(1) Purpose. The
purpose of this rule is to:
(a) specify
consistent mass appraisal methodologies to be used by the Property Tax Division
(Division) in the valuation of tangible property assessable by the Commission;
and
(b) identify preferred
valuation methodologies to be considered by any party making an appraisal of an
individual unitary property.
(2) Definitions:
(a) "Cost regulated utility" means any public
utility assessable by the Commission whose allowed revenues are determined by a
rate of return applied to a rate base set by a state or federal regulatory
commission.
(b) "Fair market value"
means the amount at which property would change hands between a willing buyer
and a willing seller, neither being under any compulsion to buy or sell and
both having reasonable knowledge of the relevant facts. Fair market value
reflects the value of property at its highest and best use, subject to
regulatory constraints.
(c) "Rate
base" means the aggregate account balances reported as such by the cost
regulated utility to the applicable state or federal regulatory
commission.
(d) "Unitary property"
means operating property that is assessed by the Commission pursuant to Section
59-2-201(1)(a) through (c).
(i) Unitary properties include:
(A) all property that operates as a unit
across county lines, if the values must be apportioned among more than one
county or state; and
(B) all
property of public utilities as defined in Section
59-2-102.
(ii) These properties, some of
which may be cost regulated utilities, are defined under one of the following
categories.
(A) "Telecommunication
properties" include the operating property of local exchange carriers, local
access providers, long distance carriers, cellular telephone or personal
communication service (PCS) providers and pagers, and other similar
properties.
(B) "Energy properties"
include the operating property of natural gas pipelines, natural gas
distribution companies, liquid petroleum products pipelines, and electric
corporations, including electric generation, transmission, and distribution
companies, and other similar entities.
(C) "Transportation properties" include the
operating property of all airlines, air charter services, air contract
services, including major and small passenger carriers and major and small air
freighters, long haul and short line railroads, and other similar
properties.
(3) All tangible operating property owned,
leased, or used by unitary companies is subject to assessment and taxation
according to its fair market value as of January 1, and as provided in Utah
Constitution Article XIII, Section 2. Intangible property as defined under
Section
59-2-102
is not subject to assessment and taxation.
(4) General Valuation Principles. Unitary
properties shall be assessed at fair market value based on generally accepted
appraisal theory as provided under this rule.
(a) The assemblage or enhanced value
attributable to the tangible property should be included in the assessed value.
See Beaver County v. WilTel, Inc., 995 P.2d 602 (Utah 2000). The value
attributable to intangible property must, when possible, be identified and
removed from value when using any valuation method and before that value is
used in the reconciliation process.
(b) The preferred methods to determine fair
market value are the cost approach and a yield capitalization income indicator
as set forth in Subsection (5).
(i) Other
generally accepted appraisal methods may also be used when it can be
demonstrated that such methods are necessary to more accurately estimate fair
market value.
(ii) Direct
capitalization and the stock and debt method typically capture the value of
intangible property at higher levels than other methods. To the extent
intangible property cannot be identified and removed, relatively less weight
shall be given to such methods in the reconciliation process, as set forth in
Subsection (5)(d).
(iii) Preferred
valuation methods as set forth in this rule are, unless otherwise stated,
rebuttable presumptions, established for purposes of consistency in mass
appraisal. Any party challenging a preferred valuation method must demonstrate,
by a preponderance of evidence, that the proposed alternative establishes a
more accurate estimate of fair market value.
(c) Non-operating Property. Property that is
not necessary to the operation of unitary properties and is assessed by a local
county assessor, and property separately assessed by the Division, such as
registered motor vehicles, shall be removed from the correlated unit value or
from the state allocated value.
(5) Appraisal Methodologies.
(a) Cost Approach. Cost is relevant to value
under the principle of substitution, which states that no prudent investor
would pay more for a property than the cost to construct a substitute property
of equal desirability and utility without undue delay. A cost indicator may be
developed under one or more of the following methods: replacement cost new less
depreciation (RCNLD), reproduction cost less depreciation (reproduction cost),
and historic cost less depreciation (HCLD).
(i) "Depreciation" is the loss in value from
any cause. Different professions recognize two distinct definitions or types of
depreciation.
(A) Accounting. Depreciation,
often called "book" or "accumulated" depreciation, is calculated according to
generally accepted accounting principles or regulatory guidelines. It is the
amount of capital investment written off on a firm's accounting records in
order to allocate the original or historic cost of an asset over its life. Book
depreciation is typically applied to historic cost to derive HCLD.
(B) Appraisal. Depreciation, sometimes
referred to as "accrued" depreciation, is the difference between the market
value of an improvement and its cost new. Depreciation is typically applied to
replacement or reproduction cost, but should be applied to historic cost if
market conditions so indicate. There are three types of depreciation:
(I) Physical deterioration results from
regular use and normal aging, which includes wear and tear, decay, and the
impact of the elements.
(II)
Functional obsolescence is caused by internal property characteristics or flaws
in the structure, design, or materials that diminish the utility of an
improvement.
(III) External, or
economic, obsolescence is an impairment of an improvement due to negative
influences from outside the boundaries of the property, and is generally
incurable. These influences usually cannot be controlled by the property owner
or user.
(ii)
Replacement cost is the estimated cost to construct, at current prices, a
property with utility equivalent to that being appraised, using modern
materials, current technology and current standards, design, and layout. The
use of replacement cost instead of reproduction cost eliminates the need to
estimate some forms of functional obsolescence.
(iii) Reproduction cost is the estimated cost
to construct, at current prices, an exact duplicate or replica of the property
being assessed, using the same materials, construction standards, design,
layout and quality of workmanship, and embodying any functional
obsolescence.
(iv) Historic cost is
the original construction or acquisition cost as recorded on a firm's
accounting records. Depending upon the industry, it may be appropriate to trend
HCLD to current costs. Only trending indexes commonly recognized by the
specific industry may be used to adjust HCLD.
(v) RCNLD may be impractical to implement;
therefore the preferred cost indicator of value in a mass appraisal environment
for unitary property is HCLD. A party may challenge the use of HCLD by
proposing a different cost indicator that establishes a more accurate cost
estimate of value.
(b)
Income Capitalization Approach. Under the principle of anticipation, benefits
from income in the future may be capitalized into an estimate of present value.
(i) Yield Capitalization. The yield
capitalization formula is CF/(k-g), where "CF" is a single year's normalized
cash flow, "k" is the nominal, risk adjusted discount or yield rate, and "g" is
the expected growth rate of the cash flow.
(A)
Cash flow is restricted to the operating property in existence on the lien
date, together with any replacements intended to maintain, but not expand or
modify, existing capacity or function. Cash flow is calculated as net operating
income (NOI) plus non-cash charges (e.g., depreciation and deferred income
taxes), less capital expenditures and additions to working capital necessary to
achieve the expected growth "g". Information necessary for the Division to
calculate the cash flow shall be summarized and submitted to the Division by
March 1 on a form provided by the Division.
(I) NOI is defined as net income plus
interest.
(II) Capital expenditures
should include only those necessary to replace or maintain existing plant and
should not include any expenditure intended primarily for expansion or
productivity and capacity enhancements.
(III) Cash flow is to be projected for the
year immediately following the lien date, and may be estimated by reviewing
historic cash flows, forecasting future cash flows, or a combination of both.
(Aa) If cash flows for a subsidiary company
are not available or are not allocated on the parent company's cash flow
statements, a method of allocating total cash flows must be developed based on
sales, fixed assets, or other reasonable criteria. The subsidiary's total is
divided by the parent's total to derive the allocation percentage to estimate
the subsidiary's cash flow.
(Bb) If
the subject company does not provide the Commission with its most recent cash
flow statements by March 1 of the assessment year, the Division may estimate
cash flow using the best information available.
(B) The discount rate (k) shall be based upon
a weighted average cost of capital (WACC) considering current market debt rates
and equity yields. WACC should reflect a typical capital structure for
comparable companies within the industry.
(I)
The cost of debt should reflect the current market rate (yield to maturity) of
debt with the same credit rating as the subject company.
(II) The cost of equity is estimated using
standard methods such as the capital asset pricing model (CAPM), the Risk
Premium and Dividend Growth models, or other recognized models.
(Aa) The CAPM is the preferred method to
estimate the cost of equity. More than one method may be used to correlate a
cost of equity, but only if the CAPM method is weighted at least 50% in the
correlation.
(Bb) The CAPM formula
is k(e) = R(f) + (Beta x Risk Premium), where k(e) is the cost of equity and
R(f) is the risk free rate.
(Cc)
The risk free rate shall be the current market rate on 20-year Treasury
bonds.
(Dd) The beta should reflect
an average or value-weighted average of comparable companies and should be
drawn consistently from Value Line or an equivalent source. The beta of the
specific assessed property should also be considered.
(Ee) The risk premium shall be the arithmetic
average of the spread between the return on stocks and the income return on
long term bonds for the entire historical period contained in the Ibbotson
Yearbook published immediately following the lien date.
(C) The growth rate "g" is the
expected future growth of the cash flow attributable to assets in place on the
lien date, and any future replacement assets.
(I) If insufficient information is available
to the Division, either from public sources or from the taxpayer, to determine
a rate, "g" will be the expected inflationary rate in the Gross Domestic
Product Price Deflator obtained in Value Line. The growth rate and the
methodology used to produce it shall be disclosed in a capitalization rate
study published by the Commission by February 15 of the assessment
year.
(ii) A
discounted cash flow (DCF) method may be impractical to implement in a mass
appraisal environment, but may be used when reliable cash flow estimates can be
established.
(A) A DCF model should
incorporate for the terminal year, and to the extent possible for the holding
period, growth and discount rate assumptions that would be used in the yield
capitalization method defined under Subsection (5)(b)(i).
(B) Forecasted growth may be used where
unusual income patterns are attributed to
(I)
unused capacity;
(II) economic
conditions; or
(III) similar
circumstances.
(C)
Growth may not be attributed to assets not in place as of the lien
date.
(iii) Direct
Capitalization is an income technique that converts an estimate of a single
year's income expectancy into an indication of value in one direct step, either
by dividing the normalized income estimate by a capitalization rate or by
multiplying the normalized income estimate by an income factor.
(c) Market or Sales Comparison
Approach. The market value of property is directly related to the prices of
comparable, competitive properties. The market approach is estimated by
comparing the subject property to similar properties that have recently sold.
(I) Sales of comparable property must, to the
extent possible, be adjusted for elements of comparison, including market
conditions, financing, location, physical characteristics, and economic
characteristics. When considering the sales of stock, business enterprises, or
other properties that include intangible assets, adjustments must be made for
those intangibles.
(II) Because
sales of unitary properties are infrequent, a stock and debt indicator may be
viewed as a surrogate for the market approach. The stock and debt method is
based on the accounting principle which holds that the market value of assets
equal the market value of liabilities plus shareholder's equity.
(d) Reconciliation. When
reconciling value indicators into a final estimate of value, the appraiser
shall take into consideration the availability, quantity, and quality of data,
as well as the strength and weaknesses of each value indicator. Weighting
percentages used to correlate the value approaches will generally vary by
industry, and may vary by company if evidence exists to support a different
weighting. The Division must disclose in writing the weighting percentages used
in the reconciliation for the final assessment. Any departure from the prior
year's weighting must be explained in writing.
(6) Property Specific Considerations. Because
of unique characteristics of properties and industries, modifications or
alternatives to the general value indicators may be required for specific
industries.
(a) Cost Regulated Utilities.
(i) HCLD is the preferred cost indicator of
value for cost regulated utilities because it represents an approximation of
the basis upon which the investor can earn a return. HCLD is calculated by
taking the historic cost less depreciation as reflected in the utility's net
plant accounts, and then:
(A) subtracting
intangible property;
(B)
subtracting any items not included in the utility's rate base (e.g., deferred
income taxes and, if appropriate, acquisition adjustments); and
(C) adding any taxable items not included in
the utility's net plant account or rate base.
(ii) Deferred Income Taxes, also referred to
as DFIT, is an accounting entry that reflects the difference between the use of
accelerated depreciation for income tax purposes and the use of straight-line
depreciation for financial statements. For traditional rate base regulated
companies, regulators generally exclude deferred income taxes from rate base,
recognizing it as ratepayer contributed capital. Where rate base is reduced by
deferred income taxes for rate base regulated companies, they shall be removed
from HCLD.
(iii) Items excluded
from rate base under Subsections (6)(a)(i)(A) or (B) should not be subtracted
from HCLD to the extent it can be shown that regulators would likely permit the
rate base of a potential purchaser to include a premium over existing rate
base.
(b)
(i) Railroads.
(ii) The cost indicator should generally be
given little or no weight because there is no observable relationship between
cost and fair market value.
(c) Airlines, air charter services, and air
contract services.
(i) For purposes of this
Subsection (6)(c):
(A) "aircraft pricing
guide" means a nationally recognized publication that assigns value estimates
for individual commercial aircraft that are in average condition typical for
their type and vintage, and identified by year, make and model;
(B) "airline" means an:
(I) airline under Section
59-2-102;
(II) air charter service under Section
59-2-102;
and
(III) air contract service
under Section 59-2-102;
(C) "airline market indicator" means an
estimate of value based on an aircraft pricing guide; and
(D) "non-mobile flight equipment" means all
operating property of an airline, air charter service, or air contract service
that is not within the definition of mobile flight equipment under Section
59-2-102.
(ii) In
situations where the use of preferred methods for determining fair market value
under Subsection (5) does not produce a reasonable estimate of the fair market
value of the property of an airline operating as a unit, an airline market
indicator published in an aircraft pricing guide, and adjusted as provided in
Subsections (6)(c)(ii)(A) and (6)(c)(ii)(B), may be used to estimate the fair
market value of the airline property.
(A)
(I) In order to reflect the value of a fleet
of aircraft as part of an operating unit, an aircraft market indicator shall
include a fleet adjustment or equivalent valuation for a fleet.
(II) If a fleet adjustment is provided in an
aircraft pricing guide, the adjustment under Subsection (6)(c)(ii)(A)(I) shall
follow the directions in that guide. If no fleet adjustment is provided in an
aircraft pricing guide, the standard adjustment under Subsection
(6)(c)(ii)(A)(I) shall be 20 percent from a wholesale value or equivalent level
of value as published in the guide.
(B) Non-mobile flight equipment shall be
valued using the cost approach under Subsection (5)(a) or the market or sales
comparison approach under Subsection (5)(c), and added to the value of the
fleet.
(iii) An income
capitalization approach under Subsection (5)(b) shall incorporate the
information available to make an estimate of future cash flows.
(iv)
(A)
When an aircraft market indicator under Subsection (6)(c)(ii) is used to
estimate the fair market value of an airline, the Division shall:
(I) calculate the fair market value of the
airline using the preferred methods under Subsection (5);
(II) retain the calculations under Subsection
(6)(c)(iv)(A)(I) in the work files maintained by the Division; and
(III) include the amounts calculated under
Subsection (6)(c)(iv)(A)(I) in any appraisal report that is produced in
association with an assessment issued by the Division.
(B) When an aircraft market indicator under
Subsection (6)(c)(ii) is used, the Division shall justify in any appraisal
report issued with an assessment why the preferred methods under Subsection (5)
were not used.
(v)
(A) When the preferred methods under
Subsection (5) are used to estimate the fair market value of an airline, the
Division shall:
(I) calculate an aircraft
market indicator under Subsection (6)(c)(ii);
(II) retain the calculations under Subsection
(6)(c)(v)(A)(I) in the work files maintained by the Division; and
(III) include the amounts calculated under
Subsection (6)(c)(v)(A)(I) in any appraisal report that is produced in
association with an assessment issued by the Division.
(B) Value estimates from an aircraft pricing
guide under Subsection (6)(c)(i)(A) along with the valuation of non-mobile
flight equipment under Subsection (6)(c)(ii)(B) shall, when possible, also be
included in an assessment or appraisal report for purposes of
comparison.
(C) Reasons for not
including a value estimate required under Subsection (6)(c)(v)(B) include:
(I) failure to file a return; or
(II) failure to identify specific
aircraft.