RR-14 RR-14-05-01 — Discipline and Investigation Procedure
This process outlines the discipline and investigation procedure for incidents involving railway employees, ensuring compliance with labor laws and regulations while maintaining operational integrity.
🗺 BPMN Process Flow
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📋 Process Attributes
| Process ID | RR-14-05-01 |
|---|---|
| Domain Family | CORPORATE |
| L1 Domain | HR, Labor Relations & Training |
| L2 Process Group | Discipline and Investigation Procedure |
| Trigger | Report of a disciplinary incident by any employee or supervisor |
| Outcome | A documented resolution that may include disciplinary action, training, or corrective measures to prevent future occurrences. |
| Systems | NetControl I-ETMS Umler PS Technology TRAIN II TE&Y (Train, Engine & Yard) New Hire Training program |
| Regulatory Hooks | 49 CFR Part 232 Railway Labor Act (45 U.S.C. § 151 et seq.) |
📋 L4 Process Steps
| Step | Name | Role | System | Input | Output | KPI | Pain Point / Risk | Decision? | Exception? |
|---|---|---|---|---|---|---|---|---|---|
| 1.1 | Incident Reporting | Labor Relations Officer | NetControl | Incident report form | Reported incident log | Time to report an incident < 2 hours | Delayed reporting can affect investigation timelines | N | Y |
| 1.2 | Initial Assessment | Labor Relations Officer | Umler | Reported incident log | Assessment report | Time to complete initial assessment < 4 hours | Inaccurate assessments can lead to improper disciplinary actions | Y | N |
| 1.3 | Investigation Initiation | Labor Relations Officer | I-ETMS | Assessment report | Investigation plan | Time to initiate investigation < 24 hours | Delayed investigations can escalate issues | Y | N |
| 1.4 | Interviews and Evidence Collection | Labor Relations Officer | TRAIN II | Investigation plan | Interview notes and evidence summary | Number of interviews conducted > 2 | Insufficient evidence can weaken disciplinary actions | N | Y |
| 1.5 | Review and Analysis | Labor Relations Officer | PS Technology | Interview notes and evidence summary | Investigation report | Time to complete review < 48 hours | Errors in analysis can lead to unfair decisions | Y | N |
| 1.6 | Disciplinary Decision | Chairman, President and CEO | NetControl | Investigation report | Disciplinary decision document | Time to make disciplinary decision < 72 hours | Unjust decisions can lead to legal challenges | Y | N |
| 1.7 | Notification of Decision | Labor Relations Officer | Umler | Disciplinary decision document | Notification letter | Time to notify employee < 24 hours | Late notifications can cause morale issues | N | Y |
| 1.8 | Training Requirement Assessment | Labor Relations Officer | TE&Y (Train, Engine & Yard) New Hire Training program | Disciplinary decision document | Training requirement assessment report | Number of employees requiring training > 0 | Insufficient training can lead to recurring incidents | Y | N |
| 1.9 | Training Implementation | Training Instructor (TE&Y / mobile classroom) | Mobile classroom training trailers | Training requirement assessment report | Training completion certificates | Number of employees trained > 0 | Inadequate training can affect employee performance | N | Y |
| 1.10 | Review and Documentation | Labor Relations Officer | PS Technology | Training completion certificates | Final disciplinary case file | Time to complete documentation < 7 days | Incomplete documentation can lead to legal issues | Y | N |
| 1.11 | Follow-up Review | Labor Relations Officer | TRAIN II | Final disciplinary case file | Follow-up review report | Time to complete follow-up < 30 days | Lack of follow-up can miss opportunities for improvement | Y | N |
| 1.12 | Final Case Closure | Labor Relations Officer | Umler | Follow-up review report | Closed case file | Time to close the case < 60 days | Delayed closure can affect employee morale and operations | N | Y |
📊 KPIs & Risk Register
KPIs
Time to report an incident < 2 hours Time to complete initial assessment < 4 hours Time to initiate investigation < 24 hours Number of interviews conducted > 2 Time to complete review < 48 hours Time to make disciplinary decision < 72 hours Time to notify employee < 24 hours Number of employees requiring training > 0 Number of employees trained > 0 Time to complete documentation < 7 days Time to complete follow-up < 30 days Time to close the case < 60 days
Key Risks
Improper disciplinary actions due to inaccurate assessments Legal challenges from unjust decisions Morale issues from late notifications Recurring incidents due to insufficient training Inadequate performance due to inadequate training
Swim Lanes
Labor Relations Officer · 1.1, 1.2, 1.3, 1.4, 1.5, 1.6, 1.7, 1.8, 1.9, 1.10, 1.11 Chairman, President and CEO · 1.6 Training Instructor (TE&Y / mobile classroom) · 1.9