RR-02 RR-02-05-03 — Enroute Exception Handling (PTC failure, mechanical, weather)
This process handles enroute exceptions for PTC failures, mechanical issues, and weather conditions on US Class I freight railroads.
🗺 BPMN Process Flow
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📋 Process Attributes
| Process ID | RR-02-05-03 |
|---|---|
| Domain Family | NETWORK & PLANNING |
| L1 Domain | Dispatching & Train Movement |
| L2 Process Group | Enroute Exception Handling (PTC failure, mechanical, weather) |
| Trigger | Detection of PTC failure, mechanical fault, or adverse weather condition by the train crew or system monitoring. |
| Outcome | Safe resolution of the exception with minimal disruption to the railroad's operations. |
| Systems | NetControl I-ETMS Harriman Dispatching Center (HDC) EHMS TRAIN II |
| 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 | Exception Detection and Reporting | Locomotive Engineer | NetControl | Train status data, PTC failure alert, mechanical fault report, weather condition report | Incident report to Harriman Dispatching Center | Time from exception detection to reporting < 5 minutes | Delayed reporting due to system connectivity issues | Y | N |
| 1.2 | Initial Assessment and Decision | Train Dispatcher | Harriman Dispatching Center (HDC) | Incident report, train status data, weather forecast | Decision to continue route, reroute, or stop the train | Time from reporting to decision < 10 minutes | Inaccurate weather data leading to incorrect decisions | Y | Y |
| 1.3 | Communication and Instruction | Train Dispatcher | NetControl, I-ETMS | Decision from step 1.2 | Instructions to train crew via radio or digital communication | Time from decision to instruction < 2 minutes | Communication failure between dispatcher and crew | N | Y |
| 1.4 | Crew Response and Action | Locomotive Engineer, Conductor | NetControl | Instructions from step 1.3 | Action taken by crew (e.g., rerouting, stopping) | Time from instruction to action < 5 minutes | Crew not following instructions due to confusion | Y | N |
| 1.5 | Safety Checks and Inspections | Car Inspector (Carman) | EHMS, TRAIN II | Train status data, crew reports | Safety inspection report | Time from action to safety check < 15 minutes | Inadequate safety checks leading to undetected issues | Y | Y |
| 1.6 | Decision on Further Action | Train Dispatcher, Chief Dispatcher | Harriman Dispatching Center (HDC) | Safety inspection report, train status data | Further instructions to crew or decision to clear the train | Time from safety check to further action < 10 minutes | Delayed decision-making due to incomplete information | Y | N |
| 1.7 | Communication of Final Decision | Train Dispatcher | NetControl, I-ETMS | Decision from step 1.6 | Final instructions to train crew via radio or digital communication | Time from further action to communication < 2 minutes | Communication failure between dispatcher and crew | N | Y |
| 1.8 | Crew Execution of Final Instructions | Locomotive Engineer, Conductor | NetControl | Final instructions from step 1.7 | Execution of final actions by crew (e.g., resuming route, clearing the train) | Time from communication to execution < 5 minutes | Crew not following instructions due to confusion | Y | N |
| 1.9 | Post-Exception Review and Documentation | Train Dispatcher, Chief Dispatcher | Harriman Dispatching Center (HDC), TRAIN II | Final actions taken, train status data | Post-exception review report | Time from execution to review < 30 minutes | Incomplete documentation leading to future issues | Y | Y |
| 1.10 | Update of Train Status and System | Train Dispatcher, Control Operator | NetControl, I-ETMS | Post-exception review report | Updated train status in system | Time from review to update < 10 minutes | System failure during update process | N | Y |
| 1.11 | Notification of Affected Parties | Train Dispatcher, Chief Dispatcher | NetControl, I-ETMS | Updated train status, affected parties list | Notifications to affected parties (e.g., customers, other railroads) | Time from update to notification < 5 minutes | Delayed notifications causing further disruptions | Y | N |
| 1.12 | Closure of Exception Case | Train Dispatcher, Chief Dispatcher | Harriman Dispatching Center (HDC), TRAIN II | Notifications sent, final train status | Closed exception case in system | Time from notification to closure < 5 minutes | System failure during closure process | N | Y |
📊 KPIs & Risk Register
KPIs
Time from exception detection to reporting < 5 minutes Time from reporting to decision < 10 minutes Time from decision to instruction < 2 minutes Time from instruction to action < 5 minutes Time from action to safety check < 15 minutes Time from further action to communication < 2 minutes Time from communication to execution < 5 minutes Time from execution to review < 30 minutes Time from review to update < 10 minutes Time from update to notification < 5 minutes Time from notification to closure < 5 minutes
Key Risks
Air brake test defect released to the road Inaccurate weather data leading to incorrect decisions Communication failure between dispatcher and crew Crew not following instructions due to confusion Inadequate safety checks leading to undetected issues
Swim Lanes
Train Dispatcher · 1.2, 1.3, 1.6, 1.7, 1.9, 1.10, 1.11 Locomotive Engineer · 1.1, 1.4, 1.8 Conductor · 1.1, 1.4, 1.8 Car Inspector (Carman) · 1.5 Chief Dispatcher · 1.6, 1.9, 1.10, 1.11