RR-02 RR-02-05-01 — Enroute Exception Handling (PTC failure, mechanical, weather)
This process outlines the handling of enroute exceptions for Class I freight railroads, including PTC failures, mechanical issues, and weather conditions. It ensures safe and efficient train operations while adhering to regulatory requirements.
🗺 BPMN Process Flow
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📋 Process Attributes
| Process ID | RR-02-05-01 |
|---|---|
| Domain Family | NETWORK & PLANNING |
| L1 Domain | Dispatching & Train Movement |
| L2 Process Group | Enroute Exception Handling (PTC failure, mechanical, weather) |
| Trigger | Detection of a PTC failure, mechanical malfunction, or adverse weather condition during train movement. |
| Outcome | Safe rerouting, repair, or delay management of the affected train to minimize disruption to the rail network. |
| Systems | NetControl CADx I-ETMS PS Technology |
| Regulatory Hooks | 49 CFR Part 232 GCOR 6.28 |
📋 L4 Process Steps
| Step | Name | Role | System | Input | Output | KPI | Pain Point / Risk | Decision? | Exception? |
|---|---|---|---|---|---|---|---|---|---|
| 1.1 | Identify Exception | Train Dispatcher | NetControl / CADx | Real-time data from I-ETMS, Wabtrax, and wayside defect detectors | Exception report | Time to identify exception < 5 minutes | Delayed detection can lead to safety risks. | Y | N |
| 1.2 | Assess Impact | Train Dispatcher | NetControl / CADx, I-ETMS | Exception report, train schedule, and network status | Impact assessment report | Time to assess impact < 10 minutes | Overestimating or underestimating the impact can lead to inefficient resource allocation. | Y | N |
| 1.3 | Determine Mitigation Strategy | Train Dispatcher | NetControl / CADx, I-ETMS | Impact assessment report, available resources, and regulatory guidelines | Mitigation plan | Time to determine mitigation strategy < 15 minutes | Choosing an inappropriate mitigation strategy can exacerbate the situation. | Y | Y |
| 1.4 | Notify Affected Parties | Train Dispatcher, Crew Caller / Crew Dispatcher | NetControl / CADx, PS Technology (PST) | Mitigation plan | Notification to locomotive engineer, conductor, and crew dispatcher | Time to notify all parties < 5 minutes | Inadequate communication can lead to confusion and delays. | N | Y |
| 1.5 | Execute Mitigation Strategy | Train Dispatcher, Locomotive Engineer, Conductor | NetControl / CADx, I-ETMS | Mitigation plan | Updated train schedule and status | Time to execute mitigation strategy < 30 minutes | Poor execution can lead to further delays or safety issues. | Y | N |
| 1.6 | Monitor Train Status | Train Dispatcher, Control Operator | NetControl / CADx, I-ETMS | Real-time train data | Status report | Frequency of status updates > every 10 minutes | Lack of continuous monitoring can lead to undetected issues. | N | Y |
| 1.7 | Evaluate Exception Resolution | Train Dispatcher, Chief Dispatcher | NetControl / CADx, I-ETMS | Status report, train schedule | Resolution evaluation report | Time to evaluate resolution < 10 minutes | Inaccurate evaluation can lead to incomplete recovery. | Y | N |
| 1.8 | Update Network Schedule | Train Dispatcher, Chief Dispatcher | NetControl / CADx, I-ETMS | Resolution evaluation report | Updated network schedule | Time to update network schedule < 5 minutes | Outdated schedules can cause further disruptions. | N | Y |
| 1.9 | Document Incident | Train Dispatcher, Chief Dispatcher | NetControl / CADx, I-ETMS | Resolution evaluation report | Incident report | Time to document incident < 10 minutes | Incomplete documentation can lead to future incidents. | N | Y |
| 1.10 | Review and Improve Process | Service Design / Network Planning Analyst, VP Network Planning & Operations | NetControl (service design use) | Incident report, process logs | Process improvement plan | Time to review and improve process < 1 week | Failure to improve processes can lead to recurring issues. | Y | N |
📊 KPIs & Risk Register
KPIs
Time to identify exception < 5 minutes Time to assess impact < 10 minutes Time to determine mitigation strategy < 15 minutes Time to notify all parties < 5 minutes Frequency of status updates > every 10 minutes Time to execute mitigation strategy < 30 minutes Time to evaluate resolution < 10 minutes Time to update network schedule < 5 minutes Time to document incident < 10 minutes Time to review and improve process < 1 week
Key Risks
Air brake test defect released to the road Inadequate communication leading to confusion and delays Poor execution of mitigation strategy causing further delays or safety issues Lack of continuous monitoring leading to undetected issues Incomplete recovery due to inaccurate evaluation
Swim Lanes
Train Dispatcher · 1.1, 1.2, 1.3, 1.4, 1.5, 1.6, 1.7, 1.8, 1.9 Control Operator · 1.6 Chief Dispatcher · 1.3, 1.7, 1.9 Crew Caller / Crew Dispatcher · 1.4