ISS Certification Guide
Contents
1. start date of certification primary and secondary Partner Road and name of software for ISS Railinc will confirm the dates with the applicant road to verify minimum requirements have been met and to schedule preliminary testing The request must be on company letterhead Mailing Address ISS Product Support Railinc 7001 Weston Parkway Suite 200 Cary North Carolina 27513 Revised January 2013 6 ISS Certification Decertification Testing 5 3 Required Forms for Certification These forms must be completed and submitted to Railinc prior to beginning certification with testing roads Exhibit 1 Required Certification Forms Applicant Road Forms to complete prior to starting certification e Appendix A Certification Request Form e Appendix B ISS Questionnaire for Certification completed after successful preliminary testing e Appendix C ISS Certification For Rules e Appendix D ISS Certification of Data Center Security e Appendix L Authorized Signatures e Appendix M Carrier ID Table Form One for Test and another for Production e Appendix N Carrier Contact List Form e Appendix O Removed e Appendix P Removed e Appendix Q Settlement Control Form e Appendix R Certification for REN Certification and Participation Partner Road Forms to be completed at the end of certification e Primary partner road forms to complete v Appendix E ISS Certifica2. JI Ou Om 5 Reason for certifying Check one C Class 1 Railroad new or existing L Non Class 1 Railroad A new road name and or SCAC applying for entrance to ISS L Software Communication Change Existing road SCAC in ISS making changes to software or communication to Railinc 6 Are you an Agent Software Vendor _ No L Yes specify 7 Date requesting ISS Certification to begin 8 ISS Primary Contact Name Address Phone E Mail Fax Revised January 2013 16 D RAILING Interline Settlement System Appendix B Appendix B Questionnaire For Preliminary Testing 1 Railroad 2 SCAC 3 Approximate number of monthly interline movements C 500 or less C 501 5000 L More than 5000 4 Railinc Network ID mailbox Password is not needed 5 Dates of preliminary testing in ISSV 6 Have you conducted testing as defined in the preliminary testing matrix Yes No 7 Have you successfully transmitted transactions to ISSV in the current ISS EDI version 426 transaction set Yes No 8 Ifno state the number of 426 transactions that failed and the dates the messages were transmitted back to ISSV Number of failed transactions Date s of retransmission 9 Number of 426 transactions sent 10 What percentage passed syntax edits EDI 997 o 11 Number of transactions received 12 Have you successfully used ISSV to request 99
3. and 463 transmission as covered by the AAR s Rate EDI Network REN Rail Carrier Industry Guide to Electronic Data Interchange aka REN Guidelines Front Matter or via REN Web certification 1 1 Eligibility Any Class I II or HI railroad in the United States Canada or Mexico upon satisfactory completion of the RCH Credit Approval process is eligible to participate in ISS provided the railroad is willing to undergo certification as described above and adhere to current AAR Accounting Rules pertaining to interline settlement and funds transfer This section describes the procedure for achieving initial certification of a railroad for participation in ISS The RCH Board of Directors and Treasury Division of the AAR approved a credit policy for new roads entering the RCH process effective April 1 2007 RCH participation is required for all ISS participants To obtain additional information and to initiate the credit approval process the RCH Administrator at Railinc should be contacted at 919 651 5001 Assistance may also be obtained by contacting the ISS Product Support Specialist at AAR_PS Railinc com The Interline Revenue Committee IRC approved an additional certification requirement for REN for new roads certifying ISS effective March 1 2013 REN participation is required for all ISS participants Revised January 2013 1 ISS Certification Decertification Testing that certify on or after the effective date The IRC will mo
4. company letterhead 6 4 REN Certification and Participation Carriers who wish to participate in ISS must also participate in REN The ISS Applicant Road must go through REN Certification for validation by the test partner that the REN send rates are transmitted with the correct data Once complete the ISS Applicant Road must confirm with Railinc their intent to update and keep current all published rates This information will be communicated to all ISS participants once the Applicant Road completes the ISS Certification process 6 5 ISS Certification Test Requirements Note test cases 1 through 4 must be met for all submitted test cases by the Certification Applicant Road The minimum requirements are noted for each category Beginning with test case 5 the Certification Applicant s understanding of ISS and its various rules is tested by completing the test cases as noted and approved by the partner road s 6 5 1 ISS Certification Requirements Exhibit 4 ISS Certification Requirements Class I Non Class I Non Class I ISS Requirement Test Success Criteria Test Volume Test Volume Software Required Required Change Only Transmit 426 Transaction Set 100 997 Acceptance 40 20 without syntax rejection 100 generated by ISS Central accuracy Partner road s will decide if The volume total count will be _ errors warrant restarting or dispersed among the following continuing certification test cases Any remaining volume tot
5. hardcopy Funds Transfer Notification message is needed by Railinc See requirement for each category Partner roads ecole per 5a criteria Partner road s involved in certification must complete Form H Applicant road concurs cancels and or sends opinions for all At least 1 CO CA and or OP response type sent by test road Revised January 2013 12 ISS Certification Decertification Testing Class I Test Volume Required Applicant road concurs 3 cancels and or sends At least 1 CO inions for all opinions for a CA and or OP response type sent by test road Two 2 Road Rule 11 Notification Test Applicant road demonstrates Partner road evaluates per 5a 3 2 1 ability to send Rule 11 Notify to criteria partner road appropriately Partner road sends Rule 11 Applicant road sends CO 3 2 1 notify OR waybills to test road 10 Three 3 Road Rule 11 Form H from partner roads is Notification Test required prior to production implementation Partner road evaluates per 5a criteria Non Class I Test Volume Required Non Class I Software Change Only ISS Requirement Test Success Criteria Partner road sends OR waybills for movements involving 3 or more roads which include the Applicant road 10a Applicant road demonstrates ability to send Rule 11 Notify to partner road appropriately that contains three roads 10b Applicant road demonstrates ability to send Rule 11 Child revenue
6. level of ISS participation P Production T Test e Transmit Agent If someone other than you will be transmitting your data to ISS enter their Railinc assigned 8 position ID here CISS will use this to cross reference your data The bottom part of the form is for the authorization Have the form signed by someone who has already been registered with Railinc via the Authorization Signature form to approve this Carrier ID form The form cannot be processed if any field in the authorization area is blank Revised January 2013 30 D RAILING Interline Settlement System Appendix N Appendix N Carrier Contact List Form The following individuals should be contacted for problem resolution Railroad Date Name Title Phone Fax Name Title Phone Fax Name Title Phone Fax Name Title Phone Fax Emergency Contact Nights Weekends Holidays Name Title Phone Fax Revised January 2013 31 D RAILING Interline Settlement System Appendix N Carrier Contact List Form lInstructions This form sample provided is used to convey to Railinc who should be contacted concerning Interline Settlement System questions problems or updates Railinc requests at least one contact person for each ISS participant road please feel free to submit up to six The first person on the list is considered the primary point of contact R
7. the ISS User s Manual have been met will abide by those Rules Print name of Applicant road Signed Chief Information Officer CIO Print Name Print Title If there is no CIO in your organization title must be equivalent to the CIO Date Revised January 2013 19 D RAILING Interline Settlement System Appendix E Appendix E Certification Testing Road Check List The primary Testing Partner Road attests that the test and activities listed below have been reviewed and completed for the following Railroad SCAC Tests a Transmit 426 transactions O OK b Transmit OR messages C OK c Transmit Opinions C OK d Transmit Concurrence C OK e Issue MD date change request LC OK f Issue MD concurrence C OK g Accept Challenge C OK h Issue Cancel on Challenge O OK i Transmit 2 road Rule 11 Notification C OK j Accept 2 road Rule 11 Notification C OK k Issue Challenge C OK 1 Accept Cancel C OK m Issue Delete Me from Route C OK n Accept Delete Me from Route O OK o Transmit 417 transactions via Forward and Store test C OK Signed Principal Testing Partner Contact Print Name Print Title Testing Partner Date Revised January 2013 20 D RAILING Interline Settlement System Appendix F Appendix F Primary Testing Partner Road Approval App
8. to beginning certification Contact Railinc for more information and suggested template s 6 3 1 Forward and Store Participation Carriers who wish to participate in ISS must send EDI 417 waybills to Forward and Store The Certification Applicant Road must transmit EDI 417 information to the Forward and Store test system for validation by the primary Partner Road Once complete the Certification Applicant Road must send notification to Railinc verifying their intent to participate in the Forward and Store test and production systems This information should be sent to the Product Support ISS The Certification Applicant Road should contact Railinc s Customer Support for validation that the Forward and Store test system is available Revised January 2013 9 ISS Certification Decertification Testing 6 3 2 ISS Forward and Store Testing Requirements Exhibit 3 ISS Forward amp Store Testing Requirements m Class I Class I Test Non Class I Test el Forward and Store Are ae ae Software Change Success Criteria Minimum Minimum ma Testing gt i Communication Volume Required Volume Required Change Only Test road demonstrates Primary partner road ability to send data to evaluates applicant Forward and Store roads ability to send a EDI 417 mixture of single car Af leti d multi car and Rule 11 ter completion road must EDI 4175 send letter indicating its intent to participate in test and production Forward and Store on
9. 6 report requests and receive an ISS report If carrier responds with no the assumption will be that this is not required by your road Yes No Date of test Revised January 2013 17 D RAILING Interline Settlement System lt Appendix C Appendix C Certification For Rules Applicant Railroad Print or Type AFFIDAVIT The undersigned avows that all the documents and statements furnished with this application are true and accurate The undersigned acknowledges the Railway Accounting Rules as the established procedure for the Interline Settlement System Print name of Applicant road hereby agrees to abide by the Railway Accounting Rules in all situations where they are applicable The Revenue Pipeline Task Force RPTF reserves the right to change and or amend these rules as needed by way of established voting procedures described in the Interline Revenue Committee IRC Rules of Order Signed Chief Financial Officer CFO Print Name Print Title If there is no CFO in your organization title must be equivalent to the CFO Date Revised January 2013 18 D RAILING Interline Settlement System Appendix D Appendix D Certification For Data Center Applicant Railroad Print or Type AFFIDAVIT The undersigned avows that the Data Center Security standards Down Time Procedures and the Disaster Recovery plan as outlined in the Getting Started section of
10. Eaa E E NE EEA EEA E OERE E EEA E cated 6 5 3 Required Forms for Certification secere oee EEE e aea R E EE REET NEE ea A ee aiaa 7 5 4 Staffin orinn ne a a a a e E ae a beled eed eee 7 6 ISS Certification Test Requirements and Scenarios cccccccsscccscccscscscsessssccssscesccssssesesssees 8 6 1 TSS Prelamunary Testing vscecc 0 easessavecvess shasings eaae ees vhtgants eves E NER E a ETER innt 8 6 2 ISS Preliminary Testing Requirement 0 0 0 0 cc ceecesecesecsseceseceseceseeeseeeeeeesseesseecsaecsaecaecnseesseeees 8 6 2 1 ISS Preliminary Testing Requirements ceeccceecceeseeceesceceeeeeceseeeesaeceeaeeceeeeeaeceeaeeeeeeeesas 9 6 3 ISS Certification Requirements ce eeeeeseeseeseecssecssecssecsseesseeeseeeseeecaeesseeeaeecsaeesaecsaecnseesaeeees 9 6 3 1 Forward and Store Participation eiit i inio a a E EE VEN E EE E a o 9 6 3 2 ISS Forward and Store Testing Requirements ssseeeesseeeeeseeressesressesrtsserrtsstestesresresressesreses 10 6 4 REN Certification and Participation essesseessesseessressesssressresstessressttsstesstesseessesseesseesseeeses 10 6 5 ISS Certification Test Requirements sseeseeseeseesessessesrresetresstestsstessesressesrisseeetestenresresereses 10 6 5 1 ISS Certification Requirements essresssessresseesoressrsoersseesovessoresessroersos koeireesrresrressreevsesrseessets 10 6 6 Activating Participation 1n ISS nnas e E E e EE TE Ei e 14 7 Exiting the ISS and RCH Pa
11. G Interline Settlement System Appendix H Appendix H Certification Testing Road Check List Three Road and Rule 11 Testing The Testing Partner roads attest that the tests and activities listed below have been reviewed and completed for the following Railroad SCAC Tests A Transmit 3 road OR messages OK B Accept 3 road Challenges C OK C Accept 3 road OR messages C OK D Transmit 3 road Concurrence OK E Transmit 3 road Opinions C OK F Issue Cancel on 3 road CH C OK G Transmit 3 road Rule 11 Notification C OK H Accept 3 road Rule 11 Notification C OK I Transmit 3 road Rule 11 Revenue OK J Accept 3 road Rule 11 Revenue C OK K Issue necessary transactions to change Through Waybill to Rule 11 C OK L Issue necessary transactions to change Rule 11 Waybill to Through movement _ OK Testing Partner Railroad Signed Principal Testing Partner Contact Print Name Print Title Date Check One _ Primary Testing Partner _ Secondary Testing Partner Road Revised January 2013 23 D RAILING Interline Settlement System Appendix Appendix Certification Railinc Check List The undersigned avows that the tests and activities listed below have been reviewed and completed for the following Railroad SCAC Tests A Accept Concurrence Tracer OK B Accept Settlement Acknowl
12. ISS industry computer system will be the basis for exchanging large sums of money Therefore timely error free exchange of information between railroads and the central monitoring facility is critical The ISS Certification process is designed to make sure the error free prerequisite is met The certification process is intended to be completed within 60 days from the date the ISS Certification Request Form Appendix A and official notification is received by Railinc The ISS certification process verifies that an interfacing railroad or software vendor system software e Can meet the specifications of the EDI message handling processes including EDI 417 participation e Complies with the industry s AAR Railway Accounting Rules Including Interline Settlement System Rules and the Interline Settlement System Front Matter e Js committed to supporting industry certification efforts e Has successfully tested all functions of the central Interline Settlement System ISS interface and the interface to other railroads e Will meet industry agreed to performance levels and system specifications for ISS participation e Will become an active member of the Railroad Clearing House RCH e Properly register revenue stations junctions and other appropriate Industry Reference Files IRF at Railinc prior to participation and certification testing e Will certify and actively participate in the Rate EDI Network REN either via EDI 460 490 486
13. Interline Settlement System Certification Decertification Testing Document D gt RAILING 7001 Weston Parkway Suite 200 Cary North Carolina 27513 2013 Railinc Incorporated All Rights Reserved Last Updated January 2013 ISS Certification Decertification Testing Revised January 2013 ISS Certification Decertification Testing Table of Contents 1 General Purpose ISS and Certification Process sccsscssssccssssccssscssssscssssssssscssssssessessssssseees 1 1 1 LL OM E EEA ATE E paca suctn ceed es Pos baa enon EAEE E E 1 1 2 Ratlinc ISS8ACCESS arrari ea ae ARRA EEE A A AAA eat a Teadaetas RAE 2 Who Must Certify siscissssctssesscencissecscdcensesbaccsessedsesesesscssuctedsesnesdacesseesseoncesaseeesesossecsesoaessetsesagesdesaeds 3 3 Administration and Contacts se ssesoossesocssesoossessossoseoesosssesoosoesoossessossosssesossossoossessossesesssosssssose 4 3 1 Certification AdMmNistrat onan oraa E ETEK EEEE EA ERE ETE REE 4 3 2 Raline Contacisen orenera a E e a a a aa a a e e e ECL T 4 4 Certification Requirement icc scccccccossosesisascssesessonessseseseossseseessendescesessoesisssesscnseosonssesdedsseassosestsess 5 4 1 Software Vendor Requirement csiis eiiiai aiaei 5 5 ISS Certification Procedures ccssccssssscssscssscssccesssssscssssscesscssseessceesscsssecsssccssssesssssesesesssess 6 5 1 Overview or Cern Ne Oa a a E T A A A TAA eeietaaet 6 5 2 Initiate Certiti Catt aree
14. R Appendix R Certification for REN Certification and Participation Applicant Railroad Print or Type AFFIDAVIT The undersigned affirms that all the documents and statements furnished with this application are true and accurate to the best of their knowledge Print name of Applicant road hereby certifies that it will actively participate in the Rate EDI Network REN as required by the ISS Certification Process as promulgated by the Interline Revenue Committee IRC The Revenue Pipeline Task Force RPTF reserves the right to change and or amend any rules processes or procedures pertaining to the REN as needed by way of established voting procedures described in the IRC s Rules of Order Signed Chief Financial Officer CFO Print Name Print Title If there is no CFO in your organization title must be equivalent to the CFO Date Revised January 2013 35
15. Testing 2 Who Must Certify All roads participating in ISS are required to complete preliminary testing and certification prior to becoming an active participant The preliminary testing and certification testing process are required in all of the following situations e Any new road whether using their own developed system or using a purchased system whether that system was previously certified or not REN certification is required e Any active road that is switching to a new software package whether or not that package has been previously certified not to include internal code changes to existing software REN certification is not required e Any new road that is the result of merely a name change includes mergers outright purchase or other business arrangement whether using a new or existing software package and or new or existing personnel REN certification is not required e Any active road switching communication protocols at Railinc which involve CISS that require a table update Carrier ID Table etc REN certification is not required e Any new software vendor or existing software vendor that developed their own system software or purchased an existing system software whether using new or existing personnel REN certification is not required Revised January 2013 3 ISS Certification Decertification Testing 3 Administration and Contacts 3 1 Certification Administration Railinc will administer all certif
16. al count must be transmitted and pass success criteria 2 Transmit 426 Transaction Set to WB Acknowledgement Central ISS generated by ISS Revised January 2013 10 ISS Certification Decertification Testing ISS Requirement Test Number of application edit rejects from No 2 is below allowable maximum Zero syntax rejections All rejects from No 3 resubmitted and accepted within time limit 3 3 b c Use ISSV for test with connecting or partner railroad s that is already certified for ISS Send OR 426 messages via ISSV to partner railroad Given test URRWINs of 5a partner railroad sends opinions through ISSV Applicant railroad concurs to opinions received Issue second opinion for URRWINSs originally issued typical of a correction to an OR waybill 5c Partner road send MD date change message and Applicant road issues date change concurrence 5g Partner road issues delete from Applicant road receives delete route for the testing road from route message message to partner road message and issues CO 5i Partner road sends CH message i Partner road sends challenge ISSV Appropriate response is received for all Challenge URRWINs 5d Issue MD date change for at Partner road receives least one URRWIN 5f Applicant road issues delete Partner road receives delete 5 from route for the partner road from route message Class I Test Volum
17. ary 2013 13 ISS Certification Decertification Testing 6 6 Activating Participation in ISS Upon successful completion of the certification process the Applicant Road will be scheduled for an orderly transition into the ISS process Roads will become active on the first day of the month unless special arrangements are made due to extenuating circumstances subject to approval by the Revenue Pipeline Task Force Railinc will issue a formal notification to all ISS participating roads at least 60 days prior to the day of implementation advising the targeted date of implementation the Applicant road s name and SCAC Once the partner roads s have approved by the Applicant roads admission to production ISS Central Railinc will e mail notification to the industry advising date of production implementation road SCAC ISS Contact Person for road phone number email address and full mailing address The Product Support Specialist ISS must receive all required ISS forms by designated timeline A copy of the original ISS Official Forms and all required RCH forms must be received by the appropriate persons at Railinc before production implementation Please contact the Product Support Specialist ISS and Manager Railroad Clearinghouse for more details Revised January 2013 14 ISS Certification Decertification Testing 7 Exiting the ISS and RCH Participation Carriers wishing to exit the ISS RCH process must provide notification on
18. case if EDI 996 will be utilized at their road Optional Should be done in preliminary testing but not required for certification Optional Should be done in preliminary testing but not required for certification Optional Should be done in preliminary testing but not required for certification Railinc send reports Applicant road can accept response from each 7c request Optional Should be done in preliminary testing but not required for f certification Railinc responds with an EDI 864 message detailing the requested information Applicant road should complete this test case i EDI 996 will be utilized at their road 6 3 ISS Certification Requirements Applicant Roads must complete requirements for Forward and Store testing in addition to the certification requirements This will allow the Partner Roads to validate that carriers have the ability to send and receive EDI 417 data which is a requirement for ISS participation Forward and Store testing will be completed during the certification testing with the Partner Roads The tables on the following pages provide requirements for ISS certification The right columns represent the test requirements for Class I Non Class I and Non Class I railroads making software communication changes All test cases must be completed by Applicant Road regardless of their use of three road and or Rule 11 traffic Test plans must be completed by Applicant Road prior
19. company letterhead at least 30 days prior to the requested expiration date The letter should provide the exiting carrier s name address phone number rule 260 number and Standard Carrier Alpha Code SCAC The carriers will provide the reason for exiting the ISS RCH process this information will not be distributed to the industry The letter must be signed by authorized personnel Notification must be sent to Railinc s Product Support Specialist ISS and Manager Railroad Clearinghouse Carriers are only allowed to exit the ISS RCH process on the last day of the calendar month after the 30 day requirement has been met In addition the exiting carrier is required to participate in the ISS RCH process for a period of 14 months The carrier must maintain software and connectivity to participate in ISS Once Railinc receives the official notice the carrier must complete the Decertification form The form advises the carrier of the items to complete in order to minimize risk of errant waybills after the expiration date The Decertification form must be completed signed by authorized personnel by the exiting carrier and sent to Railinc s ISS Product Support Specialist A copy of the Decertification form is located in Appendix K Revised January 2013 15 D RAILING Interline Settlement System Appendix A Appendix A Certification Request Form Date 1 Railroad 2 SCAC 3 Location 4 AARCLASS Checkone
20. e q Non Class I Test Volume Required Non Class I Software Change Only 1 Success Criteria The limitation of 864 serious errors is noted the columns for each category This is the mandatory limit Certifying road will decide if errors warrant restarting or continuing certification 3 day time limit for correcting rejections 4 Applicant road must provide transmission information to Railinc for verification See tests a i below 100 of WBs received are 40 reviewed by partner road Partner and test road must agree that waybill data is valid for test purposes regardless of possible dispute on rates divisions or other data Concurrences CO for 5a opinions sent are received by partner railroad At least 2 At least 1 ER 2 20 1 1 eee ed ae Li E aes Partner road receives proper opinions Partner road receives ISS date change corresponding to its proposal for all proposals made 2 2 Applicant road responds to CH with CO See specific requirements in a d below 100 get CA OP or CO Applicant road must respond to all waybills submitted for 6a with a CA OP or CO The minimum requirement is noted for each category messages to Applicant road in Revised January 2013 11 ISS Certification Decertification Testing ISS Requirement Test Challenges are Canceled CA Applicant road responds with At least 2 Cancels CA sent Concurrences CO Opinion OP messages a
21. edgement C OK C Accept Daily Funds Transfer C OK D Accept Funds Transfer Recap 2 day report C OK Signed Railinc ISS Certification Contact Print Name Print Title Testing Partner Railroad Date Revised January 2013 24 D RAILING Interline Settlement System lt Appendix J AppendixJ Industry Notification Of Acceptance Railroad SCAC Location The above named railroad has been certified for processing in the production environment or software communication change in Central Interline Settlement System They will start transmitting with the Central ISS system in a production mode beginning with the first of month year A copy of this notification will be faxed or emailed to the certification team Applicant road and Testing Partner road after all required forms and information is received by Railinc Signed Railinc ISS Certification Contact Print Name Print Title Testing Partner Railroad Date Revised January 2013 25 D RAILING Interline Settlement System Appendix K Appendix K Checklist for Exiting ISS RCH Exiting Railroad Type or Print SCAC Type or Print Rule 260 Type or Print Checklist 1 Send official notification to the Product Support Specialist ISS and Manager Railroad Clearinghouse at least 30 days prior to exit date A carrier can only exit the ISS RCH process on the last calendar day of the month o
22. em software adhere to AAR Accounting Rules and ISS business rules This will minimize risk to the industry Software vendors must complete the guidelines for a software change including preliminary testing and Forward amp Store testing The software vendor must follow the guidelines outlined for applicant road If the applicant road receives any 997 rejects and or 864 serious errors during preliminary testing these items must be corrected and retransmitted for review by Railinc Railinc is responsible for approving or rejecting preliminary testing The primary and secondary partner roads will approve the road software on the certification testing requirements including Forward amp Store requirements Revised January 2013 5 ISS Certification Decertification Testing 5 ISS Certification Procedures 5 1 Overview of Certification To initiate the ISS Certification Process the certification applicant road submits required forms to Railinc Product Support ISS Refer to Section 5 3 for a list of the forms The Applicant Road s representative will review the types of messages and numbers submitted ensuring that the number of accepted and rejected messages are within the acceptable ranges They will also ensure that the Certification applicant Road transmitted all of the appropriate types of messages The Partner Road s representative s will evaluate the validity of the transactions submitted during the testing period They will be respo
23. evised January 2013 32 D RAILING Interline Settlement System i Appendix Q Appendix Q Settlement Control Form L ISSP Production Region _ ISSV Test ISS Application version Your SCAC Rule 260 Alpha Code 2 4 characters Effective Date Defaults to 1900 01 01 CCYY MM DD Immediate Transmit Expiration Date Defaults to 9999 12 31 CCYY MM DD Sending SCAC 2 4 Characters or Spaces For All O Origin I Intermediate D Destination Spaces All Valid Roles Role in Route Not used for 864 Messages or 426 Acknowledgments Distribution Type The default on the following messages is the short message Check to override the default C SA System Initiated Settlement Active Road on Silent Concurrence L SF System Initiated Settlement Silent Road on Silent Concurrence L SS System Initiated Settlement Silent Road on Silent Concurrence L ST System Initiated Settlement Fully Concurred Authorized By Signature Printed Name Title Date Revised January 2013 33 D RAILING Interline Settlement System lt Appendix Q Settlement Control Form Instructions Each carrier will receive all types of ISS messages automatically as stated on the Transmit Control Form unless message types are specifically excluded via the Settlement Control Form It allows you to determine whether you receive the long or short version of waybill messages The following is an
24. explanation of the fields displayed on this form e Region One of the boxes must be checked ISSV Region for testing a new version of the Central ISS Application logic I SP Production Region e Your SCAC Enter your Rule 260 alpha code 2 to 4 characters e Effective Date Enter the date in CCYY MM DD format you wish these transmit options to become active If you leave this blank your preferences will go into effect as soon as they are entered in ISS e Expiration Date TIf the selections are to be in effect for a certain period of time only enter the last allowable date in this field If no date is entered the options will be in effect indefinitely In order to cancel a previously entered form send in a duplicate of the first form with a valid Expiration Date entered If you enter a date which has already passed it will default to the date that Railinc actually implemented the request e Sending SCAC This field is optional and allows you to turn off messages from a particular road If this field is left blank it defaults to all SCACs e Role in Route This is the role in route of the SCAC identified above not your role in the route If you leave this field blank all valid roles are assumed Other values are O Origin Intermediate D Destination e Distribution Type Check if you want to override default short message Revised January 2013 34 D RAILING Interline Settlement System Appendix
25. ication testing processes dealing with participation in industry related systems The administration group within the Railinc organization will have the specific responsibility to work with the applicant road CISS and interfacing partner railroad s to accomplish certification The assigned partner road should have a direct interchange with the new road and will act as a mentor to the new road As such the partner road will be required to provide approval of the new road s ability to actively participate in all aspects of the ISS process Railinc will provide all active ISS participants notice of the road seeking certification the assigned partner road s and the targeted implementation date Partner roads can not be affiliated with the applicant road For example the partner road can not be owned by the applicant road or sister company railroad The applicant road is responsible for confirming partner roads for certification Railinc will assist applicant road with contact information of partner roads 3 2 Railinc Contacts Questions concerning the certification procedures should be directed to the Product Support This individual can be reached by contacting Railinc s Customer Support Center via 800 544 7245 or e mail at CSC railinc com or AAR_PS Railinc com The ISS and REN certification requirements forms and access to the User s Manuals may be obtained via an e mail request to the Product Support Requests may be mailed directly t
26. ld be noted on Appendix B Carriers must complete the scenarios to meet the requirements as noted below The requirements are the minimum required for preliminary testing If the Applicant Road will utilize EDI 996 Report requests the road must complete the test cases below related to EDI 996 during preliminary testing Carriers utilizing the EDI 996 are required to notify Railinc prior to preliminary testing Railinc will verify the completion of these requirements prior to Applicant Road starting certification Revised January 2013 8 ISS Certification Decertification Testing 6 2 1 ISS Preliminary Testing Requirements Exhibit 2 ISS Preliminary Testing Requirements Class I Non Class I Non Class I Software Preliminary Testing Successful transmit 426 transactions to ISSV Success Criteria Validate errors with Railinc Test Volume Required Test Volume Required Change Communication Change Only Errors should be corrected and or discussed with Railinc Validate IRF data during preliminary testing Report discrepancies to Railinc for further discussion Optional Should be done in preliminary testing but not required for certification Optional Should be done in preliminary testing but not required for certification Applicant road issues report request s This is an EDI 996 Report Request Applicant road can send request for each report type Applicant road should complete this test
27. licant Railroad Print or Type Primary Testing Partner Railroad Print or Type AFFIDAVIT BY TESTING RAILROAD The undersigned verifies that the primary Testing Partner Railroad engaged in bilateral testing of the Interline Settlement System ISS with the Applicant Railroad as detailed in the ISS REN Certification Manual The Applicant Railroad has successfully completed all tests required within the success criteria specified Testing was carried out between the period starting and ending Signed Principal Testing Partner Contact Print Name Print Title Testing Partner Railroad Date Revised January 2013 21 D RAILING Interline Settlement System lt Appendix G Appendix G Testing Partner Road Acceptance Rejection Notification Date 1 Railroad 2 SCAC 3 Location The above named railroad has been LC Accepted _ Rejected for processing in the production environment or change in software communication in production Central Interline Settlement System If rejected the areas listed on the attached ISS Certification Team Check List were deficient If accepted the railroad may start transmitting with the Central ISS system in a production mode beginning with the first of the month of year Signed Principal Testing Partner Contact Print Name Print Title Testing Partner Railroad Date Revised January 2013 22 2 gt RAILIN
28. nce the 30 day requirement has been met 2 Expire and or change revenue stations to operating stations to minimize risk of errant ISS waybills after exit date Contact the Senior Data Specialist for procedures to change stations Once complete please advise the Product Support Specialist ISS ARFFIDAVIT The undersigned avows that the following items have been completed for properly exiting ISS RCH The undersigned avows that failure to complete items increases the risk for errant ISS waybills and possible RCH funds transfer obligations The undersigned understands the requirement to maintain connectivity and ability to handle ISS RCH transaction for a period of 14 months after the exit date Signed Chief Financial Officer CFO Print Name Print Title If there is no CFO in your organization title must be equivalent to the CFO Date Revised January 2013 26 D RAILING Interline Settlement System Appendix L Appendix L Authorized Signatures The individuals listed below are hereby authorized to sign the indicated forms Name Title Phone Number Fax Number Signature Name Title Phone Number Fax Number Signature Name Title Phone Number Fax Number Signature Authorized By Name Title Effective Date L Bilateral Settlement L Bilateral Funds Transfer L Carrier ID L Transmit Control _ Prior Authorization Re
29. nitor REN activity to ensure continued participation To obtain additional information and to initiate the REN certification process contact the ISS Product Support Specialist at AAR_PS Railinc com Request REN specific certification instruction and forms by request to the Railinc Contacts Both ISS and REN certifications are intended to occur concurrently 1 2 Railinc ISS Access The Central Interline Settlement System CISS is a process operated by Railinc There are a number of methods for exchanging ISS messages with CISS using Electronic Data Interchange EDI The size of the railroad will likely influence the method selected Principal methods available are e Direct dial in access to FTP or FTP through VPN to Railinc ISS e Connection to Railinc ISS via Dedicated Leased line or Frame Network e Communication with Railinc ISS via a Value Added Network VAN which in turn can link to Railinc via either of the first two methods listed above Regardless of the access method selected a participating railroad or its authorized agent must obtain a valid Railinc User ID and have sufficient computer hardware and software to properly exchange settlement data electronically between a carrier s system and the CISS at Railinc Procedures for establishing access to Railinc for exchange of ISS messages are outlined in the Getting Started section of the ISS User s manual Revised January 2013 2 ISS Certification Decertification
30. nsible for checking the divisions of monies rates waybill contact information and overall correctness of the waybill data The primary Partner Road provides final approval for Certification of Applicant road s entrance into ISS Central process The secondary Partner Road will provide comments to the team on the scenarios in which they participated with the applicant road and complete forms as required Both the primary and secondary Partner Roads work as a team to state that the Certification applicant Road is in conformance with the ISS Requirements for Certification and must complete the appropriate certification forms Railinc may need to intercede when the Certification applicant Road does not agree with the test results given by the Partner Road s Railinc would then review the proceedings and possibly ask for more information as is specified in the Certification Requirements Document After the applicant road has met the certification requirements the partner road s are responsible for notifying Railinc The Testing Roads should also submit to Railinc the Certification Forms verifying the completion of the required tasks Railinc will not be required to review all of the details for each transaction during the testing period but will review reports submitted 5 2 Initiate Certification To initiate the certification process the Applicant Road must mail or email a request for ISS Certification detailing the dates of preliminary testing
31. o Product Support Railinc 7001 Weston Parkway Suite 200 Cary NC 27513 Revised January 2013 4 ISS Certification Decertification Testing 4 Certification Requirements There are four levels of certification and Railinc will determine which requirement testing will apply for each testing road applying for certification Railroads must test in the category that fits their railroad revenue class as determined by the AAR 1 Class I Testing Requirements Applicable to any road active or new certifying that falls into the category of a Class I road as determined by AAR guidelines 2 Non Class I Testing Requirements Applicable to any new non Class I road certifying that falls into a category other than Class I road as determined by AAR guidelines 3 Non Class I ISS Accredited Software Change Communication Change Requirement Applicable to any existing Non Class I road certifying that falls into a category other than Class 1 road as determined by AAR guidelines The certifying road s SCAC Road mark must be an active ISS participant 4 Software Vendors Applicable to any existing or new software vendor that develops or purchases an existing system software for industry use The software vendor must use existing ISS carriers in the certification testing of system Refer to Section 4 1 4 1 Software Vendor Requirements Software Vendors with ISS systems must be certified Testing is required to insure new or existing syst
32. on This will establish that a railroad is able to send and receive the pertinent EDI transactions that comprise ISS Moreover test results must demonstrate that a railroad is able to achieve a level of data quality with respect to data values such as rail station name junction and other data subject to industry reference file edit checks that supports the error free objective All railroads are strongly encouraged to use available Industry Reference Files to avoid CISS edit rejections The CISS System provides several mechanisms for testing In most cases all necessary testing can be conducted prior to application for certification Such tests include but are not limited to 1 Test of communications and account with Railinc 2 Independent test of communication and or EDI with Railinc using test system region ISSV mirror image of production edits 3 Validate IRF data for certification purposes ISSV will validate IRF data against production information Railinc Product Support will assist railroads in establishing an account and in getting access permission for use of the ISSV carrier test region The Certification Request Questionnaire asks that a railroad complete certain tests and provide results with supporting evidence The Applicant Road will coordinate with Railinc in achieving this requirement 6 2 ISS Preliminary Testing Requirements Preliminary testing must be completed prior to certification This information shou
33. ons ISSV One of the boxes must be checked e Your SCAC Enter your Rule 260 alpha code e Effective Date Enter the date in CCYY MM DD format that you wish the information to be effective Unless you are changing data such as your name or address which has a specific date tied to it you may leave this field blank e Expiration Date TIf the information on the form is only valid for a certain period of time enter the last valid date in this field If no date is entered the information remains in effect until it is canceled e Carrier Name The name your railroad is known by It should be the name of the railroad itself not a holding or parent company 35 characters are allowed in this field e Contact Title The title not the name of the person in your organization to which ISS information should be directed There is a maximum of 30 characters in this field e Address The address that should be used in contacting the person above There are two lines on the form exclusive of City State Each line has a maximum of 35 characters allowed e City The city name limited to 19 positions e State Province The state or province code in 2 positions e ZIP Code tThe postal zip code for the address Limited to 9 digits for U S and Mexican addresses 11 characters for Canadian addresses e Country Code Enter the proper 2 character code for the U S US Canada CA or Mexico MX e ISS Level Code The
34. re sent Applicant road responds with At least 2 Opinions OP Railinc monitors facilitates test of reports and messages A fax or email is required from Applicant road to confirm completion of these requirements Contact Railinc for more information Concurrence Tracer Settlement Acknowledgment Daily Funds Transfer This is the Daily Settlement Report 2 day Recap Funds Transfer Report This is the Funds Transfer Notification Report Testing for 3 or more roads See Peeters below movement Applicant road sends 426 OR waybills for movements involving 3 or more roads including partner roads to ISSV Partner road sends legitimate 426 CH waybills involving 3 or more roads which include the Applicant road Class I Test Volume Required Non Class I Test Volume Required At least 1 Non Class I Software Change Only Success Criteria At least 1 At least 1 See tests a d below Applicant road can accept EDI message EDI hardcopy of Tracer message is needed by Railinc See requirement for each category Applicant road can accept EDI message EDI hardcopy of at least one Settlement Acknowledgement message is needed by Railinc See requirement for each category ZR K Applicant road can accept EDI message EDI hardcopy of Daily Settlement Report message is needed by Railinc See requirement for each category Applicant road can accept EDI and process correct report EDI
35. rticipation ccssscssssccssssssssscssssccssscssssscsssessssssscsssssssssssssesssses 15 Appendix A Certification Request Form sccscscssccssscsscssscscesscssssccssssesssescscsescscssscssscsscoeseoeees 16 Appendix B Questionnaire For Preliminary Testing cccssscssssssscssscesscsssssssscsssssssssessseeseeeees 17 Appendix C Certification For RuleS ssccsccsssssssssscssssscscscesssccsssecsssccsssscsessescssssscssscsssssssescssses 18 Appendix D Certification For Data Center sessoesessoesosesesocssesoossessosseseoesossossocssesoosseseossossossossssso 19 Appendix E Certification Testing Road Check List csscsssssssssscsscsssccesssssssssssssessessseeseoeees 20 Appendix F Primary Testing Partner Road Approvall sscscscsssssscssscesscssscssscssscssssscssseesseeees 21 Appendix G Testing Partner Road Acceptance Rejection Notification csssccssssssssscssssccsseee 22 Appendix H Certification Testing Road Check List csscsssscssssscsssscsssscsssccssssscsssscssessessesesces 23 Appendix I Certification Railince Check List oeseosoososesosocssesoosseseosseseoesosecssocssesoosseseossossossossssso 24 Appendix J Industry Notification Of Acceptance ssesosssesocssesoossessosseseoesosesesocsseeoossessossoseossossssso 25 Appendix K Checklist for Exiting ISS RCH sesesesocesocesooesoossoossoossoossoossoosesosssosesoessosesosesosssssssses
36. ssed and the individual listed on the Carrier ID form will be contacted Revised January 2013 28 D RAILING Interline Settlement System Appendix M Appendix M_ Carrier ID Table Form Region _ ISSP Production _ ISSV Test Your SCAC Rule 260 Alpha Code Effective Date Defaults to 1900 01 01 CCYY MM DD Expiration Date Defaults to 9999 12 31 CCYY MM DD Carrier Name Maximum 35 Characters Contact Title Maximum 30 Characters Address Maximum 35 Characters Maximum 35 Characters City Maximum 19 Characters State Province Maximum 2 Characters ZIP Code Max 9 Characters for US Mexico 11 Characters for Canada Country Code Maximum 2 Characters US CA MX ISS Level Code F Full Participant EEDI Participant Only 1 Character Transmit Agent Maximum 8 Characters Authorized By Signature Printed Name Title Date Revised January 2013 29 D RAILING Interline Settlement System Appendix M Carrier ID Table Form Instructions This form is used to enter or update entries in the Carrier ID Table in ISS Its main purpose is to indicate your road s current status in ISS It also informs the system of any Agent you may be using to send and receive your data The following is an explanation of the fields displayed on this form e Region Check the box showing the Production Region ISSP or the Test Regi
37. ssse 26 Appendix L Authorized Signatures se soesessossosesesocssesoossessossessossocssesocsoesoossessossossossocsossoossessosseses 27 Appendix M Carrier ID Table FOrmM sseseesoescesoescocsseccocsseecoescesoescesoesocsseeocsscesoescesoesecsseeocsseesoescesoeseess 29 AppendixN Carrier Contact List Form se ssesosssesoessecoossessossessossocssesocssesoossessossoseossossossoesseseosseses 31 Appendix Q Settlement Control Form sesssessoesooesocecsoessoeesoessocesocesoecssessocossesssesssesesecssecssecssocesocesocee 33 Appendix R Certification for REN Certification and Participation ccscccssccsssssesceesseees 35 Revised January 2013 i ISS Certification Decertification Testing List of Exhibits Exhibit 1 Required Certification FOrms scsssssscssecsseceseceseceseeeseeeeseesseeeseecaaecsaecaecaeceseceseesseeeeeeseneeeaee 7 Exhibit 2 ISS Preliminary Testing Requirement 00 cee ceeceecceseeeeeeeeeeeeseeeseecsaecaecaecaecsseceeeeseesseeesneesaee 9 Exhibit 3 ISS Forward amp Store Testing Requirements 0 ceecesceeceseeeeceeeeeeeseeeseecseecsaecsaecaeenaeenseeees 10 Exhibit 4 ISS Certification Requirements ee eeeessecssecsseceseceeceseceseeeseeseceesneeeseeeaeecsaecsaecaecsaeenseenseenes 10 Revised January 2013 ISS Certification Decertification Testing 1 General Purpose ISS and Certification Process The data exchanged through the Interline Settlement System
38. tion Testing Road Check List v Appendix F ISS Primary Testing Partner Road Approval e Primary and Secondary partner road forms to complete vV Appendix G ISS Acceptance Rejection Notification v Appendix H ISS Certification Testing Road Check List Three Roads and Rule 11 Railinc Forms e Appendix I ISS Certification Railinc Check List e Appendix J ISS Industry Notification of Acceptance After Approval by partner roads 5 4 Staffing Railinc pursuant to its role as operator of the CISS computing and communications facility shall provide such staff as deemed necessary for support of the certification process outlined here This will include sufficient qualified staff to do table maintenance to enable access to ISS by newly certified railroads in a timely manner Railroad members of certification teams may need to use their own railroad s in house capabilities and staff support for some phases of the certification evaluation In addition certain tests of the applicant railroad will require resources of other railroads It is expected that all ISS participant railroads and applicant railroads will cooperate fully in supporting the certification process Revised January 2013 T ISS Certification Decertification Testing 6 ISS Certification Test Requirements and Scenarios 6 1 ISS Preliminary Testing Preliminary testing is required by the Applicant Road prior to starting certificati
39. voked L Transition Partners L Bilateral Settlement L Bilateral Funds Transfer L Carrier ID L Transmit Control _ Prior Authorization Revoked L Transition Partners L Bilateral Settlement L Bilateral Funds Transfer L Carrier ID L Transmit Control _ Prior Authorization Revoked L Transition Partners Railroad Revised January 2013 27 D RAILING Interline Settlement System Appendix L Authorized Signature Form Instructions This form sample provided is used to register individuals authorized by their roads to sign ISS forms Each signature form has room for three people to be listed If you need more room use another form Each form must be signed on the bottom by an officer of your railroad and be accompanied by a cover letter on letterhead paper All fields in a block must be filled in order to process the form For each individual you must list their Name Title Fax Number and Voice Phone Number In addition at least one box must be checked Checking more than one box allows that individual to authorize multiple types of forms If the box marked Prior Authorization Revoked is checked no forms signed by that person will be accepted after the effective date It will not invalidate data already entered in the system however Each road will be responsible for keeping its list of authorized individuals up to date If a non authorized person signs a form the form will not be proce
40. waybill Partner road evaluates per 5a criteria Applicant road demonstrates ability to change trend cancel concur etc to bring about settlement without dispute over Rule 11 status 10e Applicant road demonstrates ability to respond to change of trend Partner road changes trend of through bill to Rule 11 and Applicant road responds with Partner road evaluates for correct ISS procedure and messages such as Cancel for test purposes accuracy of Rule 11 through status not evaluated Partner road evaluates for correct ISS procedure and null settlement of initial URRWIN Applicant road will initiate the waybill and partner road will change the trend Scenario 1 One 1 through move to Rule 11 with child revenue waybill Scenario 2 One 1 Rule 11 case to through Scenario 1 One 1 through move to Rule 11 with child revenue waybill Scenario 2 One 1 Rule 11 case to through Scenario 1 One 1 through move to Rule 11 with child revenue waybill Scenario 2 One 1 Rule 11 case to through Scenario 1 One 1 through move to Rule 11 with child revenue waybill Scenario 2 One 1 Rule 11 case to through Scenario 1 One 1 through move to Rule 11 with child revenue waybill Scenario 2 One 1 Rule 11 case to through Scenario 1 One 1 through move to Rule 11 with child revenue waybill Scenario 2 One 1 Rule 11 case to through Revised Janu
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