RR-07 RR-07-09-01 — STB Regulatory Filings and Annual Reporting

This process involves the preparation and submission of annual regulatory filings to the Surface Transportation Board (STB) by a US Class I freight railroad. It ensures compliance with STB regulations and includes data collection, review, and reporting.

🗺 BPMN Process Flow

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📋 Process Attributes

Process ID	RR-07-09-01
Domain Family	CORPORATE
L1 Domain	Safety & Regulatory Compliance
L2 Process Group	STB Regulatory Filings and Annual Reporting
Trigger	The start of each calendar year or as required by STB notifications.
Outcome	Successful completion results in accurate and timely submission of all required regulatory filings to the STB, ensuring ongoing compliance and avoiding penalties.
Systems	NetControl I-ETMS C3RS GCOR TRAIN II CHARM
Regulatory Hooks	49 CFR Part 1180 GCOR

📋 L4 Process Steps

Step	Name	Role	System	Input	Output	KPI	Pain Point / Risk	Decision?	Exception?
1.1	Initiate Annual Reporting Process	Chief Safety Officer / VP Safety	GCOR	Annual reporting guidelines from STB	Internal notification to start annual reporting process	Compliance with STB deadlines	Late initiation due to internal delays	N	N
1.2	Data Collection for Annual Report	Service Design / Network Planning Analyst	NetControl, I-ETMS	Operational data from various systems	Compiled annual report data	Accuracy of collected data	Data discrepancies or missing information	N	Y
1.3	Review and Validate Data	Rules Officer	C3RS, GCOR	Compiled annual report data	Validated annual report data	Data validation accuracy rate	Errors in data validation	Y	Y
1.4	Prepare Regulatory Filings	Train Dispatcher	TRAIN II, CHARM	Validated annual report data	Draft regulatory filings	Timeliness of filing preparation	Complexity in preparing multiple filings	N	Y
1.5	Review and Finalize Filings	Chief Dispatcher	GCOR, Umler	Draft regulatory filings	Finalized regulatory filings	Number of revisions required	Inconsistent data interpretation	Y	N
1.6	Submit Filings to STB	VP Network Planning & Operations	NetControl, I-ETMS	Finalized regulatory filings	Confirmation of submission	Submission accuracy rate	Technical issues during submission	N	Y
1.7	Monitor STB Response	Rules Instructor / Rules Officer	GCOR, C3RS	Confirmation of submission	STB response and feedback	Response time from STB	Delayed responses from STB	Y	N
1.8	Address STB Feedback	Service Design / Network Planning Analyst	NetControl, I-ETMS	STB response and feedback	Corrected filings if necessary	Number of corrections made	Complex STB feedback to address	Y	Y
1.9	Final Submission and Documentation	VP Network Planning & Operations	NetControl, I-ETMS	Corrected filings if necessary	Final submission to STB with documentation	Total time from initiation to final submission	Multiple submissions due to errors	N	Y
1.10	Internal Review and Approval	Chairman, President and CEO	GCOR	Final submission to STB with documentation	Approval for final submission	Time taken for internal review	Delays in obtaining senior management approval	Y	N
1.11	Final Submission to STB	VP Network Planning & Operations	NetControl, I-ETMS	Approval for final submission	Confirmation of final submission	Submission accuracy rate	Technical issues during final submission	N	Y
1.12	Post-Submission Review and Documentation	Rules Officer	GCOR, C3RS	Confirmation of final submission	Post-submission review documentation	Number of post-submission issues identified	Identifying and addressing post-submission issues	Y	N

📊 KPIs & Risk Register

KPIs

Compliance with STB deadlines Accuracy of collected data Data validation accuracy rate Timeliness of filing preparation Number of revisions required Submission accuracy rate Response time from STB Number of corrections made Total time from initiation to final submission Time taken for internal review Number of post-submission issues identified

Key Risks

Data discrepancies or missing information Errors in data validation Complexity in preparing multiple filings Technical issues during submission Delays in obtaining senior management approval Identifying and addressing post-submission issues

Swim Lanes

Chief Safety Officer / VP Safety · 1.1, 1.3 Service Design / Network Planning Analyst · 1.2, 1.4, 1.8, 1.9, 1.11 Train Dispatcher · 1.4 Chief Dispatcher · 1.5, 1.7 Rules Instructor / Rules Officer · 1.3, 1.7, 1.12 VP Network Planning & Operations · 1.6, 1.9, 1.10, 1.11 Chairman, President and CEO · 1.10

Independently compiled from public sources. Not affiliated with, sponsored by, or endorsed by Union Pacific or any other railroad. Illustrative of US Class I practice; every system, regulation, role and metric named here traces to a sourced entry in registries/.