.25

892.02

619.41

0.00

5527.56

40i

567710.25

581448.84

327064.97

908513.81

168791.76

239280.25

166152.60

5843.36

1488581.79

40ii

113544.33

116292.10

65414.31

181706.41

33759.03

47857.01

33231.19

1168.66

297722.30

40iii

2304.35

2360.12

1327.56

3687.68

685.13

971.24

674.42

1494.06

7512.54

40iv

367.36

376.25

211.64

587.89

109.22

154.84

107.52

240.51

1199.98

40v

2304.35

2360.12

1327.56

3687.68

685.13

971.24

674.42

1494.06

7512.54

40vi

3517.49

3602.61

2026.47

5629.08

1045.82

1482.56

1029.47

189.13

9376.07

40vii

2116.39

2167.61

1219.98

3386.89

629.25

892.02

619.41

0.00

5527.56

41i

567710.25

581448.84

327064.97

908513.81

168791.76

239280.25

166152.60

5843.36

1488581.79

41ii

113544.33

116292.10

65414.31

181706.41

33759.03

47857.01

33231.19

1168.66

297722.30

41iii

2304.35

2360.12

1327.56

3687.68

685.13

971.24

674.42

1494.06

7512.54

41iv

436.78

447.35

251.63

698.98

129.86

184.10

127.83

272.57

1413.35

41v

2304.35

2360.12

1327.56

3687.68

685.13

971.24

674.42

1494.06

7512.54


 

 

 

 

FEE

 

 

2009

DIRECT

LABOR

 

2011 DIRECT LABOR UPDATE

[2010 LEVEL NO INCR. (0.00%)]

 

 

(56.25%)

GOVT.

FRINGES

 

 

 

TOTAL

2+3

 

 

(18.58%)

OPERATIONS

OVERHEAD

 

 

(22.21%)

OFFICE

G&A

 

 

(12.62%)

BOARD

G&A

 

 

 

PUBLICATION

COSTS

 

 

 

TOTAL

SUM(4‑8)

 

 

 

1

 

2

 

3

 

4

 

5

 

6

 

7

 

8

 

9

 

41vi

2457.50

2516.97

1415.80

3932.77

730.66

1035.79

719.24

208.70

6627.17

 

41vii

2116.39

2167.61

1219.28

3386.89

629.25

892.02

619.41

0.00

5527.56

 

42

788.77

807.86

454.42

1262.28

234.52

332.45

230.85

344.50

2404.60

 

43

26620.47

27264.69

15336.39

42601.07

7914.81

11220.08

7791.05

189.13

69716.14

 

44i

4876.97

4994.99

2809.68

7804.68

1450.02

2055.56

1427.35

189.13

12926.74

 

44ii

40.69

41.67

23.44

65.12

12.10

17.15

11.91

0.00

106.27

 

45

302.91

310.24

174.51

484.75

90.06

127.67

88.65

0.00

791.14

 

46

2993.43

3065.87

1724.55

4790.42

890.01

1261.68

876.09

189.13

8007.33

 

47

57575.73

58969.06

33170.10

92139.16

17118.43

24267.19

16850.77

0.00

150375.56

 

48

69833.23

71523.19

40231.80

111754.99

20762.83

29433.52

20438.20

0.00

182389.54

 

56i

159437.34

163295.72

91853.84

255149.57

47403.95

67200.14

46662.76

0.00

416416.42

 

56ii

15818.88

16201.70

9113.45

25315.15

4703.27

6667.39

4629.74

0.00

41315.55

 

56iii

0.00

0.00

0.00

0.00

0.00

0.00

0.00

0.00

150.00

 

56iv

15818.88

16201.70

9113.45

25315.15

4703.27

6667.39

4629.74

0.00

41315.55

 

56v

0.00

0.00

0.00

0.00

0.00

0.00

0.00

0.00

150.00

 

56vi

19716.73

20193.87

11359.05

31552.93

5862.18

8310.27

5770.52

0.00

51495.91

 

57

3392.93

3475.04

1954.71

5429.75

1008.79

1430.06

993.01

0.00

8861.61

 

58i

3187.45

3264.59

1836.33

5100.92

947.69

1343.46

932.88

596.26

8921.20

 

58ii

2522.09

2583.12

1453.01

4036.13

749.87

1063.02

738.14

159.00

6746.18

 

59

2621.98

2685.43

1510.56

4195.99

779.57

1105.12

767.38

189.13

7037.19

 

60

5195.59

5321.32

2993.24

8314.57

1544.75

2189.85

1520.60

0.00

13569.78

 

61i

2532.93

2594.23

1459.25

4053.48

753.09

1067.59

741.32

0.00

6615.47

 


 

 

 

 

FEE

 

 

2009

DIRECT

LABOR

 

2011 DIRECT LABOR UPDATE

[2010 LEVEL NO INCR. (0.00%)]

 

 

(56.25%)

GOVT.

FRINGES

 

 

 

TOTAL

2+3

 

 

(18.58%)

OPERATIONS

OVERHEAD

 

 

(22.21%)

OFFICE

G&A

 

 

(12.62%)

BOARD

G&A

 

 

 

PUBLICATION

COSTS

 

 

 

TOTAL

SUM(4‑8)

 

 

 

1

 

2

 

3

 

4

 

5

 

6

 

7

 

8

 

9

61ii

144.52

148.02

83.26

231.28

42.97

60.91

42.30

0.00

377.46

62

4012.83

4109.94

2311.84

6421.78

1193.10

1691.34

1174.44

0.00

10480.66

63i

7124.53

7296.94

4104.53

11401.47

2118.27

3002.87

2085.15

0.00

18607.76

63ii

7942.00

8134.20

4575.49

12709.68

2361.32

3347.42

2324.40

0.00

20742.81

64

228.62

234.15

131.71

365.86

67.97

96.36

66.91

0.00

597.11

76

474.89

486.38

273.59

759.97

141.19

200.16

138.99

2.00

1242.31

77

50.23

51.45

28.94

80.38

14.93

21.17

14.70

0.00

131.19

78

9.45

9.68

5.44

15.12

2.81

3.98

2.77

0.00

24.68

79i

0.00

0.00

0.00

0.00

0.00

0.00

0.00

0.00

75.00

79ii

59.85

61.30

34.48

95.78

17.79

25.23

17.52

0.00

156.32

80

234.26

239.93

134.96

374.89

69.65

98.74

68.56

0.00

611.84

81i

0.00

0.00

0.00

0.00

0.00

0.00

0.00

0.00

75.00

81ii

59.85

61.30

34.48

95.78

17.79

25.23

17.52

0.00

156.32

82

95.11

97.41

54.79

152.21

28.28

40.09

27.84

0.00

248.41

83

15.72

16.10

9.06

25.16

4.67

6.63

4.60

0.00

41.06

84

101.89

104.36

58.70

163.06

30.29

42.94

29.82

0.00

266.12

85

437.96

448.56

252.31

700.87

130.21

184.59

128.18

0.00

1143.86

86i

570.63

584.44

328.75

913.19

169.66

240.51

167.01

0.00

1490.36

86ii

1959.82

2007.25

1129.08

3136.32

582.69

826.03

573.58

0.00

5118.63

86iii

200.62

205.48

115.58

321.05

59.65

84.56

58.72

0.00

523.98

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

 

 

2009

DIRECT

LABOR

 

2011 DIRECT LABOR UPDATE

[2010 LEVEL NO INCR. (0.00%)]

 

 

(56.25%)

GOVT.

FRINGES

 

 

 

TOTAL

2+3

 

 

(18.58%)

OPERATIONS

OVERHEAD

 

 

(22.21%)

OFFICE

G&A

 

 

(12.62%)

BOARD

G&A

 

 

 

PUBLICATION

COSTS

 

 

 

TOTAL

SUM(4‑8)

 

 

 

1

 

2

 

3

 

4

 

5

 

6

 

7

 

8

 

9

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

218.71

224.00

126.00

350.00

65.03

92.18

64.01

0.00

571.22

 

96

12.29

12.59

7.08

19.67

3.65

5.18

3.60

0.00

32.10

 

97

9.35

9.58

5.39

14.96

2.78

3.94

2.74

0.00

24.42

 

98ia

62.27

63.78

35.87

99.65

18.51

26.25

18.22

0.00

162.64

 

98ib

18.05

18.49

10.40

28.89

5.37

7.61

5.28

0.00

47.14

 

98iia

98.38

100.76

56.68

157.44

29.25

41.47

28.79

159.00

415.95

 

98iib

18.05

18.49

10.40

28.89

5.37

7.61

5.28

0.00

47.14

 

99i

73.11

74.88

42.12

117.00

21.74

30.81

21.40

0.00

190.95

 

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

70.19

71.89

40.44

112.33

20.87

29.58

20.54

0.00

183.32

 

102

6.51

6.67

3.75

10.42

1.94

2.74

1.91

0.00

17.00

 

103

40.33

41.31

23.23

64.54

11.99

17.00

11.80

0.00

105.33

 

104

27.91

28.59

16.08

44.66

8.30

11.76

8.17

0.00

72.89

 

105

0.91

0.93

0.52

1.46

0.27

0.38

0.27

0.00

2.38

 

106

70.19

71.89

40.44

112.33

20.87

29.58

20.54

0.00

183.32

 


 

APPENDIX B

 

For 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. 721(a).

 

* * * * *

 

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

 

1002.2 Filing fees.

 

(a) * * *

 

(f) Schedule of filing fees.

 

 

Type of Proceeding

 

Fee

 

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

 

 

 

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

 

$4,400.

 

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

 

 

 

 

$2,000.

 

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

 

 

 

$3,200.

 

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

 

 

$2,600.

 

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

 

$27,500.

 

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

 

 

 

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

 

$4,600.

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

$100.

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

 

 

$500.

 

(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....

 

 

 

 

 

$1,700.

 

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

 

 

 

$7,200.

 

(ii) Notice of exemption under 49 CFR

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

 

 

$1,800.

 

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

 

$12,500.

 

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

$74,500.

 

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

 

 

$1,800.

 

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

 

 

$74,500.

 

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

 

 

 

$250.

 

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

 

 

 

$6,200.

 

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

 

 

$1,800.

 

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

 

 

 

$6,600.

 

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

 

 

$1,600.

 

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

 

 

 

$6,000.

 

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

 

 

 

$21,100.

 

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

 

 

 

 

 

$22,100.

 

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

 

 

$3,600.

 

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

 

$6,300.

 

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

 

 

 

 

$450.

 

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

 

$1,800.

 

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

 

 

$1,800.

 

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

 

 

 

$1,500.

 

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

 

 

$22,600.

 

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

 

 

$250.

 

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

 

 

$450.

 

(28)-(35) [Reserved]

 

 

 

 

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

 

 

 

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

 

 

$18,900.

 

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

 

 

$10,200.

 

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

 

$1,488,500.

 

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

 

$297,700.

 

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

 

$7,500.

 

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

 

 

$1,700.

 

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

 

$7,500.

 

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

 

$9,300.

 

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

 

 

 

$5,500.

 

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

 

$1,488,500.

 

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

 

$297,700.

 

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

 

$7,500.

 

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

 

 

$1,300.

 

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

 

$7,500.

 

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

 

$9,300.

 

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

 

 

 

$5,500.

 

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

 

$1,488,500.

 

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

 

$297,700.

 

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

 

$7,500.

 

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

 

 

$1,100.

 

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

 

$7,500.

 

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

 

$9,300.

 

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

 

 

 

$5,500.

 

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

 

$1,488,500.

 

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

 

$297,700.

 

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

 

$7,500.

 

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

 

 

$1,400.

 

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

 

$7,500.

 

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

 

$6,600.

 

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

 

 

 

$5,500.

 

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

 

 

$2,400.

 

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

 

 

$69,700.

 

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

 

 

 

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

 

$12,900.

 

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

 

$100.

 

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

 

 

$750.

 

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

 

 

 

$8,000.

 

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

 

 

$250.

 

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

 

 

 

$250.

 

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

 

 

$250.

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

 

 

$8,800.

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

 

 

$7,000.

 

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

 

$250.

 

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

 

 

 

$250.

 

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

 

 

$350.

 

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

 

$250.

 

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

 

 

 

$250.

 

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

 

 

 

$250.

 

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

 

 

 

 

$550.

 

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

 

 

 

$1,200.

 

(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.

($24 minimum 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................

 

$600.

 

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

 

 

 

$200.

 

(83) Filing of documents for recordation.

49 U.S.C. 11301 and 49 CFR 1177.3(c)........................

 

 

$41 per document.

 

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

 

$250.

 

(85) A railroad accounting interpretation................................

 

$1,100.

 

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

 

 

$1,400.

 

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

 

 

 

 

$5,100.

 

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

 

 

 

$500.

 

 

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

 

 

$250.

 

(89)-(95) [Reserved]