Waybill Sample - Directions for Sampling by Computer

OMB Control No. 2140-00__
Expires December __, 2010

PROCEDURE FOR SAMPLING WAYBILL RECORDS BY COMPUTER
I. Sample of Waybill Records*
A. Definition of Frame for Study
The waybill records to be used as a frame for this study shall include all waybills and
other documents used in lieu of waybills to authorize movement of revenue freight and/or used
as a basis for settlement. Apply the sample to all waybill records which cover the following linehaul revenue movements or settlements for movements:

1. Terminations on the reporting railroad's or system's lines or any or their U.S. railroad
subsidiaries,

2. Terminations for traffic of foreign railroads for which the reporting railroad (or its
subsidiaries) has a joint line settlement agreement to do the waybilling and revenue billing.

If the computer files are not complete for the subject traffic of this study (population),
then notify the Surface Transportation Board (STB) Office of Economics, Environmental
Analysis, and Administration. The subject traffic not covered by the computer files would have
to be sampled manually. Include substituted truck for rail service, LCL, outbound transit

__________________
*Qption: The respondent railroads have an option to transmit 100% of the applicable traffic with
data in prescribed form as shown in Attachment 1 on a quarterly basis, e.g., January, February,
and March equal one quarter. The STB will apply the same sampling procedure described
below. When the sample is completed, the STB will return the railroads' tape of 100% of
waybill data elements keeping on file only the sampled data and the control totals. If data is
transmitted by phone line or internet, we will excerpt only the sampled data and disregard the
rest of the waybill data items.
(Statement 81-1 (Revised 10-1-2007)

movements where the net freight charges may be zero, exempt traffic, and traffic moving under
contract rates. All revenue traffic must be included.

B. Stratification and Replication

Waybills in the file to be used as a frame for this study may be in any order. The waybill
files used must be the final audited waybill settlement tapes.

Stratify each waybill record in the study frame into one of five size groups by the total
number of carloads for the waybill movement. Table 1 shows the specifications of stratification.
For each reporting period, obtain the total count of waybills in each of the five strata. These are
the population counts.

Select four systematic subsamples from each of the 5 strata. Each systematic subsample
for a stratum will have its own random start. A different random start for each of the four
subsamples is to be drawn from Table 2. Draw random starts from Table 2 just as you would
read across a page of ordinary print. For each row there are 10 separate random starts. After
drawing a random start, select every Kth waybill record for each subsample. Table 1 contains the
values of K for each stratum. For each reporting period, obtain counts of selected waybills for
each of the four strata. This sampling procedure is illustrated on page 6.

Draw the study waybills for each stratum from a continuous sequential counting of the
waybills from work day to work day and from week to week until the end of the reporting
period. At the beginning of each reporting period, the sequential count of waybills would have
to restart from "1" for each stratum. Then assign a new set of random starts from Table 2 for
each of the five strata and proceed as in Item No.2. Ensure that every group of waybills in the
population has been sampled once and only once. After a waybill record has been selected, it
must be transmitted no matter how unusual it is. There is to be no substitution.

II. Quality Control
A. Quality of Railroad's Input

The reporting railroad has the responsibility to maintain the quality of submitted waybills
in machine readable input (MRI) form, especially for key items. Failure to meet minimum
standards will lead to increased rejection of waybill records which will be returned to respondent
for correction. If necessary, the whole tape for a reporting period might be returned for
correction. If errors are serious and persistent, it is possible that the STB may order the railroad
to supply additional data for the submitted waybill copies or records for a special study. It may
require joint efforts by railroads, the STB, shipper groups, and others to eliminate errors that are
industry wide, for example, commodity code errors which involve the origin freight stations.

B. Computer Edit of MRI

Computer shipment data on waybills selected for STB study will be reviewed for
validation (improbable FSAC numbers, STCC's etc.) and extreme outliers (pigs in tank-cars~
unusually high weights for the commodity carried). Quantitative comparisons can
be made on a quarterly basis against comparable data from the Quarterly Commodity Statistics
as reported by the Class I railroads. Errors will probably be greatest in the beginning until any
programming bugs are eliminated and ambiguous instructions are clarified. The advantages of
MRI will be greater for those railroads who effectively edit study waybills before submitting
them to the STB.

4

III. Elimination of Routine Submission of Hard Copy Waybills

No hard copy waybills will be required when the Waybill Sample is submitted on an
acceptable machine readable tape. The Board, however, may order railroads to submit hard
copies for other purposes such as special studies.

IV. Transmission of MRI

A. Submission of Sampled Waybill Data

Submit sampled waybill data in the prescribed computer format as shown in Attachment
l, Waybill Data Elements, to the agent designated by the Board. Respondent railroads shall
submit tapes on an audit month basis unless the railroad chooses to report on an audit quarter
basis. Quarters shall cover the following four periods: January, February, and March; April,
May, and June; July, August, and September; October, November, and December.

Identification on MRI tape should include: addressee, addresser, official to contact with
telephone number, identification of tape including the reporting period, technical specifications
of the tape and data input.

Please send a separate transmittal form [OPAD-l] for each transmitted MRI tape to the
designated contractor with the following information:

1. Identification and specification of MRI tape.

2. The number of waybills selected in the sample for each of the five strata

3. The total population count of waybills for each of the strata from which the sample
was selected. The total count for the five strata combined should equal 100

5

percent of the subject traffic as defined in the "Definition of Frame for Study" of this
procedure.

B. Timely Reporting

The respondent railroads shall transmit the MRI tapes to the designated contractor within
60 days of the end of the reporting period.

C. STB Contact for Information

To obtain an explanation or the MRI or sampling procedure or to notify the Board
regarding any problems in the procedures of MRI implementation, you may call:
Mac Frampton
Telephone: (202) 245-0317
or write:
Surface Transportation Board
Office of Economics, Environmental Analysis, and Administration
395 E Street, SW
Washington, D.C. 20423-0001

6

Illustration: Drawing Four Subsamples from a Stratum

Assuming that random starts Nos. 36, 139, 28 and 102 were drawn in that order from
Table 2 for stratum 1 (in actual application draw new random starts), then "36" is in subsample
1, "139" is in subsample 2, "28" is in subsample 3, and "102" is in subsample 4. Each waybill
selected by random starts and every Kth (stratum 1) waybill selected thereafter is assigned its
subsample code as follows:
Stratum 1 (Start of reporting period)
Random numbers
Kth Interval

28
36
102 139
+160 +160 +160 +160

Count or waybills in stratum:

|

|

|

|

1, 2, ...........................................28,... 36, ... 102, ... 139, .. . 188, ... 196, ... 262, ... 299, ... etc...
Subsample Code
3
1
4
2
3
1
4
2
|
|
|
|
|
|
|
|
Enter stratum code and subsample code into data record for selected
waybill.
Population counts
and record counts
by strata

----

Obtain count of total number of waybills in stratum 1 (population
count) and number of waybills selected. This is the subsanple for
the reporting period.

*

*
*

Transmittal Form
*
*

Accumulate records for the reporting period. Tape of data
elements for selected waybills for STB study.
*

Contractor

Submit Machine Readable Input to contractor designated by STB.
Similarly, repeat sampling procedure for each stratum (2, 3, 4, and 5) using the Kth interval and
the random starts applicable to that stratum.

7

|

Table 1. Selection of Waybills for STB study

Stratum

No. of Carloads
Per Waybill

Random
Starts

Kth
Interval

Sample
Rate

1

1-2

*

160

1/40

2

3 - 15

*

48

1/12

3

16 - 60

*

16

1/4

4

61 - 100

*

12

1/3

5

101 and over

*

8

1/2

_____________
*Draw from Table 2 a new random start as required at the beginning of the reporting
period for each subsample (l, 2, 3, and 4) within a stratum. Draw random starts from Table 2
just as you would read across a page of ordinary print. For each row there are 10 separate
random starts. After random numbers for a stratum have been exhausted, return to first row and
repeat. Thus for stratum 1 there are four random starts, for stratum 2 there are four random
starts, etc. Read text of "Procedure for Sampling Waybill Records. .." for more details .

8

TABLE 2. RANDOM STARTS FOR MRI SAMPLE USE FOR STRATUM 1 (1-2 CARS PER WAYBILL) RATE 1 OF 40
38
79
53
39

76
46
20
71

109
37
144
68

134
141
63
6

155
69
126
151

7
28
16
17

132
131
19
159

65
5
74
117

95
160
121
58

91
12
66
78

130
84
41
118

13
47
97
87

25
50
114
149

18
123
4
136

99
23
42
54

86
104
81
15

140
40
127
128

77
143
34
32

59
98
9
64

61
107
1
119

120
14
80
60

148
142
106
51

88
62
27
101

156
85
48
138

103
22
94
35

96
115
52
2

73
72
26
89

67
154
3
57

145
137
158
70

21
75
152
111

33
24
135
92

147
113
31
108

157
49
133
45

153
36
10
43

82
122
129
56

112
110
83
146

8
125
11
150

29
139
93
102

30
105
90
124

55
44
100
116

USE FOR STRATUM 2 (3-15 CARS PER WAYBILL) RATE 1 OF 12
5
48
34
4

31
1
28
38

3
12
17
26

32
21
19
7

36
15
9
41

27
29
11
33

23
8
44
6

25
47
45
39

24
46
16
43

22
14
18
30

10
6
40
25

2
47
38
21

37
26
14
11

42
8
9
27

20
29
31
37

40
35
46
22

13
24
28
34

35
1
7
13

42
15
48
17

43
36
23
12

4
5
42
25

30
39
44
16

10
44
18
14

32
19
41
31

3
16
48
40

20
18
29
6

41
21
9
46

33
23
11
30

2
33
17
28

45
4
1
22

12
24
38

45
36
7

39
3
47

13
37
32

35
15

8
26

27
2

19
20

34
5

43
10

9

USE FOR STRATUM 3 (16-60 CARS PER WAYBILL) RATE 1 of 4
8
11
4
14

16
9
3
1

14
7
11
4

6
13
16
6

2
1
12
7

4
10
7
8

3
9
6
10

5
10
13
3

12
2
8
14

15
5
15
12

5
8
12
5

13
7
10
7

1
4
15
10

16
9
16
11

2
5
15
1

9
11
13
2

15
13
6
8

11
2
16
12

6
3
9
14

14
1
4
3

USE FOR STRATUM 4 (61-100 CARS PER WAYBILL) RATE 1 OF 3
11
7
1
3

4
9
8
1

8
6
7
9

12
5
4
5

1
12
2
8

10
10
6
12

3
11
11
2

5
3
7
10

2
2
4
12

6
9
10
11

1
2
11
9

9
9
10
6

3
4
4

8
8
2

6
11
12

5
12
1

4
10
8

7
3
7

7
6
5

5
1
3

USE FOR STRATUM 5 (101 AND OVER CARS PER WAYBILL) RATE 1 OF 2
7
2
6
5

1
3
1
1

4
5
7
8

6
6
4
7

B
7
7
4

5
4
4
5

2
5
3
1

3
8
8
6

8
3
6
2

1
2
2
3

3
2
5
6

2
4
4
4

4
5
1
2

1
3
2
4

7
1
1
7

8
7
7
1

6
3
8
5

5
7
2
3

6
6
5
6

8
8
3
8

10

ATTACHMENT 1
WAYBILL DATA ELEMENTS
One fixed sized main record is to be developed for each selected waybil1. Left justify
alpha-numerics--space fill; right justify numerics--zero fill. Maintain validation check against
overflows. Include the total freight revenue, total transit charges, total misc. charges, total
weight of lading, and total number of carloads, and, TOFC/COFC ' s as covered by the study
waybill in the appropriate items of this attachment. Round revenue items including other
charges to the nearest dollar ($) (e.g. , $.49 rounds down; $.50 rounds up). Show weight of
lading in units of hundredweight (CWT). The asterisk in front of the number for the data
element indicates it is a key item. (A key element is an element that must be reported in order
for a railroad to qualify for MRI. All other elements that can be obtained from the railroad's
computer files should be reported.)
DATA ELEMENTS FOR STB STUDY

*1. Waybill Record: (1 digit numeric)
Data reported are based on the waybill record (MRI). This number will be one (1) until
further notice.
*2. Waybill Number: (6 digit numeric)
Assigned to each waybill document by the originating railroad.
*3. Waybill Date (MO, DA, YR): (6 digit numeric)
Of the form MODAYR, where MO is month, DA is day, and YR is year. It is the date
the waybill is prepared by the originating railroad.
*4. Accounting Month and Year: (4 digit numeric)
Of the form MOYR, where MO and YR are the month and year during which the study
waybill was entered into the railroad's revenue accounting system. This information is
subsequently reflected in the net income statement of the company for the specified
account month.
*5. Number of Carloads on Waybill: (4 digit numeric)
Indicate the total number of carloads on the sample waybill.

11

*6. Car Initials: (4 character alpha-numeric)
Identify the car ownership as recorded in the Official Rail Equipment Register issued by
the Association of American Railroads. Enter the first car in record for this study
waybill.
*7. Car Number: 6 digit numeric)
Assigned by the owner and which, when combined with the owner's car initial code,
uniquely identifies the freight car used in the move.
*8. Intermodal (TOFC/COFC) Service Code: (3 character alpha/numeric, space fill)
The code for the Intermodal Service Code (ISC) must be entered in the first position of
the field. If possible, when different ISCs are used during the course of the sampled
waybill movement, enter the code for the applicable ISC at termination in the first
position of the field, and the code for the applicable ISC at origination in the second
position of the field. For example, ‘B C’ indicates that the TOFC movement started on
ISC 20 and terminated on ISC 22. NOTE: three blanks in this field will indicate the
movement is not intermodal in nature. ‘Unknown’ ISC’s are indicated by ‘X’.1
REVISED INTERMODAL SERVICE PLAN CODE REPORTING
Intermodal
Service
Code

Unit Owner

Service
Provided by
Carrier

Determination of Charges

STB
Alternate
Coding

15

Motor/Rail

R-R, Ramp to
Ramp

Agreed between Trucker & Rail

A

20

Rail

T-R-T, Door to
Door

Truck Competitive Rates

B

22

Rail

T-R, Door to
Destination Ramp

Truck Competitive Rates

C

25

Rail

R-R, Ramp to
Ramp

Special Mode of Code 20 Rates

D

27

Rail

R-T, Origin Ramp
to Door

Truck Competitive Rates

E

40

Steamship/
Stack Operator

T-R-T, Door to
Door

Domestic Container Movements Without Prior or Subsequent Waterborne
Movement. Applies to U.S./Canada/Mexican Traffic. Equipment Supplied by Stack
Operator or Steamship Line.

F

42

Steamship/
Stack Operator

T-R, Door to
Destination Ramp

Domestic Container Movements Without Prior or Subsequent Waterborne
Movement. Applies to U.S./Canada/Mexican Traffic. Equipment Supplied by Stack
Operator or Steamship Line.

G

45

Steamship
/Stack
Operator

R-R, Ramp to
Ramp

Domestic Container Movements Without Prior or Subsequent Waterborne
Movement. Applies to U.S./Canada/Mexican Traffic. Equipment Supplied by Stack
Operator or Steamship Line.

H

47

Steamship/
Stack Operator

R-T, Origin Ramp
to Door

Domestic Container Movements Without Prior or Subsequent Waterborne
Movement. Applies to U.S./Canada/Mexican Traffic. Equipment Supplied by Stack
Operator or Steamship Line.

I

60

Patron

T-R-T, Door to
Door

Patron Supplied Equipment

K

12

Intermodal
Service
Code

Unit Owner

62

Service
Provided by
Carrier

Determination of Charges

STB
Alternate
Coding

Patron

T-R, Door to
Destination Ramp

Patron Supplied Equipment

L

65

Patron

R-R, Ramp to
Ramp

Patron Supplied Equipment

M

67

Patron

R-T, Origin Ramp
to Door

Patron Supplied Equipment

N

80

Steamship/
Stack Operator

T-R-T, Door to
Door

International Shipments With Prior or Subsequent Waterborne Movement. Includes
Alaska, Hawaii, Puerto Rico. Equipment Supplied by Stack Operator or Steamship
Line.

O

82

Steamship/
Stack Operator

T-R, Door to
Destination Ramp

International Shipments With Prior or Subsequent Waterborne Movement. Includes
Alaska, Hawaii, Puerto Rico. Equipment Supplied by Stack Operator or Steamship
Line.

P

85

Steamship/
Stack Operator

R-R, Ramp to
Ramp

International Shipments With Prior or Subsequent Waterborne Movement. Includes
Alaska, Hawaii, Puerto Rico. Equipment Supplied by Stack Operator or Steamship
Line.

Q

87

Steamship/
Stack Operator

R-T, Origin Ramp
to Door

International Shipments With Prior or Subsequent Waterborne Movement. Includes
Alaska, Hawaii, Puerto Rico. Equipment Supplied by Stack Operator or Steamship
Line.

R

Unknown

Unknown

Unknown

Unknown

X

*9. Number of TOFC/COFC’s on Waybill: (4 digit numeric)
Indicate the number of TOFC/COFC units for the study waybill.
*10. Trailer or Container Initials: (4 character alpha-numeric)
Identifying the ownership of the trailer or container on flat car as recorded in the
Intermodal Equipment Register. Enter the first trailer or container in record for this study
waybill.
*11. Trailer or Container Number: (6 digit numeric)
Assigned by owner and which, when combined with the owner's trailer/container initials,
uniquely identifies the trailer/container used in move.
*12. Commodity Code (STCC-HAZMAT): (7 digit numeric)
Standard Transportation Commodity Code (STCC) which identifies the product
designation for the commodity being transported. For hazardous materials or hazardous
substances only, use the 49 series HAZMAT Code in lieu of the regular STCC.
*13. Billed Weight (CWT): (9 digit numeric)

13

The total billed weight (hundredweight) of the commodity being transported for the study
waybill (the weight protecting the rate).
14. Actua1 Weight of Lading (CWT): (9 digit numeric)
Record the total actual weight of the commodity being transported (hundredweight) for
the study waybill.
*15. Freight Revenue ($): (9 digit numeric)
Show total freight line-haul revenue from origin to destination on waybill in dollars for
the study waybill
16. Transit Charges ($): (9 digit numeric)
Show transit charges in dollars for the study waybill.
17. Miscellaneous Charges ($): (9 digit numeric)
Show total of all other charges excluding transit and freight revenue charges in dollars for
the study waybill.
*18. Interstate/Intrastate: (1 digit numeric (inferred))
Infer an "Interstate" routing via exception tables in routings where the origin and
destination stations are within a state but the customary interstate routing exists and reenters the state. Interstate should also include import, export, ex-lake and lake cargo
movements.
(1) Interstate
(2) Intrastate
(9) Unknown
*19. Transit: (1 digit numeric)
(0) Not a transit movement.
*(1) Transit- indicates that the shipment is the outbound movement from a transit point
where some service had been performed to the destination point (which can be
another transit point).
(9) Unknown
20. All Rail/lntermodal: (1 digit numeric)

14

(1) All Rail (unimodal)
(2) Intermodal (a continuous movement involving a railroad(s) and another mode)
(9) Unknown
21. Type of Move: (1 digit numeric (inferred))
(0) Neither import nor export.
(1) Imported commodity
(2) Exported commodity
(3) Commodity imported and exported, e.g., bridge traffic
(9) Unknown
22. Type of Movement: (1 digit numeric (inferred))
(0) Not a water movement
(1) Ex-Lake (From Great Lakes to reporting railroad)
(2) Lake Cargo (Rail to Great Lakes)
(3) Intercoastal
(4) Coastwise
(5) Inland waterways
(9) Unknown
23. Substituted truck for rail service: (1 digit numeric)
(0) Not a substituted truck-for-rail
(1) Study movement involves substituted truck for rail service
(9) Unknown
24. Docket 28300 Miles: (4 digit numeric)

15

Enter the Docket 28300 miles of the respondent railroad for the study waybill movement.
25. Rebill: (1 digit numeric)
(0) local shipment
(1) originated - delivered
(2) received - delivered
(3) received - terminated
26. Stratum identification: (1 digit numeric)
(1) One to two carloads per waybill.
(2) Three to fifteen carloads per waybill.
(3) Sixteen to sixty carloads per waybill.
(4) Sixty-one to one hundred carloads per waybill.
(5) Over one hundred carloads per waybill.
(9) Optional study: 100% selection of all waybills.
*27. Subsample code number: (1 digit numeric)
Enter the subsample code number which identifies the waybill as being selected in
subsample 1, 2, 3, or 4. Enter code 9 for optional study where there is 100% selection of
all waybills.
*28. Transborder Flag: (1 digit alpha-numeric)
(0) Normal U.S. Termination
(1) Pseudo termination near the border or shipment terminated in either Canada or
Mexico
*29. Contract Rate Flag: (1 digit alpha-numeric)
(0) Not a contract rate
(1) Contract rate (Contract rate flag and reported revenue is CONFIDENTIAL and used
only by the STB and FRA)

16

*30. Waybill Identifier for Retrieval: (25 digits alpha-numeric)
Code(s) or number(s) to be filled in by reporting railroad which will aid the reporting
railroad in identifying and retrieving a copy of study waybill for error check or for STB
special study as required.
*31. Reporting Railroad:

(3 digit numeric)

Identify reporting railroad's AAR code. The reporting railroad's code might differ from
the terminating railroad's code as shown in item No. 32T since the reporting railroad
might be reporting for its subsidiary or for other railroads under jointline settlement
agreements.
*32. Routing:

(Total of 85 characters)

Use code abbreviations for interchanges (junctions) and numerical codes for railroads
from Freight Mandatory Rule 260 as published by the Association of American
Railroads. See attached format layout for description of data required. For origin FSAC
(Freight Station Accounting Code), record code for actual originating station on origin
railroad. For termination FSAC, record code for actual termination station on terminating
railroad.

17

FORMAT OF WAYBILL DATA ELEMENTS
Number of
Positions

Field

Data Description

1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
29
30
31
32
32A
32B
32C
32D
32E
32F
32G
32H
32I
32J
32K
32L
32M
32N
32O
32P
32Q
32R
32S
32T
32U

Waybi1l Record
Waybil1 Number
Waybill Date
Accounting Period (mo/yr)
Number of Carloads
Car Inltlals
Car Number
TOFC/COFC Plan
Number of TOFC/COFC's
Trailer/Container Initials
Tral1er/Container Number
Commodity Code (STCC-HAZMAT)
Bi11ed Weight (CWT)
Actual Weight (CWT)
Total Freight LH Revenue ($)
Transit Charges ($)
Misce1laneous Charges ($)
Interstate/Intrastate Code
Transit Code
All Rail/Intermodal Code
Type of Move: Import/Export
Type of Move via Water
Substituted truck-for-rai1 service
Docket 28300 miles
Rebill
Stratum Identification
Subsample Code
Transborder
Contract Rate Flag
Waybl11 Identifier
Reporting Railroad
Routing
Origin FSAC
Origin Railroad
Interchange #1 Rule 260
First Bridge RR
Interchange #2 Rule 260
Second Bridge RR
Interchange #3 Rule 260
Third Bridge RR
Interchange #4 Rule 260
Fourth Bridge RR
Interchange #5 Rule 260
Fifth Bridge RR
Interchange #6 Rule 260
Sixth Bridge RR
Interchange #7 Rule 260
Seventh Bridge RR
Interchange #8 Rule 260
Eighth Bridge RR
Interchange #9 Rule 260
Termination Railroad
Termination FSAC

Tape Specification:

18

1
6
6
4
4
4
6
3
4
4
6
7
9
9
9
9
9
1
1
1
1
1
1
4
1
1
1
1
1
25
3
85
5
3
5
3
5
3
5
3
5
3
5
3
5
3
5
3
5
3
5
3
5

Form

Column

N
N
N
N
N
A/N
N
A/N
N
A/N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
A/N
N
A/N
N
N
A/N
N
A/N
N
A/N
N
A/N
N
A/N
N
A/N
N
A/N
N
A/N
N
A/N
N
N

1
2-7
8-13
14-17
18-21
22-25
26-31
32-34
35-38
39-42
43-48
49-55
56-64
65-73
74-82
83-91
92-100
101
102
103
104
105
106
107-110
111
112
113
114
115
116-140
141-143
144-228
144-148
149-151
152-156
157-159
160-164
165-167
168-172
173-175
176-180
181-183
184-188
189-191
192-196
197-199
200-204
205-207
208-212
213-215
216-220
221-223
224-228

Reporting railroad: xxx (AAR code)
Name and telephone no. of contact for technical assistance
Accounting period = xx (M)/xx (YR); xx, xx, xx, (M), xx, (YR)
9 Track or 3480 Cartridge
Record Length=228
Blocking Factor=20
Blocksize=4560
Ebcdic Coding
Fixed Block and Record
or CD, CDR, CD-RW
Total Record Count
*Stratum 1 Record Count
*Stratum 2 Record Count
*Stratum 3 Record Count
*Stratum 4 Record Count
*Stratum 5 Record Count

= xxx, xxx, xxx
= xxx, xxx, xxx
= xxx, xxx, xxx
= xxx, xxx, xxx
= xxx, xxx, xxx
= xxx, xxx, xxx

*Population Count
*Stratum 1 Population Count
*Stratum 2 Population Count
*Stratum 3 Population Count
*Stratum 4 Population Count
*Stratum 5 Population Count

= xxx, xxx, xxx
= xxx, xxx, xxx
= xxx, xxx, xxx
= xxx, xxx, xxx
= xxx, xxx, xxx
= xxx, xxx, xxx

Note: Tape Specification should be noted on external label as well as transmitted with other
documentation. Data for items with asterisks need not be listed on external label but should be
maintained by reporting carrier. It should also be transmitted with other documentation
(Transmittal Form OPAD-l). See main text and description of data elements in Procedure for
Sampling Waybill Records by Computer for definitions. The tape specification may be
computer generated. If the reporting railroad's tapes differ for any of the physical characteristics
listed here, then the railroad must obtain STB permission to submit its tapes for MRI.

19

Testing Procedures
Before installing a machine readable input (MRI) procedure for selecting and processing
a waybill sample, each participating railroad must undergo a 'pilot test to determine that all data
will be received and that all data is correct.
As a check on the completeness of the sample, each participating carrier will submit a
sample tape for a quarter of a year. The information on this tape will be compared with the
carrier's QCS report for the quarter. If the sample information (expanded by the inverse of the
appropriate sampling fraction) lies within an acceptable sampling confidence interval as
determined by the contractor, the sample will be deemed complete.
To check the validity of submitted waybills, STB/FRA's contractor will determine the
nature, number, and percent of errors found in the MRI sample compared to the current manual
waybill sample. If there are no significant errors found in the submitted MRI sample, the sample
will be deemed correct. If there are significant errors in the carrier's current waybill submissions,
then the carrier may meet the second requirement if it corrects the errors and changes its error
checking procedure. When a carrier believes its procedures detect and correct all significant
errors, it may submit MRI data on tape. To ensure the validity of the submitted data, the STB
will request some hard copies of waybills for review.
Any carrier who satisfies the above two tests may submit MRI in lieu of the manual
sample of hard copies of waybills at the beginning of any quarter. The timing of the testing and
acceptance for MRI will be negotiated with each respondent carrier or a group of affiliated
carriers filing on a consolidated basis.

20

SUPPLEMENTAL INFORMATION REGARDING THE WAYBILL SAMPLE
The following information is provided in Compliance with OMB requirements and pursuant to
the Paperwork Reduction Act of 1995, 44 U.S.C. 3501 et seq.:
The Waybill Sample is the Board’s primary means of gathering information about freight
rail shipments terminated in the United States. The information in the Waybill Sample is
used by the Board, other Federal agencies (the Department of Transportation and the
Department of Agriculture, for example), and industry stakeholders to monitor traffic
flows and rate trends in the industry, and to develop testimony in Board proceedings.
The Waybill Sample is also a major source of information for states when developing
state transportation plans.
Under 49 CFR Part 1244, a railroad is required to file carload waybill sample information
(Waybill Sample) for all line-haul revenue waybills terminating on its lines if, in any of
the three preceding years, it terminated 4500 or more carloads, or it terminated at least
5% of the total revenue carloads that terminate in a particular state.
The estimated average annual hourly burden for filing this report is 75 hours.
The data contained in the Waybill Sample is considered highly confidential proprietary
information. Waybill Sample data is released, subject to appropriate protective
conditions, through the STB Office of Economics. The regulations governing release of
that data are set forth at 49 CFR 1244.9.
The information in this report is ordinarily maintained by the agency indefinitely.
The display of a currently valid OMB control number for this collection is required by
law.

21