DRAFT

Statement of Work

Surface Transportation Board

Railroad Carload Waybill Sample

1. Introduction and Background

The Federal Railroad Administration (the FRA or the Administration) is an agency within the U.S. Department of Transportation (DOT) concerned with intermodal transportation.

FRA was created by the Department of Transportation Act of 1966. FRA’s mission is to enable the safe, reliable, and efficient movement of people and goods for a strong

America, now and in the future.

The Surface Transportation Board (STB) is an independent, bipartisan adjudicatory body.

Until December 2015, STB was organizationally housed within DOT. STB has jurisdiction over certain surface transportation economic regulatory matters. The term

“Government” is used to refer to the FRA and the STB collectively.

STB regulations, at 49 CFR Part 1244, require, among other things, that a subject railroad file with the STB waybill sample information for all line-haul revenue waybills terminated on its lines if it terminates at least 4,500 revenue carloads in any of the three preceding years, or if it terminates at least 5% of the revenue carloads terminating in any state in any of the three preceding years. Subject railroads generally submit waybill sample information as a computer file containing specified information from a sample waybill. See 49 CFR 1244.4 and Statement 81. After processing, the waybill submissions are combined in a 913-byte length record format file, the Confidential

Waybill Sample, and produced in Annual, Quarterly and Monthly subsets. The “Public

Use File,” derived from the 913-byte Annual Confidential Waybill Sample, aggregates the data to protect the confidentiality of specific shipper and railroad information.1

Information from the Confidential Waybill Sample and the Public Use File is used to carry out the regulatory responsibilities of the STB and as input to STB dockets, projects, analysis, and studies. This data is also of value to the FRA in its oversight of the railroad industry. In addition, other federal agencies use waybill data as an important dataset for various studies and projects, and maintain information derived from it as part of their information base. Many states also used waybill data as a major source of information for developing state transportation plans. Finally, non-government entities seek access to waybill data for specific uses, including, but not limited to, the preparation of testimony and verified statements in STB and other regulatory proceedings. Access to the

Confidential Waybill Sample is controlled by the STB as discussed below.

The Confidential Waybill Sample identifies originating and terminating freight stations, the names of all railroads participating in the movement, the point of all railroad interchanges, the number of cars, the car types movement weight, the commodity, and the freight revenue. The names of the shipper and consignee may be part of the railroad’s data submission but are not included in the final sample data. Other data in the sample, such as the origin and destination Freight Station Accounting Code (FSAC) and seven-

1 See. Creation of the Public Use Waybill Sample https://www.stb.gov/stb/industry/econ_waybill.html.

https://www.stb.gov/stb/industry/econ_waybill.html digit Standard Transportation Commodity Code (STCC), may permit the identification of a shipper and consignee (and some railroad data submissions may contain shipper/consignee information). Accordingly, the Confidential Waybill Sample and the associated railroad data submissions are highly confidential because they can disclose railroad customers, specific volumes, and the rate at which that railroad transports the traffic. Federal law and regulations prohibit the disclosure of such information without specific authority. See 49 U.S.C. 11904; 49 CFR 1244.9.

2. Scope

2.a. General Description

The work required by this contract must be performed in accordance with this Statement of Work (SOW). The FRA and STB seek to hire a contractor with the necessary expertise to build a complete and accurate Confidential Waybill Sample and, from it, a Public Use

File. That task consists of two separate and distinct phases, with various deliverables within each phase; however, the objective of the project is the complete Waybill Sample for Phase I and the Public Use File for Phase II. Respondents to this solicitation must bid on both Phase I and Phase II. All contractor proposals must specify the work for each phase and how the contractor will satisfy the requirements.

The FRA Contracting Officer (CO) will issue the blanket purchase agreement (BPA) and task orders for the required services and deliverables. Because the Waybill is collected and processed pursuant to the STB’s regulations, the STB will provide a project liaison to provide technical assistance to the Contracting Officer’s Representative (COR). The contractor selected shall provide, in accordance with the requirements specified in this

SOW, all resources necessary to research, write, and furnish the services and deliverables described herein.

As discussed in Sections 3 and 4 below, the waybill processing cycle (including Phases I and II) for the period of performance takes place over a 24-month period,2 beginning with data collection for rail movements on or after January 1 of data collection year. Using secure electronic transfer protocols, railroads submit to the STB (via the Contractor) those traffic movements that have been entered into the railroads’ accounting systems between January 1, and that have not been reported in a previous waybill sample, and

December 31. The Phase I tasks are completed between January 1 and June 1 of the following calendar year, including interim monthly/quarterly data submissions and reporting and the delivery of an acceptable annual Confidential Waybill Sample file and documentation to the Government.

Following receipt of the Confidential Waybill Sample file from the Government on or about June 2, the Contractor completes the Phase II work between that date and

December 31, including interim milestone deliverables such as the delivery of the miled and modified waybill file in July as stated in the Phase II deliverable schedule.

2 Because of federal appropriations laws, while the period of performance cycle is 24 months, the

Government only commits to funding one year at a time, with task orders issued by the Government for funding performance each subsequent year.

Any subsequent years exercised by the Government would follow the cycle that starting on January 1 and ending on December 31 of the following year.

For both Phase I and Phase II, the Contractor must provide program management, quality control, and error-correction procedures in accordance with the detailed requirements below.

2.b. Personnel, Materials, Facilities and Automation

Personnel—For both the Phase I and Phase II, the Contractor must designate a Project

Manager. The Project Manager shall possess the skills and experience needed to manage the personnel required for projects of the magnitude and complexity presented by this statement of work. The Project Manager is responsible for tracking the contractor’s cost, schedule, and technical performance. Further, the Project Manager must ensure that the required level of expertise is applied to the services performed under this contract. For each Phase I and Phase II, the Contractor must offer key personnel in the proposals with the following minimum requirements, as applicable:

Personnel Discipline

Minimum Qualifications

Program Management (Phase I and II)

Experience handling waybill data, 3 years of experience as a program manager

Data Collection (Phase I) Bachelor’s degree in Computer Science or related field of study, or 3 years of related field experience

Rail Network Modeling (Phase I and II) Bachelor’s degree in transportation engineering or related field, or 5 years of related experience

Transportation modeling and traffic assignment (Phase II)

Bachelor’s degree in transportation engineering or related field of study, or 5 years of related experience

Statistical Analysis (Phase I and II)

Bachelor’s Degree in Statistics or a related field of study, or 5 years of related experience

Data Analysis (Phase I and II) and Miling (Phase II)

5 years of work-related experience

Quality Assurance Analyst 5 years of work-related experience in data analysis quality assurance

In reviewing proposals, preference will be given to firms that offer key personnel with sufficient complex experience with large datasets similar to the waybill.

Key personnel are essential to the performance of this contract. The identified key personnel shall not be reassigned or removed without the written consent of the CO unless the identified key personnel become unavailable. Then, the Contractor shall notify the CO in writing within two days of key personnel unavailability with a written justification (including proposed substitutions) in sufficient detail to permit an evaluation on the impact on the performance of the contract. All proposed replacement personnel shall possess equal or greater relevant qualifications. The Government must approve all proposed replacement personnel before they are privy to the confidential information necessary for the Contractor to perform the functions described in this statement of work.

With respect to other personnel involved, the Contractor shall assign only competent personnel for performance of the engagement. Competent personnel means those individuals possessing the education, skills, and experience necessary to aid in researching, writing the report to be delivered to the Government.

Materials—For both the Phase I and the Phase II, the Contractor shall furnish all material, including hardware and software, required to process the waybill data submitted by the railroad industry and produce the deliverables specified in Section 4. This includes copies of forms OPAD-1 and OPAD-2 Transmittal forms, as specified in 49

CFR 1244.5, and all other items necessary for the collection, maintenance, control, and processing of the Waybill Sample. For both Phase I and Phase II, the Contractor must make all arrangements necessary to access the required Industry Reference Files (IRF) described below and assume all related costs of obtaining that material. No Government

Furnished Equipment (as defined in the Federal Acquisition Regulations (FAR)) is required for this contract.

i. Industry Reference Files

Standard Transportation Commodity Classification Code (STCC): The Standard

Transportation Commodity Code (STCC) is a publication containing specific product information used on waybills and other shipping documents. A STCC code is a seven-digit numeric code representing 38 commodity groupings.

Directory of Hazardous Material Shipping Descriptions: Hazardous Materials

Shipping Description Database contains Hazardous Materials Regulatory information which allows railroads and customers to properly create Electronic

Data Interchange (EDI) transactions and shipping papers for hazardous materials being shipped in the United States, Canada, and internationally. The database allows for error checking when EDI transactions are received from connecting carriers and customers.

The Official Railway Equipment Register

The Official Railroad Station List (OPSL 6000): The Official Railroad Station

List, known in the rail industry as the OPSL, is used to denote railroad industry geography.

The Centralized Station Master (CSM): The Centralized Station Master (CSM) is a geographic location file which contains data about rail and motor carrier points for North America and international areas.

ii. Waybill specifications. The successful bidder for each phase must be thoroughly familiar with the following materials detailing the waybill specifications:

Collection of the Waybill Sample: See Appendix A for the format used by subject railroads to submit data in the 237-byte record layout. To facilitate the identification of individual waybills, during Phase I, the Contractor shall assign a unique serial number to each waybill, which becomes the means for identifying individual waybills throughout the waybill process. During Phase I, the

Contractor shall also assign a unique tracking number to each waybill. The unique tracking number differs from the unique serial number (Field 1) because the unique tracking number will not change from monthly, to quarterly, to annual files.

Drawing the Sample: See 49 CFR 1244.4 (Sampling of Waybills) and Statement

No. 81 Procedures for Sampling Waybill Records by Computer (Statement 81, available on the Board’s website) for a description of required waybill sampling procedures.

Waybill Specifications for the Waybill File: See 49 CFR 1244; Statement No. 81, Annual Reference Guides for the STB Carload Waybill Sample showing the 913-byte record layout used to create the annual waybill file (available on the STB’s website). See Appendix A for 445-byte record layout used to create monthly/quarterly/annual interim waybill files and the 913-byte record layout used to create the annual waybill file

Waybill Specifications for the Public Use File: See 49 CFR 1244; Statement No.

81, Annual Reference Guides for the STB Carload Waybill Sample showing the

253-byte record layout used to create the Public Use file (available on the STB’s website as well as in Appendix A).

Facilities—For both Phase I and Phase II, the Contractor shall perform all work associated with this contract at its own facilities, with the exception of the meetings described in the Requirements section below.

3. Requirements

3.A. Requirements for Phase I

During Phase I, the Contractor shall collect and compile waybill data from the subject railroads, draw the sample for subject railroads that do not self-sample, and edit and correct the waybill data. The Contractor shall provide the processed data and report to the STB on monthly, quarterly, and annual reporting cycles, enabling the STB to monitor the data the Contractor submits for errors and direct the Contractor to resolve any errors from the reporting railroads prior to the completion of Phase I of the Confidential

Waybill File.

During Phase I, the Contractor shall undertake the following responsibilities:

Collection of Waybill Data—The Contractor shall collect waybill data from the railroads, utilizing secure electronic transfer protocols, in the format described in the 247-byte record layout. See Reference Guide. To facilitate the identification of individual waybills, the Contractor Shall assign a unique waybill serial number to each waybill.

This unique serial number will be the means for identifying that individual waybill throughout the remainder of Phase I and Phase II of the waybill process. The unique serial number will be assigned to the monthly, quarterly, and annual files so that individual records can be tracked throughout the monthly, quarterly, and annual files submissions.

Drawing the Waybill Sample—The Contractor shall draw the sample from those railroads that report 100% of their terminating waybills pursuant to the applicable STB sampling methodology. Currently, there are 46 railroads that do not self-sample and instead report

100% of their terminating waybills. This number can change from year to year. Using the appropriate industry reference file (described above) the Contractor shall insert all fields on the 445 byte layout that are not provided by the railroad.

Editing, Correcting and Reporting Waybill Data—To facilitate the identification and the correction of Phase I data errors, the Contractor shall maintain an Attribute Transaction

File. In the Attribute Transaction File, the Contractor shall track changes made to the

Confidential Waybill Sample after the data is received from the railroads. After the initial load of the railroad’s data, the Contractor must log every change made to an attribute in the Confidential Waybill Sample into the Attribute Transaction File. For example, the file starts with the unique serial number followed by the attribute number being modified. The old value and the new value of the data are then added. The

Contractor can apply an explanation to the end of the record if necessary. Certain adjustments may require the Contractor to provide an explanation. The explanations can be as simple as numeric codes agreed upon by the Contractor and the STB but may be more complex. The data in this transaction file can be either in a fixed format or be delimited by a standard delimiter character.

This Attribute Transaction File must identify the changes that the Contractor has made to the Confidential Waybill Sample. The Contractor shall submit this file as part of a report to the STB monthly, quarterly, and annually along with the waybill data.

Correcting Data Errors—As part of Phase I, the Contractor is responsible for identifying and correcting data errors pursuant to the Phase I Required Field Checks below, including data errors that are subsequently identified by the Government. Accordingly, when data errors are discovered, the Contractor must immediately notify and direct the reporting railroad to take corrective action within 10 calendar days to ensure a smooth flow of waybill data from the railroads through the Contractor and to the STB.

Error correction must be performed by the contractor on a continual basis. Accordingly, the Phase I monthly, quarterly, and annual reports submitted by the Contractor must include an accounting of all identified, corrected and pending errors, as well as a description of the error review process.

Within 10 business days of each Phase I quarterly/monthly submission from the

Contractor to the STB, the STB will notify the Contractor of data errors discovered by the

STB. The Contractor shall then have 15 business days to obtain the corrected data or advise the STB as to why the correction has not been made.

Before submitting the Phase I monthly, quarterly, and annual deliverables to the STB, the

Contractor must ensure that the file is 99% accurate based on records meeting the Phase I

Required Field Checks below and the quality assurance checks in Appendix B.

Phase I Required Field Checks and Correction (237-byte File) - The Contractor must undertake the following required Field checks and correct as necessary:

Car Initial—The Contractor must validate the car initial. The car initial must be a valid code. A record with an invalid car initial shall be counted against the 1% error limit. The Contractor shall provide a list of all valid car initials with the car initial owner to the STB.

Trailer or Container Initial—The Contractor must validate the trailer or container initial. The Contractor shall provide a list of all valid trailer or container initials with the trailer or container initial owner to the STB.

Intermodal Service Code—The Contractor shall check the intermodal service code against the ownership of the trailer or container.

Billed Weight—The Contractor shall check the billed weight and the actual weight to verify that the weight is less than or equal to the maximum lading possible for the car used.

Freight Revenue—The Contractor shall develop a table of revenue per ton-miles by STCC classes by distance from the best sources available. The Phase I

Contractor shall check reported freight revenue against this table.

Reporting Railroad v. Terminating Railroad—The Contractor shall maintain a list of valid reporting railroads and terminating railroad pairs. The Contractor shall check the reporting railroad and terminating railroad against this list.

Carload Waybill Sample User Guide—The Contractor shall edit the delivered waybill sample record against the file description printed in the Carload Waybill

Sample User Guide. For example, if field 28 is shown in the User Guide as having defined values of 0, 1, 2, and 3, then a blank, any letter or any other number would be an error. The Contractor must deliver the waybill sample free of this type of error and any records with errors in this area will be counted against the 1% maximum error rate.

Car Type—The Contractor must verify that the AAR Equipment Type is valid.

The Contractor must then verify that the STB Car Type is valid. The definition of the STB Car Type is defined on field 90 of the 900-byte record layout: The STB car type is inferred from the AAR Equipment Type, as described in item 70, and corresponds to the line number on the STB R-1 Schedule 710 for type of car.

Invalid Carload Field—The Contractor must recognize that any carload field that is not numeric and greater than zero is invalid.

Car Ownership—The Contractor must recognize that Car ownership must have a valid value. Car Ownership Category is defined as: “Alpha/numeric code which identifies the owner of the car: (R) Railroad owned; (P) Privately Owned; (T)

Trailer Train.” (This definition is on field 93 of the 900-byte record layout)

Alignment with Industrywide Data—The Contractor must demonstrate that the waybill sample aligns with the aggregate, industry-wide data to ensure overall reasonability and that the Contractor has removed data errors related to seasonality.

Invalid Waybill Date—For the processed year, the Contractor must verify that the waybill date must fall before December 31. The waybill is not processed for the current year if the date is out of bounds.

Invalid Car Field—The Contractor must verify that the carload field is numeric and greater than zero.

Invalid TOFC/COFC Load Count—If a TOFC/COFC move is indicated, the

Contractor must verify that the number of the TOFC/COFC unit (load count) is numeric, and either (1) less than the sum of the waybill carloads multiplied by three, or (2) identified as a valid stack train movement.

Invalid Freight Revenue—The Contractor must verify that freight revenue is numeric. If the freight revenue is zero, the transit code must be either 1 or 9. The freight revenue amount, divided by the number of waybill carloads, cannot be less than 1 or greater than the table-look-up value (by two-digit STCC). The range represents positive values plus and minus 4 standard deviations from the mean.

Revenue Amount is Zero—The Contractor must verify that if the revenue amount is zero, the transit code must be 1 or 9.

Revenue Per Ton Mile—The Contractor must correct data entry if the revenue per ton mile is not in the range established for the 2-digit STCC. Waybills which list high freight revenues should be verified individually (e.g., trans-continental movements of hazardous materials); if the revenue is valid for the waybill, the

Contractor shall remove the revenue error flag after the final edit procedure.

Billed Weight Capacity—The Contractor must verify that billed weight is not greater than load limit. Waybills that list very high or low billed weights must be individually verified (e.g., heavy load capacity cars, or intermodal shipments with eights below one ton); if the weight is valid for the waybill, the Contractor shall remove the billed weight error flag after the final edit procedure.

Unique Serial Number- To allow for unique identification of waybills, the

Contractor must assign a six-digit value to all waybills processed as follows:

hardcopy (FTP) waybills are assigned serial numbers in the 100,000 to 199,999 range. MRI waybills are assigned serial numbers in the 200,000 to 999,999 range; once those values are exhausted, MRI waybills are assigned alphanumeric serial numbers where the first digit is a letter and the remaining digits are numbers, zero filled (e.g., "A00001" to "Z99999"); once those values are exhausted, the first two digits are letters and the remaining digits are numbers, zero filled (e.g., "AA0001" to "AA9999", "AB0001" to "AB9999", etc.).

Unique Tracking Number- The Contractor must assign a unique tracking number to each record in the file. The unique tracking number must differ from the

Unique Serial Number (Field 1) because the unique tracking number will not change from monthly, to quarterly, to annual files.

In addition to editing and self-correcting of data entry errors, the Contractor shall correct errors identified by the STB during its review of the Phase I monthly, quarterly, and annual data. The Contractor shall also provide documentation of actions taken (a change log) when correcting for errors identified by the STB during its review of monthly, quarterly, and annual data. Prior to the initial submission to the STB of and for each

Phase I monthly, quarterly, and annual deliverable, the Contractor Quality Assurance

Analyst shall provide a quality assurance log including details of the quality assurance checks and the record accuracy percentage of the sample and certify in writing to the

STB that s/he has reviewed the deliverable for completeness and correctness using the quality assurance checks in Appendix B of this statement of work. A record is accurate for purposes of tallying the sample’s accuracy percentage when all of that record’s field values are valid according to the standards set forth in Appendix B.

3.B. Requirements for Phase II

After the STB has accepted an annual Confidential Waybill Sample from Phase I of this contract, the STB will provide the Contractor with the annual Confidential Waybill

Sample File so Phase II can begin. For Phase II, the Contractor shall: 1) take the data contained in the Confidential Waybill Sample File and compute the mileage for each movement, and 2) make additional, prescribed modifications to the Confidential Waybill

Sample File, including adding fields 24, 113-123, and 145-156 as described below. After the STB has costed the waybill, the Contractor shall also create the Public Use Waybill

File and produce an annual Reference Guide containing information about the Public Use

Waybill File.

Before submitting the Phase II annual deliverables to the STB, the Contractor must ensure that each file is 99% accurate based on records meeting the Phase II Required waybill modifications below and the quality assurance checks in Appendix B of this statement of work.

3.B.i. Required Waybill Modifications for Phase II

After receiving the Confidential Waybill Sample, for Phase II, the Contractor shall complete the miling and modification process described below:

Factoring of cars, tons, and revenue by stratum—The Contractor shall evaluate expansion factors (field 88 in the 900-byte record layout), especially for traffic with greater than 1/3 sampling rate, including crude oil and ethanol traffic.

Correcting FSACs, SPLCS, Carriers and Rule 260 Junction Alphas—The

Contractor shall correct any incorrect origin and termination FSACs, SPLCs, carriers, Rule 260 junction alphas. The Contractor shall translate SPLCs and

Rule 260 junction alphas so that traffic may be assigned to the network model for analysis.

Individual and Total Route Mileage—The Contractor shall compile individual and total route mileage for each waybill by routing traffic on railroad networks between on-points and off-points using a routing formula acceptable to the

Government that uses data from actual rail movements and/or is designed to model actual rail movements. The Contractor shall be provided with the annual

FRA North American Rail Network (NARN) for the waybill cycle in the initial period of performance and any option year. All proposals for Phase II must include a detailed description of the methodology, models, and data sources that the contractor intends to use to calculate route mileage. The Government will evaluate miling proposals based upon their reliability, compatibility with prior miling estimates, and documentation.

Invalid Reported Routes and Missing Rule 260 Junction Alphas—For Phase II, the Contractor shall correct invalid reported routes and missing Rule 260 junction alphas, such as a missing overhead carrier between railroads with no common interchanges.

Redundant Overhead Carriers and Interchanges—The Contractor shall correct redundant overhead carriers and interchanges.

Calculation of Short-Line Miles—The Contractor shall calculate short-line miles by routing traffic on railroad networks between on-points and off-points using a minimum distance routing formula.

Division of Waybill Revenue— The Contractor shall allocate the total revenue on a waybill record to the carriers involved in each movement by multiplying the total revenue by each carrier's share of the total number of 100-mile blocks in the movement, where the originating and terminating carriers each receive credit for an additional block. The revenue split algorithm will be provided to the

Contractor by the STB.

Translation of the STCC and SPLC codes—The Contractor shall translate STCC code containing hazardous materials codes (49 series) and bulk commodities codes (50 series) to the product class STCC code (excluding the 49 and 50 series codes). The Contractor shall also translate SPLC codes to state, province of

Mexican estado (state) alphas, Bureau of Economic Analysis areas, freight territories, freight rate areas, Standard Metropolitan Statistical areas (SMSA) and

Federal Information Processing Standard (FIPS) codes.

The Contractor shall add state through flags, indicating the states through which a waybill route travelled.

Enhancement of Intermodal Records—The Contractor shall enhance intermodal and potential intermodal records by checking car types versus TOFC-Serv_Code, TC-Units, TC_Init and TC-Num fields.

Determination of Service Type Codes—The Contractor shall add the applicable service type codes (e.g., intermodal, bulk/coal, autorack and general merchandise).

Disaggregation of CN and CPRS—The Contractor shall disaggregate CN and

CPRS in the waybill sample into separate U.S. and Canadian portions. For ease of identification, the railroad alphas for the U.S. portions are to be changed to CNUS and CPUS respectively. The reported routes are to be modified to include junctions between the US and Canadian portions.

Prior to the submission to the STB of the Phase II Confidential Waybill File deliverable, the Contractor Quality Assurance Analyst shall provide a quality assurance log including details of the quality assurance checks and the record accuracy percentage of the sample and certify in writing to the STB that s/he has reviewed the deliverable for completeness and correctness using the following quality assurance checks in Appendix B of this statement of work. A record is accurate for purposes of tallying the sample’s accuracy percentage when all of that record’s field values are valid according to the standards set forth in Appendix B.

3.B.ii. Creation of the Public Use Waybill File

Once the STB has received a complete and corrected Phase II Confidential Waybill File from the Contractor, the STB will add costs to the waybill and return the costed

Confidential Waybill Sample to the Contractor. The Contractor shall then create the

Public Use Waybill File.

The Public Use Waybill File—The Contractor shall create the Public Use Waybill File from the 900-byte Confidential Waybill Sample File. The Information needed for the

Contractor to create the Public Use Waybill file will be identified in the 247 Byte Public

Use Record Layout (See Attachment A). The Contractor shall have 10 business days from receipt of the costed Confidential Waybill Sample to create the Public Use Waybill

File and submit it to the Government for review. Once the Government has accepted the

File in writing, the processing of the waybill for the previous year is complete.

Prior to the submission to the STB of the Phase II Public Waybill File deliverable, the

Contractor Quality Assurance Analyst shall provide a quality assurance log including details of the quality assurance checks and the record accuracy percentage of the sample and certify in writing to the STB that s/he has reviewed the deliverable for completeness and correctness using the quality assurance checks in Appendix B of this statement of work. A record is accurate for purposes of tallying the sample’s accuracy percentage when all of that record’s field values are valid according to the standards set forth in

Appendix B.

3.C. Documentation and Industry Reference Files Requirements (Phases I and II)

For both Phase I and Phase II, the Contractor shall provide to the Government all documentation and Industry Reference Files necessary to use the files produced pursuant to this SOW, as specified in the Section 4 Deliverables below. The documentation is required in machine readable form.

3.D. Project Review Meetings and Travel Requirements (Phases I and II)

For both Phase I and Phase II, the Contractor shall provide in-depth briefings on the status of the waybill processing for Government personnel. These meetings will be scheduled at the request of the Government or the contractor and will be held at the STB or FRA (or via telephone or videoconference if the Government consents). The

Government anticipates one meeting each month during Phase I and three meetings during Phase II, but the Contractor may require additional meetings if necessary. The meetings will cover, among other things:

1. Any key events occurring since the last review meeting.

2. A briefing from the Quality Assurance Analyst summarizing the Contractor’s ability to meet the quality assurance standards set forth in this Statement of Work.

3. Any problem area and the Contractor’s proposal for resolving the problems, including any previous actions by the Contractor and any actions that the

Contractor believes only the STB can take.

4. A review of all railroads that are delinquent and/or failing to submit data under the required sampling procedures. The Contractor shall outline the specific steps it has taken to collect the data and outline future steps for correcting reporting problems.

5. Other items as may be required to assure the success of the waybill processing.

4. Deliverables

Phase I Deliverables

The Contractor Shall deliver the following:

Monthly and Quarterly Deliverables—The Contractor shall provide the STB monthly and quarterly waybill data submissions (excluding the data in fields numbered 18, 24, 89, 97-119, 122-131, 134, 138-141, 145-152, 155-156, and 180-191) and reports.

STB regulations require railroads to submit waybill data on a monthly or quarterly basis, within 60 days of the end of the reporting period. There are six Class I railroads that currently elect to submit their waybill data on a monthly basis, and 46 railroads that submit on a quarterly basis – all currently do so electronically via secure electronic file transfer protocols. Railroads that submit data on a monthly basis generally submit waybill data shortly after the end of the month; quarterly reporting railroads generally submit waybill data shortly after the end of the end of the quarter. Accordingly, the timelines in this SOW are tied to the Government’s expected delivery of waybill data from the railroads.

The Phase I monthly waybill submission from the Contractor to the STB will include waybill data from those railroads that submit their waybill data on a monthly basis and the Phase I quarterly waybill submission will include waybill data from all submitting railroads. The Contractor shall submit this data as follows: (i) for the monthly submission, on the first day of the second month after the end of the month (for example if the end of the reporting month is March 31, then the contractor submits the monthly data to the STB on May 1); and (ii) for the quarterly submission, on the first day of the second month after the end of the quarter (for example if the end of the reporting quarter is March 31, then the contractor submits the quarterly data to the STB on May 1). Along with the waybill data, the Contractor should provide the STB with the report including the Attribute Transaction File as described above.

The Contractor’s Phase I monthly and quarterly reports to the STB must contain the following:

A. Summary of waybill processing by individual railroad—The Contractor must document the volume of waybills received for the month or quarter, the number of these waybills processed a list of waybills received and not processed as well as the reason for not processing them and the cumulative number of waybills processed to-date.

B. Delinquent Railroads—The Contractor must list those railroads which are technically late with their initial or corrected submissions. The STB expects the Contractor to work closely with their railroad points of contact to collect this information. The Contractor is expected to identify the steps taken to correct the problem, including copies of all correspondence. The STB may intervene with those railroads not in compliance with waybill reporting requirements (and take what actions it deems appropriate).

C. Problems Requiring STB Action—The Contractor shall advise the STB of problems or potential problems in collecting the waybill sample.

D. Errors Analysis and Corrective Action—The Contractor shall explain the contents of the attribute transaction file described above.

E. Process Improvement Update—The Contractor shall provide the STB with the status of any project that the contractor is undertaking to improve the process of the waybill sample.

Phase I Annual Deliverables—The Contractor shall prepare and deliver to the STB the following reports, tables, and files:

The Final Report—The Contractor shall deliver to the STB the final report including the last Phase I monthly and quarterly submissions. The Contractor’s final report must contain at a minimum the following:

1. Annual Interim Confidential Waybill File – The 445-byte annual interim waybill file.

2. Summary of Waybill Processing—documenting by the railroad the volume of waybills received and each railroad’s submission methods.

3. Delinquent Railroads— listing those railroads which are technically late with their initial or corrected submissions.

4. Data Exceptions—Report all exceptions and provide statement of position for each exception reported pursuant to format in prior year Reference Guides available on the STB’s website. Provide tables detailing all known data exceptions and sampling deviations in the current waybill sample.

5. Error Analysis and Corrective Action—a summary of the waybill attribute file broken down by individual railroad.

6. Waybill Contact Mailing List—an updated list containing the contact information of those railroad officials (by railroad) responsible for submitting the waybill sample.3

7. Final Waybill Record Layout and Data Element Descriptions—detailing the final waybill record, describing the data elements, and defining the error flags.

Each item in the Confidential Annual Interim Waybill File must be numbered.

All numbered items must match the item number used in the data element description.

8. Documentation and Industry Reference Files—all documentation necessary to use the files. The documentation is required in computer readable form. The required documentation must include but is not limited to the following:

a. Standard Transportation Commodity Code Directory

b. Directory of Hazardous Material Shipping Descriptions

c. Freight Station Accounting Code Directory

d. Official Railroad Station List

e. The Official Railway Equipment Register

f. Centralized Station Master (CSM)

g. A list of all railroads in the sample (originating, terminating, or bridge) with the reporting marks used by those carriers.

h. Railway Accounting Rules (including ISS Rules)

3 The Contractor shall keep this list current by contacting each submitting railroad at least once per year to confirm the railroad’s point of contact.

i. A Reference Guide containing information about the Confidential Waybill

Sample (following the format of prior Reference Guides), This item is to be acquired through the STBafter Phase II.

Phase I Delivery Schedule Applicable to Base Period and All Options.

Title Government Contractor

Quarterly/Monthly Waybill

Data Submissions and

Quality Analyst’s certified quality assurance log.

No later than 31 days after the end of the quarter/month.

Monthly Reports and Quality

Analyst’s certified quality assurance log.

No later than 31 days after the end of the month.

Quarterly Reports and Quality

Analyst’s certified quality assurance log.

May 1, August 1, November 1, February 1

Completed Final Annual Report and Quality Analyst’s certified quality assurance log.

February 1

Supplemental Error Correction

& Resubmission of Final

Annual Report and Quality

Analyst’s certified quality assurance log.

February 2 – June 1

Completed Documentation and Industry Reference Files and Quality Analyst’s certified quality assurance log.

June 1

All Phase I Deliverables must be accompanied by the Quality Analyst’s certified quality

Phase II Deliverables

The Contractor shall deliver the following:

Miling and Modifying the Waybill Sample—Upon receiving the Confidential

Annual Interim Waybill Sample File from the STB, the Contractor shall supply the remaining information to the Confidential Waybill Sample by adding or correcting the fields specified in Section 3 and returning the file to the STB according to the delivery schedule appearing in the table below.

Creating the Public Use File—Once the STB has received the Miled and Modified

Waybill Sample from the Contractor, the STB will cost the Confidential Waybill File.

After the STB has costed the Confidential Waybill File and returned the costed file to the

Contractor, a process that typically takes between 15-30 days, the Contractor, within 10 business days, shall create the Public Use Waybill File and submit it to the Government for acceptance.

In addition, the Contractor shall include in its deliverables an annual Reference

Guide containing a technical description of the methodology and sources used to derive the miling data as well as a description of the modifications to the Public Use Waybill

Sample made by the Contractor (following the format of prior Reference Guides).

Phase II Delivery Schedule Applicable to Base Period and All Options

Title Government Contractor

Confidential Waybill Sample File sent to the Contractor and Quality

Analyst’s certified quality

Approx. June 2

Completed Miled and Modified

Waybill Sample and Quality

July 2 (or 30 days after receipt of the Phase I waybill file).

Costed Waybill Sent to the

Contractor and Quality Analyst’s certified quality assurance log.

Approx. November15

Completed Public Use Waybill File and Quality Analyst’s certified quality assurance log.

December 1 (or 10 days after receipt of costed waybill)

Completed Reference Guide, Documentation and Industry

Reference Files and Quality

December 31

All Phase II Deliverables must be accompanied by the Quality Analyst’s certified quality

Additional Tasks—with respect to either Phase I or Phase II, the FRA and the STB may exercise options tasks to conduct additional modeling, data collection, and data analysis, that are distinct and apart from the tasks and deliverables otherwise described in this statement of work, in amount not to exceed 100 hours of additional work per year, unless the contractor agrees to more hours in writing.

Delivery Instructions—all reports, documentation, and or other deliverables required under this contract will be delivered electronically to the STB at Pedro.Ramirez@stb.gov:

Pedro Ramirez

Project Liaison

Office of Economics

Surface Transportation Board

395 E St. S.W.

Washington, D.C. 20423

Specified publicly accessible reports, documentation, and or other deliverables required under this contract will be delivered electronically to the FRA at

Chris Coutin@dot.gov

Federal Railroad Administration

Office of Chief Financial Officer

1200 New Jersey Ave. S.E.

Washington, D.C. 20590

5. Period of Performance

The contract will consist of a single award Blanket Purchase Agreement (BPA) with a 5-year ordering period. The period of performance (POP) for Phase I task orders will be approximately 18 months, and the POP for Phase II task orders will be approximately 6 months.

The initial Phase I task order is included with the BPA solicitation. The initial firm-fixed price (FFP) task order will be fully-funded with FY2027 funds from each of the STB and

FRA to meet the Government’s need for a complete Phase I STB Confidential Waybill

Sample for calendar year 2027.

The Government anticipates that Task Orders will follow this schedule:

• Initial Task Order POP starting 1 Jan. 2027 and ending 6/01/2028;

• Task Order 2 POP starting 2 June 2028 and ending 12/31/2028;

• Task Order 3 POP starting 1 Jan. 2028 and ending 6/01/2029;

• Task Order 4 POP starting 2 June 2029 and ending 12/31/2029;

• Task Order 5 POP starting 1 Jan. 2029 and ending 6/01/2030;

• Task Order 6 POP starting 2 June 2030 and ending 12/31/2030;

• Task Order 7 POP starting 1 Jan. 2030 and ending 6/01/2031;

• Task Order 8 POP starting 2 June 2031 and ending 12/31/2031;

• Task Order 9 POP starting 1 Jan. 2031 and ending 6/01/2032;

• Task Order 10 POP starting 2 June 2032 and ending 12/31/2032.

While the period of performance for Phase I is 18 months for a Confidential Waybill

Sample, the Government only commits to funding one year at a time, with task orders issued by the Government for funding performance each subsequent fiscal year. By way of explanation, the initial task order for the calendar year 2027 Confidential Waybill

Sample cycle will be fully-funded for the firm fixed price, and the performance extends from January 1 of 2027 through the completion of the Confidential Waybill Sample cycle deliverables fulfillment the following year (i.e., June 1, 2028 or 18 months). On or about

June 2, 2028, FRA would then issue a task order to fully-fund the Phase II Public Use

File with available funds (i.e., FY2028 funds). Thereafter, each task order for a calendar year Confidential Waybill Sample cycle, if issued and awarded, will be funded subject to appropriation for the fiscal year in which the waybill collection begins. For example, calendar year 2028’s Confidential Waybill Sample effort begins in fiscal year 2028 and would be fully-funded with available fiscal year 2028 funds. Performance on a calendar year waybill task order will begin on January 1 of the particular ordering period year and carry through into the next calendar year (i.e., an 18 month period of performance) until the complete fulfillment of the waybill cycle deliverables for that calendar year. Phase II for calendar year 2028’s Confidential Waybill Sample effort begins in June of 2029 and would be fully-funded with available fiscal year 2029 funds.

6. Order Type and Limitation of the Government Obligation

This is a single award, 5-year BPA with a fixed price task order structure.

As a BPA, no Government money is obligated until a task order is issued and awarded.

Each of the Phase I STB Confidential Waybill Sample and the Phase II final Public Use

File, are a non-severable project meeting the Government’s bona fide need for the applicable fiscal year when the applicable Phase starts (i.e., January 1 for Phase I, and

June of the subsequent fiscal year for Phase II). As each Phase is a non-severable project, the Government must fully-fund each Phase with funds available from the fiscal year when the Phase begins. When the Government obligates annual funds for a non-severable project, the Government has up to five years to disburse payments for performance before the funds cancel.

Nothing in this contract shall be construed to require, authorize, or permit performance that would obligate the Government in advance or in excess of available appropriations, or otherwise violate the Anti-Deficiency Act.

7. Payment

Phase I Payment

The Government will pay the Contractor for Phase I of the contract based on the following milestones:

Each Monthly and Quarterly Data/Report – 4% of total Phase I contract value (for a total of 64%);

Annual Data/Final Report Acceptance by Government After Supplemental Error

Correction– 25% of total Phase I contract value;

Documentation & Industry Reference Files Acceptance by Government – 11% of total Phase I contract value.

For each Phase I deliverable not meeting the 99% accuracy standard stated above, the Contractor shall forfeit 5% from the amount invoiced for that deliverable once it has been submitted to and accepted by the STB.

Phase II Payment

The Government will pay the Contractor for Phase II of the contract based on the following milestones:

Miling and Modifying the Waybill Sample Acceptance by Government – 34% of total Phase II contract value;

Public Use File Acceptance by Government – 33% of total Phase II contract value

Documentation & Industry Reference File Acceptance by Government – 33% of total Phase II contract value.

For each Phase II deliverable not meeting the 99% accuracy standard stated above, the

Contractor shall forfeit 5% from the amount invoiced for that deliverable once it has been submitted to and accepted by the STB.

8. Confidentiality of Information

Work under this contract requires that the Contractor be given access to confidential or proprietary business, technical and financial information belonging to other parties or the

Government. Consistent with the STB’s statutory obligation under 49 U.S.C. 11904 and any other applicable law, the contractors, upon gaining access to such information, will treat this information as confidential and agree not to appropriate such information to its own use or to disclose such information to third parties unless specifically authorized by the STB in writing. The foregoing obligations shall not apply to work that is in the public domain or becomes part of the public domain after the contractor has received it, but through no action of the contractor. The Contractor shall obtain from each of their employees working on this engagement a written agreement not to discuss, divulge, or disclose any confidential information or data to any person or entity except those persons within the contractor’s organization who themselves have signed a similar written agreement and are directly involved with the performance of this contract. In addition, the Contractor must secure from the STB approval of these confidentiality agreements.

The Contractor shall not produce any reports or make any special computer runs which require the use of the…