Circular OT-5 Internet Application User Guide

Transcription

1 Circular OT-5 Internet Application User Guide 7001 Weston Parkway, Suite 200 Cary, North Carolina Copyright 2009 Railinc. All Rights Reserved. Last Updated: June 2009

2 Table of Contents Welcome to the Circular OT-5 Internet Application... 1 System Overview... 1 Recent Updates... 1 What will look different?... 2 How will the product be different?... 2 OT-5 Dashboard... 3 System Requirements... 4 Getting Started... 4 User Roles... 5 System Notes... 6 General Business Rules... 6 Railinc Customer Support... 7 Managing Multiple Companies... 8 Selecting Company to Manage... 8 Changing to another Company to Manage... 9 Creating an OT-5 Pre-Authorization Application Creating an OT-5 Application Querying OT-5 Applications Exporting Search Results into a CSV File Approve/Reject Applications Railroads Only Links Circular No. OT-5-K List of Exhibits Exhibit 1. OT-5 Application Tabs (Part 1, Part 2 and Equipment Information)... 2 Exhibit 2. OT-5 Dashboard Page (Submitter)... 3 Exhibit 3. OT-5 Dashboard Page (Approver)... 4 Exhibit 4. SSO Circular OT-5 Add Permission... 5 Exhibit 5. Select Company to Manage... 8 Exhibit 6. Dashboard for Selected Company... 9 Exhibit 7. New OT-5 Pre-Auth. Application (Part 1) Exhibit 8. New OT-5 Pre-Auth. Application (Part 2) Exhibit 9. New OT-5 Application (Part 1) Exhibit 11. Loading Location Contacts Exhibit 10. New OT-5 Application (Part 2) Exhibit 12. New OT-5 Application (Equipment Information Tab) Exhibit 13. Example of Approved Application Notification Exhibit 14. Example of Rejected Application Notification Exhibit 15. Search OT-5 Application Exhibit 16. Search Results OT-5 Application Exhibit 17. View OT-5 Application Exhibit 18. Edit OT-5 Application Exhibit 19. Open OT-5 CSV File Dialog Box Exhibit 20. CSV File Opened in Excel i 06/09

3 Exhibit 21. Example of Submitted Application Notification Exhibit 22. Approve/Reject OT-5 Application Exhibit 23. Links Menu ii 06/09

4 Welcome to the Circular OT-5 Internet Application System Overview Recent Updates Welcome to the Circular OT-5 Internet Application. This interface provides a secure database to store OT-5 Applications submitted by Car Owners/Shippers for privately marked freight cars that are not leased to individual railroads as defined in the Umler Lessee Field in Umler. Users may access the AAR Circular OT-5 Rules Governing Assignment of Reporting Marks and Mechanical Designations application electronic form along with an contact list to exchange the completed forms between car owner/shipper submitters and railroads. The use of a secure and confidential OT-5 database assists all parties in a collaborative effort to ensure growth needs are met while protecting railroads network viability. Under existing OT-5 business rules private equipment may be loaded at various authorized shipper locations, and on more than one railroad. The leveraging of other applications such as EMIS and RAMPED, offers both railroads and car owners/shippers the ability to accurately define equipment subject to OT-5 authority, as well as a ready means to move equipment that fall outside of empty reverse routing when empty to another authorized loading location. The centralized application makes use of the Railinc Industry Reference Files (IRF) and the data in the Umler/EMIS File to validate that the cars being submitted in the application are registered in the file, and have no critical errors associated with the registration. The use of the Industry Reference Files (IRF) offers validation of loading locations, shipper name and address information, and commodity information. Here are updates that are included in the June 2009 release of the OT-5 Application: Allowing the resubmission of loading locations within an application even if all loading locations have not had action taken against them. With this new feature, an application can be resubmitted to the requesting parties even if one of the locations is in submitted status. Applications can now be resubmitted to individual carriers rather than submitting to all parties on the application at one time. Comments can now be entered specifically for a carrier. An expiration date and effective date can be entered for each loading location group to accommodate each carriers needs. The application will not carry an effective and expiration date at the global level and will be available at the local level in loading locations. 1 06/09

5 What will look different? New logic in the commodity section no longer checks to see if the 28, 29 series STCC is bridged to a Hazmat 48, 49 STCC. The new logic will allow the submission even if the 28, 29 is bridged; the old logic would not allow and force the use of the hazmat 48, 49 STCC. The most noticeable change is how the system looks when creating a new application or editing an existing application. The application is now split into two parts. The system shows three tabs: Part 1, Part 2 and Equipment Information. Exhibit 1. OT-5 Application Tabs (Part 1, Part 2 and Equipment Information) Part 1 of the application includes the main functions of the application: Entry of equipment Entry of STCC Entry of loading locations Part 2 contains: Submitter information Controlling entity information Comment field Application-Carrier Information The new section Application-Carrier Information will now allow the submitter to enter an effective date and expiration date for each carrier, and will also allow the entry of secure comments to the origin carrier. Equipment Information remains unchanged. How will the product be different? When editing an existing application under Part 1, a submitter can add additional loading locations; and, under Part 2, the submitter can enter comments specifically for each carrier and decide to resubmit to specific carriers, or all origin carriers at the same time (if the submit button is clicked). The Circular OT-5 user will be able to navigate from any of the tabs by clicking on the desired tab. Moving from tab to tab will not validate data. The data entered will only be validated on submission. If the system finds an error, the 2 06/09

6 OT-5 Dashboard system will take you to the applicable tab to correct the error. To validate Part 1 data, click on the submit button; if no errors occur, the system will prompt the user to enter any missing values on Part 2. The application can be submitted at anytime by clicking the submit button at the bottom of the page. The validation will look at both part one and part two of the application. On resubmission if the submit button is clicked the application will be resubmitted to all available carriers. If the need is to only submit to a specific carrier then the resubmission button next to the carrier in Part two should be used. For this release the submitter will only be able to resubmit to one carrier per resubmission. Below is the Circular OT-5 Dashboard Page. It is displayed immediately following a successful login to the system. From here you may select to work with one of the saved applications by using the displayed status links (approved, draft, etc.). You may also perform any of the other system functions by using the options on the application menu. The Dashboard appears slightly different depending on your role: submitter (see Exhibit 2), approver (see Exhibit 3), or reviewer. Exhibit 2. OT-5 Dashboard Page (Submitter) Additional menu options to create applications are only available to submitters. 3 06/09

7 Exhibit 3. OT-5 Dashboard Page (Approver) System Requirements Getting Started The OT-5 System requires a web browser to display its data. Most computers have Internet Explorer or Mozilla Firefox installed. To ensure optimum performance of the system, use a recent version of a supported browser. Here is where you may download Internet Explorer: Here is where you may download Firefox: To use the OT-5 System you must first register through Railinc Single Sign On (SSO). After your registration has been processed, you will be able to log on with your designated user id and password. Here is where to access Railinc Single Sign On (SSO): Detailed quick-start instructions for getting setup to use the OT-5 system are available in a document provided at the following link: This document, Getting Setup for: Circular OT-5, explains how to access the system, including how to establish a user profile in SSO. 4 06/09

8 User Roles Additionally the quick-start instructions explain how to setup a profile and how to access FindUs.Rail. If you are a line haul carrier employee who will be reviewing and/or approving Circular OT-5 preauthorizations or applications, you need to be setup in FindUs.Rail with your contact information. Within FindUs.Rail there is a Circular OT-5 approver/reviewer setup per line haul carrier and per equipment type. If this contact is not setup then your company will not receive a notification that an OT-5 preauthorization or application has been submitted for your approval. User roles are assigned through the Single Sign On interface. Exhibit 4. SSO Circular OT-5 Add Permission Here is an overview of permission levels assigned to users of the OT-5 system. Submitter submit OT-5 applications for yourself or on behalf of others; typically this role is assigned to shippers, car owners and lessees. This includes the right to submit both pre-authorization and regular applications. Companies that will be loading private equipment will submit Circular OT-5 applications and/or pre-authorizations to the line haul carrier for approval to load the equipment. Reviewer enter comments on an OT-5 application submitted for approval; used by railroad personnel reviewing an application. The 5 06/09

9 System Notes reviewer role will allow the Circular OT-5 user to add comments to an application or pre-authorization application. The reviewer role will not have the ability to approve an application or pre-authorization. Approver approve/reject OT-5 applications submitted for approval; used by railroad personnel to approve/reject applications. Each line haul carrier may have multiple approvers and reviewers. It is recommended that each line haul carrier set up a primary and a backup approver. All screen fields in red (also marked with an asterisk *) are mandatory. Items that do not have an entry box next to them are display only and will be populated as the mandatory data is entered. Field definitions for mandatory fields are available when the mouse hovers over the field name. Interface fields that do not have an entry box next to them are displayonly and will be populated as mandatory data is entered. Throughout the system you will see a magnifying glass icon next to certain fields. You may click the magnifying glass to search for valid data for the corresponding field. Industry Reference File data lookups also use (*) wildcarding to assist users in looking up data. The system will be available 24/7 except for scheduled maintenance. General Business Rules Here are some general rules regarding the OT-5 System. The following entities will have access to create an OT-5 Application: Car Owners, Lessees, Shippers, and approved agents/third parties. Single Sign On rights must be granted that allows access to the OT-5 system. Only railroads approve or deny a submitted application; and only for an application submitted to them where they are the originating or serving carrier. Information on a freight car s age will not be available. Cars that are overage will not be allowed to be added to an application. A freight car may only be on one active OT-5 at a time for a specific carrier. Information listed in an application it must be valid; the Railinc Industry Reference Files will be used for validation. 6 06/09

10 Railinc Customer Support An OT-5 application can only stay in affect for up to ten years. If there is a change to CIF, Umler, or CSM details (such as an FSAC) on an approved application, the system will automatically create a change to the application in draft status for review and submission by the submitter. Notification will be sent to the submitter after 45 days and again after 60 days if the application has not been approved. After 60 days the application will be automatically approved to reflect the removal of the invalid CIF, FSAC or equipment. When an application is submitted, a tickler is sent to the approver informing that an application is available for review. Expired OT-5 applications will be retained for seven years. Applications can be resubmitted even if all loading locations have not had action taken against them. With this feature, an application can be resubmitted to the requesting parties even if one of the locations is in submitted status. Applications can be resubmitted to individual carriers rather than submitting to all parties on the application at one time. Comments can be entered specifically for a carrier. An expiration date and effective date can be entered for each loading location group to accommodate each carrier s needs. The application will not carry an effective and expiration date at the global level and will be available at the local level in loading locations. Logic in the commodity section will not check to see if a 28, 29 series STCC is bridged to a Hazmat 48, 49 STCC. The system will allow the submission even if the 28, 29 is bridged. The Railinc Customer Support Center (CSC) is a free service to OT-5 users and is operational twenty-four hours a day, every day of the year. Users are invited to call or csc@railinc.com at any time to report problems accessing OT-5. Password, User ID and other issues related to access will be solved as soon as possible. System or testing issues will normally be addressed during regular business hours, but should be brought to Railinc s attention when experienced. 7 06/09

11 Managing Multiple Companies The OT-5 System allows users to manage more than one company. Selecting Company to Manage After you have successfully been set up in Railinc s Single Sign On with the appropriate role assigned, you can then manage more than one company. To do this you must first select the company that you want to manage when you logon. If you re involved with a single company, you can request authorities or access based on your role. If you re involved with more than one company you can request access based on the role for each company you provide services for to manage OT-5 applications. Note: After selecting a listed company, you will only see and can manage information for that selected entity. Here is how to select the company that you want to manage. 1. Log on to the OT-5 System. The Select Company to Manage page is displayed. Exhibit 5. Select Company to Manage 2. From the Company drop-down, select the company that you want to manage. 3. Click OK. The Dashboard page for the selected company is displayed allowing you to manage that company. 8 06/09

12 Exhibit 6. Dashboard for Selected Company Indicates the company that you are managing. Changing to another Company to Manage You can change the company that you are managing at any point while using the OT-5 System. 1. Click the company link as indicated in Exhibit 6. Dashboard for Selected Company. The Select Company to Manage page is displayed (see Exhibit 5). 2. Perform the steps to select a company (see Selecting Company to Manage). 3. If you cannot find the company Standard Carrier Alpha Code (SCAC) in the dropdown list, contact Railinc Customer Service Center at csc@railinc.com or call for assistance. 9 06/09

13 Creating an OT-5 Pre-Authorization Application While not a required step, you may want to receive pre-authorization approval before submitting a completed OT-5 application for approval. This step allows you to communicate your intention of requesting authorization for loading authority for rail equipment to be used on the origin carrier for planning purposes. Please note the following regarding the creation of pre-authorization OT-5 applications: The following entities will have access to create an OT-5 preauthorization application (or an application): Car Owners, Lessees, Shippers, and approved agents/third parties. Single Sign On rights must be granted that allows access to the OT-5 system. Railroads are the only entities that may approve pre-authorization applications (or applications). Railroads must enter their approvers in FindUs.Rail in order to be notified that an application is pending their approval. If no approvers are found for the specified Origin Carrier, a message will be displayed and an will be sent to Railinc. The submitter will need to work with Railinc to assure that the approver is identified and added to the system. Pre-Authorization applications do not require complete loading location information to be entered. The Origin Carrier is the only mandatory field in this section. Pre-Authorization applications are only valid for six months. Equipment Initial and Number are not mandatory on a Pre-Authorization Application. However, if the specific car numbers are not known, please enter as much information as possible in the General Physical Attributes field. You may save a Pre-Authorization application as a draft and then later go back in and update the information into a regular Application. You can then submit the Application to the appropriate parties for review via /09

14 Here is how to create an OT-5 Pre-Authorization Application. 1. From the application menu, select Create Pre-Authorization. The New OT- 5 Pre-Auth Application page is displayed with the input fields for Part 1. Exhibit 7. New OT-5 Pre-Auth. Application (Part 1) 2. Complete the available input fields. The required fields are described below. Equipment Type The specific equipment type (boxcar, hopper, etc.). Assign only one equipment type per application from the dropdown menu. Equipment Count The specific count of equipment associated with the identified Equipment Type. The limitation in this entry field is up to 500 freight cars per application. Note: Equipment information will be retrieved upon submission and may be viewed by clicking on the Equipment Information tab at the top of the application. Originating Carrier The origin Carrier (Railroad). If the origin Carriers SCAC is not known please click on the magnifying glass to use the lookup. To enter additional loading locations, select the Add button in the Loading Locations section. 3. As needed, click the Part 2 tab to display and complete additional input fields /09

15 Note: An expiration date and effective date can be entered for each loading location group to accommodate each carriers needs. Exhibit 8. New OT-5 Pre-Auth. Application (Part 2) 4. Perform one of the following actions. a. Click Save As Draft to save the new OT-5 pre-authorization application in draft status. If successful, a message is displayed with the newly assigned draft application number. You will receive specific error messages for any mandatory fields that are left blank or that contain unrecognizable data. b. Click Submit to submit a completed new OT-5 pre-authorization application. If successful, a message is displayed with the newly assigned application number and an indication that an has been sent to the approver. c. Click Turn Into Application to transfer the information entered on the pre-authorization application into an actual OT-5 application (see Creating an OT-5 Application). This function should be used at the point in time that a submitter is ready to complete an OT-5 application for railroad approval, with the additional data needed by the railroad to complete its approval process /09

16 d. Click Cancel to cancel the creation of the OT-5 Pre-Authorization Application. Creating an OT-5 Application Here is how to create an OT-5 Application for approval for potential use of private freight cars at specific loading location on a railroad. Note: Applications are effective for up to ten years. 1. From the application menu, select Create Application. The New OT-5 Application page is displayed with the input fields for Part 1. Exhibit 9. New OT-5 Application (Part 1) 2. Complete the available input fields. The required fields are described below. Equipment Type The specific equipment type (boxcar, hopper, etc.). Assign only one equipment type per application. Use the dropdown to select the car type. Equipment Count The number of equipment that is entered into the application. The count must equal the number of equipment entered in the Equipment Numbers/Range field. The limitation in this entry field is up to 500 freight cars per application. If submitting a range of equipment and the number actually available in Umler is less than the specified count, then an error is displayed and the range is corrected to 13 06/09

17 identify that missing equipment. You would need to correct the count so that it matches the actual available equipment and resubmit the request. Note: Equipment information will be retrieved upon submission and may be viewed by clicking on the Equipment Information tab at the top of the application. Subject cars will be in compliance with applicable AAR and governmental mechanical, safety and security requirements. Advisories and action items will satisfy the OT-5 safety and mechanical requirement. This box must be checked to confirm compliance with applicable requirements. STCC The entry of STCC (commodity code) information. If the STCC is not known please click on the magnifying glass to use the lookup. The software provides the use of (*) wildcarding to help the user look up commodity information. To enter multiple STCCs, users may select many commodity codes from the lookup or may enter them individually by clicking the Add button in the commodity section. Originating Carrier The origin Carrier. If the origin Carriers SCAC is not known, click on the magnifying glass to use the lookup. FSAC Station Freight Station Accounting Code of the origin Carrier. If the FSAC is not known, click on the magnifying glass to use the lookup. The software provides the use of (*) wildcarding to help the user look up station information. If the Origin Carrier is entered prior to clicking the magnifying class, the service will auto-populate with this information. CIF Number The entry of the Customer Identification File number for the loading location. If the CIF is known, enter the 9 character CIF number. If the CIF is not known, click on the magnifying glass to use the lookup. The software provides the use of (*) wildcarding to help the user look up commodity information. Note: If you do not find the company you are looking for, you may request a CIF number by ing CIF@Railinc.com and include the company name, address and phone number. A response typically takes one business day Monday Friday from 8:00 am to 5:00 pm. 3. Click the View Contacts button underneath Loading Location to view full contact information for the listed contacts. Exhibit 10. Loading Location Contacts 5. Click the Part 2 tab to display and complete additional input fields /09

18 Exhibit 11. New OT-5 Application (Part 2) Effective Date The date the application is effective. The system defaults to the current date. Expiration Date The date the application will expire. Date cannot be greater than 10 years after the effective date. Note: An expiration date and effective date can be entered for each loading location group to accommodate each carriers needs. Controlling Entity The party responsible for providing disposition on equipment. Select the Save as Submitter check box if the creator of the application and the controlling entity are the same. The input fields are automatically populated. 4. Click the Equipment Information tab. The New OT-5 Application (Equipment Information tab) is displayed listing details of the equipment included in the application /09

19 Exhibit 12. New OT-5 Application (Equipment Information Tab) 5. As needed, click either the Part 1 or Part 2 tab to return to that portion of the New OT-5 Application page. 6. Perform one of the following actions: a. Click Save as Draft to save the new OT-5 application in draft status. If successful, a message is displayed with the newly assigned draft application number. b. Click Submit to submit a completed new OT-5 application. If successful, a message is displayed with the newly assigned application number and an indication that an has been sent to the approver. Your information selected for mandatory field (identified as red text), must pass editing rules and be valid entries in the Railinc Industry Reference Files for MARK, FSAC, STCC and CIF Files. Freight cars entered will be validated against Umler. This process will check to make sure that the equipment actually exists in Umler and if the specified equipment type matches. This process also validates that the specified equipment isn t already assigned to another application. Once an application is submitted, an is sent to the FindUs.Rail approvers for the submitting origin road. When it has been approved, an is returned like the following /09

20 Exhibit 13. Example of Approved Application Notification If the application is rejected, then an like the following is sent back. Exhibit 14. Example of Rejected Application Notification c. Click Cancel to cancel the creation of the OT-5 application. This button can be clicked any time prior to the actual submission of the application for approval by the railroad. Using this button does not save your work in draft, instead the Save as Draft button should be used if you intend to save your work and return to the application at another time /09

21 Querying OT-5 Applications Here is how to search for OT-5 Applications. 1. From the application menu, select Search. The Search OT-5 Application page is displayed. Exhibit 15. Search OT-5 Application 2. Complete one or more of the available input fields. App. Reference Number the number automatically assigned to an application when it was created. Old App. Reference Number if a road uploads data it will have their original application number on it, available as a search option. Equipment Range/Number specific equipment initial and number or range of equipment. Here are sample acceptable formats: ABCX , AAAX1, CCCX1-CDDX11, XX , EEEX1- EEEX11, MMMX4-73). Originating Carrier originating carrier of the application. Status the current status of the pre-authorization or regular application (draft, submitted, approved, rejected, or expired). 3. Click Search to initiate the search. The results are displayed below the input fields. As necessary, click Clear to erase the search criteria entered /09

22 Exhibit 16. Search Results OT-5 Application Search results navigational options. Here are explanations of the additional search result screen fields: Version Number specifies the version of the application, increments with each update. Submitted by/submitted by Company Person and the company that submitted the application. Equipment Type Identifies the type of rail equipment included in the listed application. Codes are defined in Umler. Status Displays the status of the application. The submitter will see the status from each road while a specific road will only see the status of their portion of the application. Note: If the application hasn t been submitted yet, the fields for Submitted and Submitted by Company will be empty. 4. Perform one of the following actions. a. Use the search results navigational options to move between multiple pages of search results. Select a page number from the drop-down; click Next to move to the next page; click Last to move to the last page. b. Click the Export to CSV link to export the search results to a CSV file. See Exporting Search Results into a CSV File for details. c. Click a listed App. Reference No. to view the details of that selected OT-5 Application. The View OT-5 Application page is displayed (go to Step 5) /09

23 Exhibit 17. View OT-5 Application 20 06/09

24 5. From the View OT-5 Application page, perform one of the following actions. a. Click Edit to edit the displayed application. The Edit OT-5 Application page is displayed. This page provides you the same options as available on the New OT-5 Application page (see Creating an OT-5 Application). Note: OT-5 applications with a submitted status cannot be edited. b. Click Clone to create a new OT-5 application based on the one displayed. All the input fields will remain the same except for the effective date which defaults to the current date and the Submitted by fields which are automatically populated with the current user s information (see Creating an OT-5 Application). c. Click View History to view the history of OT-5 records that have been edited previously. The Search OT-5 Application page displays a listing for each of the multiple versions of the application. Exhibit 18. Edit OT-5 Application Click View Contacts to see full contact details for the listed loading location. Exporting Search Results into a CSV File The application allows you to export search results into a CSV file. This allows you to save and manipulate data independent of the application in programs like Microsoft Excel /09

25 Here is how to export search results into a CSV file. 1. From the Search OT-5 Application results page, click the Export to CSV link. A dialog box is opened allowing you to open or save the file. Exhibit 19. Open OT-5 CSV File Dialog Box 2. If you want to open the file in Excel (the default option on many computers), click OK. The displayed search results are opened in separate columns within Excel. Exhibit 20. CSV File Opened in Excel 3. Utilize the tools within Excel to manipulate the output data /09

26 Approve/Reject Applications Railroads Only These functions are used to approve or reject a submitted OT-5 Application, and can only be used by a railroad. Note: This process requires approver access rights. Only railroads approve or reject a submitted application and only for an application submitted to them where they are the originating carrier. A person must be assigned this role through Railinc s Single Sign On. Sharing of User ID or passwords is not permissible. Note: The application allows the resubmission of loading locations grouped by carrier even when a group is in submitted status. This allows the submission of loading locations by carrier for approval or rejection. If an application gets updated with a new location that location can be submitted to the originating carrier only and will not go to everyone on the application. If something changes other than the loading location the application will be sent to all carriers on the application, because the application has changed at a high level and not at the location level. This also provides the ability to add comments grouped by carrier, which will only be submitted to that carrier. You will know an application has been submitted by way of an notification. An example follows. Exhibit 21. Example of Submitted Application Notification Here is how to Approve/Reject an OT-5 Application. 1. Select either the Submitted link on the Home Dashboard or perform a query for applications with a status of Submitted (see Querying OT-5 Applications). 2. From the Search OT-5 Application results page, select the App. Reference No. link for the application that you want to approve or reject. The Approve/Reject OT-5 Application page is displayed. 3. Review the submitted application /09

27 Exhibit 22. Approve/Reject OT-5 Application 4. Enter Comments appropriate to your decision about an approval or rejection. Note: These comments can only be viewed by the commenting road and the submitter, not by other roads on the application. 5. For rejections, use the Reject Reason drop-down to specify a reason (Safety, Inadequate Storage, or Mechanical Factors). If the application is rejected, the submitter may edit the rejected application and resubmit to the rejecting railroad for a new review for approval or denial. 6. Perform one of the following actions: 24 06/09

28 a. Click Approve to approve the application. A message is displayed informing you that the application has been approved. An is sent to the submitter to let them know of its approval. Links b. After supplying a rejection reason, click Reject to reject the application. A message is displayed informing you that the application has been rejected. An is sent to the submitter to let them know of its rejection. c. Click View History to see a history of the application. The Search OT-5 Application page displays a listing for each of the multiple versions of the application. The OT-5 System provides direct links to other Railinc systems related to OT-5. Exhibit 23. Links Menu Here are brief overviews on each of the linked systems. FindUs.Rail Is a centralized Railinc database that allows users to review their company s contact information via the web. This centralized repository of contact information helps reduce time spent by railroad departments, private car owners, and leasing companies across the rail industry from searching for contact information in multiple sources. Users are able to query contacts, agency relationships for a category and the MARK parent relationship. Entry into FindUs.Rail is required for OT-5 approvers. Here is a direct URL to the FindUs.Rail system: RAMP-ED T he Rail Asset Management Process Exception Disposition (RAMP-ED) system enables railroads, equipment owners and leasing companies to send electronic disposition movement instructions. This promotes a more efficient movement of railroad and private freight cars to a contract shop, storage, a new lease, a new assignment or to their home location. Cars moving under RAMP-ED instructions are exception cars that is empty car disposition movements that fall outside of AAR Car Service Rules or private cars returning empty per tariff authority /09

29 Private car owners, shippers or leasing companies have the option of using RAMP-ED to disposition their private cars to approved OT-5 loading locations for their equipment if they are signatories to the RAMP-ED Multiparty Agreement. The link below provides additional detail on the use of RAMP-ED and the agreement. Here is a direct link to the RAMP-ED system: /09

30 Circular No. OT-5-K Association of American Railroads Effective Date: January 1, 2009 RULES GOVERNING ASSIGNMENT OF REPORTING MARKS, MECHANICAL DESIGNATIONS, AND APPLICATION FOR THE USE OF PRIVATE EQUIPMENT TO THE MEMBERS: I GENERAL PROVISIONS APPLICABLE TO ALL EQUIPMENT a) Reporting marks will be assigned to the owner or lessee of rail equipment by the Assistant Vice President, Business Services for use on all railroad and private freight cars including tank cars, trailers and container equipment upon written application provided the applicant subscribes to the AAR Mechanical Interchange Rules as described in this Circular. All freight cars (railroad cars, private cars and tank cars) and railroad marked trailers and containers must be registered in the Universal Machine Language Equipment Register (UMLER). Procedures for registration can be obtained by contacting UMLER@railinc.com or in the UMLER Data Specification Manual. Prior to assignment of railroad trailer reporting marks the applicant must furnish evidence to the Assistant Vice President, Business Services confirming that: 1) A serviceable TOFC facility located on the applicant railroad is in existence. 2) The applicant railroad can accept trailers delivered on flat cars in rail interchange service. b) Reporting marks will be assigned for use on all railroad owned or controlled trailers and containers, provided the applicant subscribes to the AAR Interchange Rules for Trailer/Container On Flat - Car (TOFC/COFC) Service and the Code of Trailer and Container Service and Reporting Rules. c) All applications involving other than new cars must include certification by the buyer and/or seller on Form 88-C in compliance with Rule 88, Section C. of the Office Manual, AAR Mechanical Interchange Rules. d) Mechanical designations will be assigned to cars by the Safety and Operations Department, Association of American Railroads through registration of the car(s) in UMLER. e) Freight cars must be assigned the mechanical designation that best describes the physical characteristics when placed in service as new, rebuilt, or other than new cars, or after modification. Mechanical designation cannot be changed unless there are physical changes to cars as a result of modification, or unless there is a change in the mechanical designation definition as published in the AAR Safety and Operations Department, Manual of Standards and Recommended Practices, or The Official Railway Equipment Register, that better describes the physical characteristics than the mechanical designation originally assigned. Mechanical 27 06/09

31 designations in the UMLER file cannot be changed until the provisions of this rule are complied with to reflect the newly assigned mechanical designation. If there is a question or dispute about the proper mechanical designation on the part of an owner or user, it should be directed to the Safety and Operations Department of the Association of American Railroads in Washington, DC, who will refer the question for decision to the Equipment Engineering Committee of the AAR Safety and Operations Department. If the decision of the Equipment Engineering Committee is unsatisfactory to the owner or user that raised the issue, the matter may be appealed to the Technical Services Working Committee, AAR Safety and Operations Department. f) After reporting marks have been assigned, they may be used on any cars owned or controlled by the party to whom the marks are assigned that meet the requirements of the AAR Mechanical Interchange Rules and which are properly registered in UMLER NOTE: Reporting marks assigned to private car and tank car freight car owners or lessee must consist of four letters, the last of which must be an "X." II PRIVATE TANK CARS a) Private tank cars will be authorized for transportation service only after a certificate of Construction, in compliance with section of Title 49 of the Code of Federal Regulations, is on file with the Executive Director Tank Car Safety, AAR Safety and Operations Department. b) To receive the applicable mileage rates as provided in Freight Tariff RIC 6007-Series, Section 1, Item 195, the private tank car owner, following the assignment of reporting marks, must comply with Freight Tariff RIC 6007-Series, Section 1, Item 180, Paragraph 3, which requires that all tank cars must be registered in UMLER, in the format prescribed in the UMLER Data Specification Manual. The applicable mileage rates will be published in the AAR Car Hire Accounting Rate Master (CHARM). c) The controlling entity (owner or lessee) must apply for loading authority. Applications for the use of private tank cars with specific railroads should state the name of the controlling entity (owner or lessee), the name of the originating line haul carrier(s), the specific car number(s) and if known, the station(s) and industry(s) at which loads are intended to originate should be provided. Applicants will transmit the applications to the proposed originating carrier(s) who will subsequently notify the applicant of the approval or disapproval of the application. Application approval for shipper provided cars cannot be denied by the carrier(s) except for reasons of safety, mechanical factors or inadequate storage space. Compliance with applicable AAR and governmental mechanical, safety and security requirements, advisories and action items will satisfy the OT-5 safety and mechanical requirement. All applications must be submitted electronically via the Railinc central internet system ( d) If the controlling entity (owner or lessee) desires to use the cars for the origination of traffic on some other carriers, a new or modified application must be submitted to the originating carrier /09

32 III PRIVATE CARS OTHER THAN TANK CARS a) To receive the applicable mileage rates as provided in Freight Tariff RIC 6007-Series, Section 2, Items 620 and 621, or other tariffs as provided by individual railroads, the private car owner, following the assignment of reporting marks, must comply with Freight Tariff RIC 6007-Series, Section 2, Item 605, Paragraph 1, or other tariffs as provided by individual railroads, which requires that all private cars must be registered in the Universal Machine Language Equipment Register, in the format prescribed in the UMLER Data Specification Manual. The applicable mileage rates will be published in the AAR Car Hire Accounting Rate Master (CHARM). b) The controlling entity (owner or lessee) must apply for loading authority. Applications for the use of private cars with specific railroads should state the name of the controlling entity (owner or lessee), the name of the originating line haul carrier(s), the specific car number(s) and if known, the station(s) and industry(s) at which loads are intended to originate should be provided. Applicants will transmit the applications to the proposed originating carrier(s) who will subsequently notify the applicant of the approval or disapproval of the application. Application approval for shipper provided cars cannot be denied by the carrier(s) except for reasons of safety, mechanical factors or inadequate storage space. Compliance with applicable AAR and governmental mechanical, safety and security requirements, advisories and action items will satisfy the OT-5 safety and mechanical requirement. The railroads use of private cars other than tank cars is not required unless railroad cars are not available. All applications must be submitted electronically via the Railinc central internet system ( c) If the controlling entity (owner or lessee) desires to use the cars for the origination of traffic on some other carriers, a new or modified application must be submitted to the originating carrier. Application approval does not commit the approving carrier(s) to use the applicant s cars. IV RAILROAD MARKED CARS a) To receive the applicable rates as provided in Car Hire Rule 1, Code of Car Hire Rules and Interpretations - Freight, railroads or railroad companies, following the assignment of reporting marks, must register all cars in the UMLER, in the format prescribed in the UMLER Data Specification Manual. The applicable rates, as provided in Car Hire Rule 1, Code of Car Hire Rules and Interpretations-Freight, are published in the AAR Car Hire Accounting Rate Master (CHARM). b) Railroad marked tank cars will be authorized for transportation service only after a certificate of Construction, in compliance with section of Title 49 of the Code of Federal Regulations, is on file with the Executive Director Tank Car Safety, AAR Safety and Operations Department. c) The mechanical designation may be changed to a different designation without physical modification subject to the following conditions 29 06/09

33 1) Cars must be physically suitable for the service contemplated by the newly assigned mechanical designation definition. 2) All stenciling on the exterior indicating that car is specially equipped with DF or other special loading fixtures should be removed if inapplicable to the new mechanical designation. 3) After cars are reclassified to a new mechanical designation, they shall not again be reclassified for a period of 18 months from the date the mechanical designation was changed in the UMLER file, unless authorized by the Equipment Engineering Committee. V RAILROAD OWNED AND CONTROLLED TRAILERS AND CONTAINERS a) Following the assignment of the reporting marks, all trailers and containers must be registered in UMLER in the format prescribed in the UMLER Data Specification Manual. Trailers and containers are published in the AAR's Car Hire Accounting Rate Master (CHARM). VI OTHER THAN RAILROAD OWNED OR CONTROLLED TRAILERS AND CONTAINERS a) Reporting marks will be assigned by the Assistant Vice President, Business Services, for use on other than railroad-owned or controlled trailers, provided the applicant subscribes to the AAR Interchange Rules for Trailer/Container-On-Flat-Car (TOFC/COFC) Service. Following assignment, the provisions of Section 3-Reporting Marks and Numbering System, Code of Trailer and Container Service Rules shall be complied with. b) Following the assignment of reporting marks all trailers must be registered in UMLER in the format prescribed in the UMLER Data Specification Manual. These trailers are published in the AAR Car Hire Accounting Rate Master (CHARM). On behalf of the Safety and Operations Management Committee acting as the General Committee and the Network Efficiency Management Committee acting as the Committee on Compensation. Respectfully, J. J. Usher Asst. Vice President Business Services Supersedes Circular Number OT-5-J dated January 2, /09