DOT 49 CFR PART 1244-2010 WAYBILL ANALYSIS OF TRANSPORTATION OF PROPERTY-RAILROADS.pdf

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1、185 Surface Transportation Board, DOT 1244.2 website and is maintained by the agen-cy for at least 2 years. The display of a currently valid OMB control number for this collection is required by law. Under 5 CFR 1320.5(b), persons are not required to respond to this collection of information unless

2、it displays a currently valid OMB control number. 72 FR 45386, Aug. 14, 2007 PART 1244WAYBILL ANALYSIS OF TRANSPORTATION OF PROP-ERTYRAILROADS Sec. 1244.1 Definitions. 1244.2 Applicability. 1244.3 Reporting contract shipment waybills and Canadian and Mexican international waybills. 1244.4 Sampling o

3、f waybills. 1244.5 Date of filing. 1244.6 Retention of files. 1244.7 Special studies. 1244.8 Analysis of waybill data. 1244.9 Procedures for the release of waybill data. AUTHORITY: 49 U.S.C. 721, 10707, 11144, 11145. SOURCE: 46 FR 26784, May 15, 1981, unless otherwise noted. 1244.1 Definitions. (a)

4、Railroadan individual railroad or terminal company subject to the Interstate Commerce Act and every re-ceiver, trustee, executor, administrator or assignee of any such railroad. If a railroad and its railroad subsidiaries report to the Board on a consolidated basis, they would collectively be con-si

5、dered as a railroad. (b) A railroad subsidiarya railroad owned or controlled by another rail-road. (c) A waybill, which may be referred to by other names such as mine tick-ets, is the document or instrument pre-pared from the bill of lading contract or shippers instructions as to the dis-position of

6、 the freight, and used by the railroad(s) involved as the authority to move the shipment and as the basis for determining the freight charges and interline settlements. 1244.2 Applicability. (a) Effective July 1, 1981 and there-after, unless otherwise ordered, each railroad as defined in 1244.1 abov

7、e is required to file waybill sample infor-mation for all line-haul revenue way-bills terminated on its lines if it termi-nates at least 4,500 revenue carloads in any of the three preceding years, or if it terminates at least 5% of the rev-enue carloads terminating in any state in any of the three p

8、receding years. A railroad required to file waybill sample information under this section shall herein be referred to as subject railroad. (b) Waybill terminations shall in-clude all line-haul revenue movements terminating for waybilling purposes on the subject railroads line whether the lading is d

9、estined for the terminating station as denoted on the waybill or the shipment is being rebilled or for-warded to the ultimate destination by another railroad or another mode of transportation (e.g., lake cargo, in-bound transit, or other rebilled move-ments). (c) Each subject railroad shall also fil

10、e the required waybill sample infor-mation for all of its railroad subsidi-aries. (d) Each subject railroad shall also file the required waybill sample infor-mation for any other railroad for which it performs revenue billing and/or interline settlements under special agreement. (e) The surviving co

11、rporate entity of railroads (subject to the Interstate Commerce Act) who have merged or re-organized shall be required to report waybill sample information if its pred-ecessor railroad or any of its prede-cessor railroads were required to report under this section. (f) In order to determine the numb

12、er of carloads terminated in each state, railroads not otherwise submitting waybill information must report annu-ally the number of carloads terminated by state for the last calendar year. These reports shall be submitted by March 1 of the year following the re-port year. (g) Transition. This final

13、rule will apply to all subject waybills which are in the subject railroads audit month of July 1981 and all audit months there-after. The former rule will continue to apply to all subject waybills for the prior audit months up to and including June 1981. VerDate Mar2010 08:56 Nov 10, 2010 Jkt 220220

14、 PO 00000 Frm 00195 Fmt 8010 Sfmt 8010 Y:SGML220220.XXX 220220erowe on DSK5CLS3C1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-186 49 CFR Ch. X (10110 Edition) 1244.3 1244.3 Reporting contract shipment waybills and Canadian and Mexican

15、 international waybills. (a) All railroads shall identify (flag) contract shipment waybills. (b) The revenue associated with con-tract shipments may be encrypted (masked) to safeguard the confiden-tiality of the contract rates. (1) Upon written request, the Board will provide a masking procedure for

16、 a railroads use or will mask the con-tract revenues when the Waybill Sam-ple is filed with the Board. (2) When a railroad intends to use its own proprietary masking procedure, those procedures, and any changes in those procedures, must be approved by the Board thirty (30) days prior to their use. (

17、3) All railroads that use a propri-etary masking procedure, and intend to continue to use the same procedure, must certify, by letter to the Board, prior to January 31 each year, that the contract revenue masking procedures are unchanged. (4) All correspondence and certifi-cations concerning masking

18、 procedures should be addressed to: Director, Office of Economics, Environmental Analysis, and Administration, Surface Transpor-tation Board, Washington, DC 20423 0001, ATTN: WAYBILL COORDI-NATOR. (c) Railroads moving traffic on the U.S. rail system to the Canadian or Mexican border shall include a

19、rep-resentative sample of such inter-national export traffic in the Waybill Sample. (d) Railroads shall identify (flag) such movements as international traf-fic in the waybill records. (e) Railroads may report information on the complete rail routing or report only information related to the U.S. po

20、rtion of the movement. (f) Railroads may mask revenue divi-sions associated with cross-border traf-fic following the masking procedures set forth in paragraphs (a) and (b) of this section. 65 FR 37711, June 16, 2000, as amended at 66 FR 53735, Oct. 24, 2001 1244.4 Sampling of waybills. (a) Subject r

21、ailroads shall file way-bill sample information in one of the following two ways. (1) Authenticated copies of a sample of audited revenue waybillsthe manual system (1244.3(b). (2) A computer tape con-taining specified information from a sample of waybillsthe computerized system (1244.3(c). (b) The M

22、anual System. (1) The sample of subject waybills shall be as follows: (i) All waybills with less than 6 car-loads per waybill whose serial numbers are 1 or end in 01, (ii) All waybills with 6 to 25 carloads per waybill whose serial numbers end in 1; and, (iii) All waybills with 26 or more car-loads

23、per waybill whose serial numbers end in 1 or 7. (2) The expected sampling rates for the manual system are as follows: Numbers of carloads on waybill Ex-pect-ed sam-ple rate 1 to 5 . 1/100 6 to 25 . 1/10 26 and over . 1/5 (3) Upon giving the subject roads 60 days notice, the Board may require random

24、serial number endings in lieu of the respective endings shown in 1244.3(b). These random serial number endings would have the expected sam-ple rates shown in 1244.3(b)(2). (4) If the subject waybills have no waybill numbers or serial numbers, or have seriously flawed waybill or serial numbers, then

25、the subject railroad should serialize those documents in blocks of 1,000 or blocks of multiples of 1,000 (e.g., 1, 2, . . . 1,000; 1, 2, . . .) and use these constructed serial numbers for selection purposes. (c) The Computerized System. (1) The tape shall be required to conform to the standards and

26、 format specified in Statement No. 811, Procedure for Sam-pling Waybill Records by Computer (2009 edition), issued by the Surface Trans-portation Board. The Director of the Federal Register has approved this in-corporation by reference in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. To enforce

27、 any editions other than those specified in this section, the STB must publish notice of change in the FEDERAL REGISTER and the material VerDate Mar2010 08:56 Nov 10, 2010 Jkt 220220 PO 00000 Frm 00196 Fmt 8010 Sfmt 8010 Y:SGML220220.XXX 220220erowe on DSK5CLS3C1PROD with CFRProvided by IHSNot for R

28、esaleNo reproduction or networking permitted without license from IHS-,-,-187 Surface Transportation Board, DOT 1244.6 must be available to the public. You may obtain or inspect a copy of these standards from the Surface Transpor-tation Board, 395 E Street, SW., Wash-ington, DC 204230001; from the S

29、urface Transportation Board Web site at http:/www.stb.dot.gov; or by calling (202) 2450323. You may also inspect a copy at the National Archives and Records Administration (NARA). For information on the availability of this material at NARA, call (202) 7416030, or go to: http:/www.archives.gov/ fede

30、rallregister/ codeloflfederallregulations/ ibrllocations.html. (2) The sampling rates for the com-puterized system are as follows: Number of carloads on waybill Sam-ple rate 1 to 2 . 1/40 3 to 15 . 1/12 16 to 60 . 1/4 61 to 100 . 1/3 101 and over . 1/2 (d) Controls and Annual Counts. (1) Each subjec

31、t railroad shall maintain a control procedure to ensure complete and accurate reporting for the waybill sampling. All pertinent waybill data shall be included on hard copy waybill submissions including inbound ref-erences for transit waybills. All such pertinent waybill data shall be legible. (2) Al

32、l subject railroads shall main-tain a record of the number of line-haul revenue carloads that terminated on their line in a calendar year and shall furnish this number when requested by the Board. (3) All subject railroads using the manual system of reporting shall fur-nish the Board, in accordance

33、with in-structions on the Transmittal Form OPAD2, the total counts of line-haul revenue waybills terminated in each reporting period for the following three categories: (i) Waybills, with less than six car-loads per waybill, (ii) Waybills with 6 to 25 carloads per waybill, and (iii) Waybills with 26

34、 or more car-loads per waybill. (4) All subject railroads on the com-puterized system of reporting shall fur-nish the Board the control counts and tape specification information as re-quired by the Statement No. 811. (5) Certification by a responsible offi-cer of the subject railroad as to the compl

35、eteness and accuracy of sample shall be made once a year in accord-ance with the instructions on the Transmittal Forms OPAD1 or OPAD 2. 46 FR 26784, May 15, 1981, as amended at 46 FR 45141, Sept. 10, 1981. Redesignated at 65 FR 37711, June 16, 2000; 73 FR 66803, Nov. 12, 2008 1244.5 Date of filing.

36、(a) The reporting period for which subject railroads submit waybill sam-ple information shall be the audit (ac-counting) month except as specified below: (1) Subject railroads using the com-puterized system may submit waybill sample information quarterly as speci-fied in Statement 811. (2) Subject r

37、ailroad using the manual system may submit waybill sample in-formation quarterly if it submits fewer than 1,000 waybills per year. (b) Waybill sample information shall be forwarded no later than 60 days from the end of the reporting period to the Board. (c) When the submitted waybill sam-ple informa

38、tion is returned to the sub-mitting railroad for correction, that railroad shall resubmit corrected data to the Board promptly but no later than 60 days after its receipt. (d) Transmittal Forms. (1) Subject rail-roads using the manual system of re-porting shall complete the Transmittal Form OPAD2, t

39、o accompany each waybill sample submission. (2) Subject railroads using the com-puterized system of reporting shall complete the Transmittal Form OPAD 1, to accompany each waybill tape sub-mission. 46 FR 26784, May 15, 1981. Redesignated at 65 FR 37711, June 16, 2000 1244.6 Retention of files. (a) S

40、ubject railroads which submit waybill sample data by the computer-ized system instead of the manual sys-tem shall retain the underlying hard copy waybills or facsimilies capable of producing legible copies, which shall be complete including inbound references VerDate Mar2010 08:56 Nov 10, 2010 Jkt 2

41、20220 PO 00000 Frm 00197 Fmt 8010 Sfmt 8010 Y:SGML220220.XXX 220220erowe on DSK5CLS3C1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-188 49 CFR Ch. X (10110 Edition) 1244.7 for transit waybills, for a minimum pe-riod of four years. (b)

42、This file of retained waybills shall be maintained in such a manner that the railroads on the computerized sys-tem may readily retrieve waybill cop-ies using the waybill identifier code as shown on the submitted computerized waybill record. 46 FR 26784, May 15, 1981. Redesignated at 65 FR 37711, Jun

43、e 16, 2000 1244.7 Special studies. (a) Although routine submission of hard copy waybills is eliminated when a railroad reports under the computer-ized system, the Board may order that railroad to submit hard copies of the underlying waybills for special studies. (b) The Board may order the subject r

44、ailroads to supply additional data for submitted waybill copies or records for special studies. 46 FR 26784, May 15, 1981. Redesignated at 65 FR 37711, June 16, 2000 1244.8 Analysis of waybill data. Users of the waybill sample when presenting waybill analysis before the Board shall ensure that the a

45、ppropriate weighting factors are applied to ac-count for the stratified sampling. See Statement 811 for guidelines for weighting waybill data and for com-puting sampling errors. 46 FR 26784, May 15, 1981. Redesignated at 65 FR 37711, June 16, 2000 1244.9 Procedures for the release of waybill data. (

46、a) General. The procedures for the re-lease of waybill data identify five classes of users of the STB Waybill Sample, define the waybill information or data that each class of users may obtain, and set forth the applicable re-quirements for the datas release. They also formalize notice and protest p

47、ro-cedures for the possible release of way-bill data to other users to protect against the inappropriate release of confidential data. The Director of the Office of Economics, Environmental Analysis, and Administration shall be responsible for releasing waybill data in accordance with these procedur

48、es. (b) Class of user, available data, and applicable release requirements(1) Rail-roads. Each requesting railroad may obtain any waybill record from the STB Waybill Sample covering traffic that originated, terminated, or was bridged by that railroad. The railroad shall not have access to waybill da

49、ta pertaining to traffic in which it did not participate. Also, it must meet all STB and legal requirements concerning re-lease of shipper information in accord-ance with 49 U.S.C. 11910(a). (2) Federal agencies. Each requesting Federal agency (including quasi-gov-ernmental agencies) may obtain any waybill record from the STB Waybill Sample subject to the following re-quirements: (i) The Federal agency shall make the informat