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RR-07 RR-07-09-02 — STB Regulatory Filings and Annual Reporting

This process involves the preparation, submission, and tracking of STB regulatory filings and annual reporting for a US Class I freight railroad. It ensures compliance with federal regulations and internal safety protocols.

🗺 BPMN Process Flow
RR-07-09-02 BPMN Diagram

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📋 Process Attributes
Process IDRR-07-09-02
Domain FamilyCORPORATE
L1 DomainSafety & Regulatory Compliance
L2 Process GroupSTB Regulatory Filings and Annual Reporting
TriggerAnnual review cycle or significant operational changes requiring regulatory updates
OutcomeSuccessful completion results in accurate, timely, and compliant STB filings and annual reports, maintaining regulatory compliance and enhancing operational transparency.
SystemsNetControl I-ETMS GCOR C3RS TRAIN II EHMS PS Technology CHARM
Regulatory Hooks49 CFR Part 217 49 CFR Part 232 GCOR C3RS
📋 L4 Process Steps
StepNameRoleSystem InputOutputKPIPain Point / Risk Decision?Exception?
1.1 Initiate Regulatory Filings Process Chief Safety Officer / VP Safety GCOR Annual review cycle or significant changes report Regulatory filing checklist Time to initiate process under 24 hours Lack of clear regulatory guidelines N N
1.2 Review and Compile Data Rules Instructor / Rules Officer TRAIN II, EHMS Regulatory filing checklist Compiled data report Data compilation accuracy above 95% Inconsistent data reporting across systems N Y
1.3 Conduct Internal Audit Chief Dispatcher I-ETMS, Umler Compiled data report Audit findings report Audit completion within 7 days Resource allocation for audits Y N
1.4 Prepare Regulatory Filings Train Dispatcher NetControl, PS Technology Audit findings report Draft regulatory filings Filings prepared within 30 days of audit completion Complexity in filing formats N Y
1.5 Review and Approve Filings VP Network Planning & Operations GCOR, C3RS Draft regulatory filings Approved regulatory filings Approval time under 5 working days Conflicting internal policies Y N
1.6 Submit Filings to STB Service Design / Network Planning Analyst NetControl, I-ETMS Approved regulatory filings Submission confirmation Filings submitted within 24 hours of approval Technical issues with submission platform N Y
1.7 Monitor STB Response Rules Officer NetControl, I-ETMS Submission confirmation STB response report Response received within 30 days of submission Delays in STB processing Y N
1.8 Address STB Comments Chief Safety Officer / VP Safety GCOR, C3RS STB response report Revised regulatory filings Comments addressed within 10 working days of receipt Complexity in addressing comments N Y
1.9 Resubmit Revised Filings Service Design / Network Planning Analyst NetControl, I-ETMS Revised regulatory filings Final submission confirmation Resubmission within 5 working days of addressing comments Technical issues with resubmission N Y
1.10 Finalize and Archive Records Rules Instructor / Rules Officer TRAIN II, CHARM Final submission confirmation Archived regulatory filing records Records archived within 7 days of final submission Insufficient storage capacity N N
1.11 Review and Update Internal Policies VP Network Planning & Operations GCOR, C3RS Final submission confirmation Updated internal policies Policies updated within 1 month of final submission Resistance to policy changes Y N
1.12 Report on Regulatory Compliance Chief Safety Officer / VP Safety NetControl, I-ETMS Updated internal policies Regulatory compliance report Compliance report generated within 2 weeks of policy update Data integration issues N Y
📊 KPIs & Risk Register

KPIs

Time to initiate process under 24 hours Data compilation accuracy above 95% Audit completion within 7 days Filings prepared within 30 days of audit completion Approval time under 5 working days Filings submitted within 24 hours of approval Response received within 30 days of submission Comments addressed within 10 working days of receipt Resubmission within 5 working days of addressing comments Records archived within 7 days of final submission

Key Risks

Inconsistent data reporting across systems Resource allocation for audits Complexity in filing formats Conflicting internal policies Technical issues with submission platform Delays in STB processing Complexity in addressing comments Technical issues with resubmission Insufficient storage capacity Resistance to policy changes

Swim Lanes

Chief Safety Officer / VP Safety · 1.1, 1.4, 1.8, 1.10, 1.12 Rules Instructor / Rules Officer · 1.2, 1.6, 1.9, 1.11 Chief Dispatcher · 1.3 Train Dispatcher · 1.5 VP Network Planning & Operations · 1.7, 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/.