1、156 49 CFR Ch. X (10110 Edition) Pt. 1135 certification, a letter request from de-fendants that forwarding be expedited will be considered to the end that steps be taken to have the statement for-warded immediately. All discrepancies, duplications, or other errors in the statements should be adjuste
2、d by the parties and corrected agreed state-ments submitted to the Board. The cer-tificate must be signed in ink by a gen-eral accounting officer of the carrier and should cover all of the information shown in the statement. If the carrier which collected the charges is not a de-fendant in the case,
3、 its certificate must be concurred in by like signature on behalf of a carrier defendant. State-ments so prepared and certified shall be filed with the Board whereupon it will consider entry of a decision award-ing damages. 47 FR 49575, Nov. 1, 1982, as amended at 64 FR 53268, Oct. 1, 1999 PART 1135
4、RAILROAD COST RECOVERY PROCEDURES Sec. 1135.1 Quarterly adjustment. 1135.2 Revenue Shortfall Allocation Method: Annual State tax information. AUTHORITY: 5 U.S.C. 553, and 49 U.S.C. 721, 10701, 10704, 10708, and 11145. 1135.1 Quarterly adjustment. To enable the Board to publish the rail cost adjustme
5、nt factor (RCAF) as required by 49 U.S.C. 10708, the Associa-tion of American Railroads (AAR) shall calculate and file with the Board by the fifth day of December, March, June and September of each year its forecast for the next calendar quarter of the all- inclusive index of railroad costs and calc
6、ulate and file the RCAF unadjusted for changes in railroad productivity as prescribed in Railroad Cost Recovery Procedures, 1 I.C.C.2d 207 (1984), and any subsequent amendments thereto. In ad-dition, the AAR shall calculate the productivity-adjusted RCAF as pre-scribed in Railroad Cost Recovery Proc
7、e-dures, 5 I.C.C.2d 434 (1989), and any sub-sequent amendments thereto. The AAR shall submit workpapers detailing its calculations. The Board will review and verify the AAR submissions and make its RCAF publication by the twentieth day of December, March, June and Sep-tember of each year. 67 FR 5516
8、6, Aug. 28, 2002 1135.2 Revenue Shortfall Allocation Method: Annual State tax informa-tion. (a) To enable the Board to calculate the revenue shortfall allocation meth-od (RSAM), which is one of the three benchmarks that are used to determine the reasonableness of a challenged rate under one standard
9、 of the Boards Sim-plified Standards for Rail Rate Cases, STB Docket No. 646 (Sub-No. 1) (STB served Sept. 5, 2007), the Association of American Railroads (AAR) shall file with the Board, on or before May 30, the weighted average State tax rates applicable to each Class I railroad for the previous y
10、ear. The AAR shall sub-mit workpapers detailing its calcula-tions. (b) The Board will serve and publish a notice of the filing in the FEDERAL REGISTER within 10 days of the AARs filing. (c) Any interested party may file comments on the AARs filing within 30 days of the notice described in para-graph
11、 (b) of this section. If no com-ments are received within 30 days, the Board will automatically adopt the AARs weighted average State tax rates on the 31st day. If comments op-posing the AARs calculations are re-ceived, the AARs response will be due within 20 days of the comments. The Board will rev
12、iew the submission and comments and serve a decision within 60 days from the date of the close of the record that either accepts, rejects, or modifies the AARs railroad-specific tax information. 75 FR 8818, Feb. 26, 2010 PART 1139PROCEDURES IN MOTOR CARRIER REVENUE PRO-CEEDINGS Subpart ACommon Carri
13、ers of General Commodities Sec. 1139.1 Application. 1139.2 Traffic study. 1139.3 Cost study. 1139.4 Revenue need. 1139.5 Affiliate data. VerDate Mar2010 15:03 Nov 23, 2010 Jkt 220219 PO 00000 Frm 00166 Fmt 8010 Sfmt 8010 Y:SGML220219.XXX 220219jdjones on DSKHWCL6B1PROD with CFRProvided by IHSNot for
14、 ResaleNo reproduction or networking permitted without license from IHS-,-,-157 Surface Transportation Board, DOT 1139.1 1139.6 Official notice. 1139.7 Service. 1139.8 Availability of underlying data. APPENDIX I TO SUBPART AREVENUE NEED AND ALLOCATION TO TRAFFIC AT ISSUE APPENDIX II TO SUBPART AFINA
15、NCIAL RA-TIOS (TRAFFIC AND COST STUDY CARRIER Subpart BIntercity Bus Industry 1139.20 Application. 1139.21 Study carriers. 1139.22 Revenue data for study carriers. 1139.23 Revenue need. 1139.24 Official notice. 1139.25 Service. 1139.26 Availability of underlying data. SCHEDULE A TO SUBPART BCLASS I
16、PARTICI-PATING CARRIERS REVENUE DATA SCHEDULE B TO SUBPART BSTUDY CARRIERS REVENUE DATA SCHEDULE C TO SUBPART B SCHEDULE D TO SUBPART B SCHEDULE E TO SUBPART BSTATEMENT OF CHANGES IN FINANCIAL POSITION SCHEDULE F TO SUBPART BAFFILIATE REV-ENUE DATA FOR SERVICES RENDERED SCHEDULE G TO SUBPART BSELECT
17、ED STA-TISTICAL DATA APPENDIX I TO SUBPART B AUTHORITY: 49 U.S.C. 721, 13703. Subpart ACommon Carriers of General Commodities SOURCE: 47 FR 49577, Nov. 1, 1982, unless otherwise noted. 1139.1 Application. (a) Upon the filing by the tariff pub-lishing agencies named hereinafter on behalf of their mot
18、or common carrier members, or by such other agencies as the Board may by order otherwise des-ignate, of agency tariff schedules which contain (1) proposed general increases in rates or charges on general freight where such proposal would result in an increase of $1 million or more in the annual oper
19、ating revenues on the tariff affected by the proposal, or (2) a pro-posed general adjustment with the ob-jective of restructuring the rates on a wide range of traffic, involving both in-creases and reductions in rates and charges, where such proposal would re-sult in a net increase of $1 million or
20、more in annual operating revenues, the motor common carriers of general freight on whose behalf such schedules are filed shall, concurrently with the filing of those tariff schedules, file and serve, as provided hereinafter, a verified statement presenting and com-prising the entire evidential case
21、which is relied upon to support the proposed general increase or rate restructuring. Carriers thus required to submit their evidence when they file their schedules are hereby notified that special permis-sion to file those schedules shall be conditioned upon the publishing of an effective date at le
22、ast 45 days later than the date of filing, to enable proper evaluation of the evidence presented. Data to be submitted in accordance with 1139.2 through 1139.5 of this part represent the minimum data required to be filed and served, and in no way shall be considered as limiting the type of evidence
23、that may be presented at the time of filing of the schedules. If a formal proceeding is instituted, the carriers are not precluded from updat-ing the evidence submitted at the time of filing of the schedules to reflect the contemporary situation. (b) The motor common carriers of general freight whic
24、h are subject to the provisions of this section are those which are members of the following tariff publishing agencies: Central and Southern Motor Freight Tariff Association, Inc. Central States Motor Freight Bureau, Inc. The Eastern Central Motor Carriers Associa-tion, Inc. Middle Atlantic Confere
25、nce Middlewest Motor Freight Bureau The New England Motor Rate Bureau, Inc. Pacific Inland Tariff Bureau, Inc. Rocky Mountain Motor Tariff Bureau, Inc. Southern Motor Carriers Rate Conference (c) Upon the filing of tariff schedules other than those described herein-above, the carriers or their tarif
26、f pub-lishing agencies shall be required to comply with such procedures as the Board may direct in the event an inves-tigation is instituted. In any pro-ceeding involving a proposed rate re-structuring which would produce addi-tional net revenue of less than $1 mil-lion the carriers will be required
27、 to submit only the data sought in 1139.2 and 1139.3. Nothing stated in this part shall relieve the carriers of their bur-den of proof imposed under the Inter-state Commerce Act. VerDate Mar2010 15:03 Nov 23, 2010 Jkt 220219 PO 00000 Frm 00167 Fmt 8010 Sfmt 8010 Y:SGML220219.XXX 220219jdjones on DSK
28、HWCL6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-158 49 CFR Ch. X (10110 Edition) 1139.2 4Although not adopted by the Board, at-tention is called to a staff report, Guide-lines for the Presentation of the Results of Sample Studies,
29、 February 1, 1971, available from the Superintendent of Documents. 1139.2 Traffic study. (a) The respondents shall submit a traffic study for the most current 12- month calendar year available, which shall be referred to as the base-cal-endar yearactual. This year shall be the calendar year that has
30、 ended at least 7 months prior to the published effective date of the tariff schedules. If the effective date is less than 7 months following the end of the preceding cal-endar year, than the second preceding calendar year shall be considered at the base-calendar yearactual. The study shall include
31、a probability sam-pling of the actual traffic handled dur-ing identical time periods for each study carrier. (b) The study carriers shall consist of those carriers subject to the require-ments for allocation of expenses be-tween line-haul and pickup and deliv-ery services, as provided in Part 1207 o
32、f this chapter, Instructions 27 and 9002, which participate in one of the motor carrier industrys Continuous Traffic Studies, and which derive either $1 mil-lion or more in annual operating reve-nues from this issue traffic or 1 percent or more of the total annual operating revenues of all carriers
33、from the issue traffic. A list of such carriers and the appropriate revenue data shall be sub-mitted to corroborate the selection of the study carriers. Issue traffic con-sists of those shipments on which the freight rates or charges would be af-fected by the rate proposal. (c) Respondents shall tak
34、e a sample of the traffic handled by the study car-riers according to acceptable standards of probability sampling principles and practices, and shall explain and evalu-ate the probability sample from the standpoint of: Purpose, sample design (including explanation of estimation procedure and disclo
35、sure of sampling errors for derived characteristics), quality control aspects involved in processing and tabulating data and any statistical analysis performed on the sampled data.4(d) For cost and revenue purposes, the carried tariff basis shall be used. Carried tariff means the issue traffic handl
36、ed solely by the study carriers, either single-line or interline. Esti-mates of current revenues applicable to the issue traffic should reflect all rates and charges in effect no later than 45 days prior to the date of tariff filing. 1139.3 Cost study. (a) The respondents shall submit a cost study.
37、Highway Form B may be used for this purpose. Service unit- costs shall be developed for each indi-vidual study carrier, adjusted by size of shipment and length of haul, and shall be applied to respective individual car-riers traffic service units as developed from its traffic study. Operating ratios
38、 shall be determined for the issue traffic handled by the study carriers on the carried basis by individual weight brackets included within the rate pro-posal, for: (1) The traffic study year, that is, the base-calendar yearac-tual, as hereinbefore defined, (2) a present proforma year reflecting con
39、ditions prevailing on a date no later than 45 days prior to the date of the tariff filing, and (3) a restated proforma year based on conditions an-ticipated on the effective date of the proposed rates, with a separation indi-cating projected operating ratios on two bases, namely, based on current re
40、venues, and based on proposed rev-enues. Operating ratios shall also be shown for all other traffic not affected by the rate proposal for the same weight brackets as shown for the issue traffic, but only for the period indi-cated in paragraph (a)(1) of this sec-tion. (b) In addition to the operating
41、 ra-tios, the cost study shall also be used to develop and provide the revenue-to- cost comparisons required in Appendix I hereto for the same time periods indi-cated for the operating ratios plus a restated proforma year based on con-structed revenue need. (c) For both the operating ratios and the
42、revenue-to-cost comparisons in Ap-pendix I, the each-to-each costing method, i.e., the application of each in-dividual study carriers unit-cost to its traffic service units, applies only to the VerDate Mar2010 15:03 Nov 23, 2010 Jkt 220219 PO 00000 Frm 00168 Fmt 8010 Sfmt 8010 Y:SGML220219.XXX 22021
43、9jdjones on DSKHWCL6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-159 Surface Transportation Board, DOT 1139.8 base calendar yearactual. The ap-plication of possible labor and nonlabor cost increases for the purpose of updat-ing the
44、base calendar yearactual cost data may be accomplished by the use of either individual carrier data for each of the study carriers, or the com-posite carrier data for those study car-riers whose revenue from the issue traffic amount to 50 percent or more of their total system revenues for the base c
45、alendar yearactual. The sample values for expenses and reve-nues shall be expanded to full year val-ues without adjustments to known an-nual report figures of any carrier. (d) Where cost studies are developed through the use of computer processing techniques, there shall be submitted a manual applic
46、ation of the costing pro-cedures used for one traffic and cost study carrier (study carrier) in order to demonstrate the procedures by which the computer program distributes the annual report statistics, and applies service unit-costs to each shipment. An illustration of the application of serv-ice
47、unit-costs to the applicable traffic service units generated by one single- line sample shipment and by one inter-line sample shipment shall also be sub-mitted. These sample shipments shall be on the Carried basis. 1139.4 Revenue need. Traffic and cost study carrier, i.e., the study carriers, shall
48、submit evi-dence of the sum of money, in addition to operating expenses, including that needed to attract debt and equity cap-ital, which they require to insure fi-nancial stability and the capacity to render service. This evidence shall in-clude data required by Appendix I, parts I and II, and Appe
49、ndix II. 1139.5 Affiliate data. Each individual traffic and cost study carrier having transactions with affiliates, subject to the reporting re-quirements of schedules 9009A and 9009B in the annual report for class I motor carriers, shall submit appro-priate data and analyses reflecting the effect on the parent carriers profits of transactions with affiliates. Such
