RR-14 RR-14-05-02 — Discipline and Investigation Procedure

This process outlines the discipline and investigation procedure for incidents involving railway employees on a US Class I freight railroad. It ensures compliance with labor laws, investigates incidents, and documents findings to maintain safety and operational integrity.

🗺 BPMN Process Flow

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📋 Process Attributes

Process ID	RR-14-05-02
Domain Family	CORPORATE
L1 Domain	HR, Labor Relations & Training
L2 Process Group	Discipline and Investigation Procedure
Trigger	An incident or violation of operating rules is reported by any employee, supervisor, or external party.
Outcome	A documented investigation report with disciplinary actions if applicable, ensuring compliance with regulations and maintaining safe operations.
Systems	NetControl I-ETMS Umler PS Technology EHMS TRAIN II CHARM Interline Settlement System Wabtrax Harriman Dispatching Center (HDC) Mobile classroom training trailers GCOR
Regulatory Hooks	49 CFR Part 232 GCOR 6.28 Railway Labor Act (45 U.S.C. § 151 et seq.) 49 CFR Part 220 49 CFR Part 228

📋 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 obscure evidence.	N	Y
1.2	Initial Assessment	Train Dispatcher	I-ETMS	Reported incident log	Assessment report	Time to complete initial assessment < 4 hours	Inaccurate assessments can lead to improper handling.	Y	N
1.3	Investigation Initiation	Labor Relations Officer	Umler	Assessment report	Investigation plan	Time to initiate investigation < 24 hours	Delayed investigations can escalate issues.	Y	N
1.4	Interviews and Evidence Collection	Training Instructor (TE&Y / mobile classroom)	PS Technology	Investigation plan	Interview notes and evidence	Number of interviews conducted > 2	Insufficient evidence can weaken disciplinary actions.	N	Y
1.5	Review and Analysis	Labor Relations Officer	EHMS	Interview notes and evidence	Investigation report	Time to complete review < 48 hours	Inadequate analysis can lead to unjust outcomes.	Y	N
1.6	Disciplinary Decision	Chairman, President and CEO (plan sponsor level)	TRAIN II	Investigation report	Disciplinary decision document	Time to make disciplinary decision < 72 hours	Unjust decisions can erode trust in management.	Y	N
1.7	Notification of Employee	Labor Relations Officer	CHARM	Disciplinary decision document	Employee notification letter	Time to notify employee < 24 hours	Late notifications can cause undue stress.	N	Y
1.8	Appeal Process Initiation	Labor Relations Officer	Interline Settlement System	Employee notification letter	Appeal process documentation	Time to initiate appeal process < 48 hours	Lack of appeal options can lead to employee dissatisfaction.	Y	N
1.9	Review of Appeal	VP Network Planning & Operations	Wabtrax	Appeal process documentation	Final decision document	Time to review appeal < 72 hours	Inconsistent review processes can undermine trust.	Y	N
1.10	Final Notification	Labor Relations Officer	Harriman Dispatching Center (HDC)	Final decision document	Final notification letter to employee	Time to notify employee of final decision < 24 hours	Late final notifications can cause prolonged stress.	N	Y
1.11	Training and Preventive Measures	Training Instructor (TE&Y / mobile classroom)	Mobile classroom training trailers	Final decision document	Training session report	Number of employees trained > 50%	Inadequate training can lead to recurring issues.	N	Y
1.12	Review and Continuous Improvement	Service Design / Network Planning Analyst	GCOR	Training session report	Process improvement recommendations	Number of process improvements implemented > 3	Lack of continuous improvement can stagnate safety measures.	Y	N

📊 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 Time to initiate appeal process < 48 hours Time to review appeal < 72 hours Time to notify employee of final decision < 24 hours Number of employees trained > 50% Number of process improvements implemented > 3

Key Risks

Inaccurate assessment leading to improper handling Insufficient evidence weakening disciplinary actions Unjust decisions eroding trust in management Late notifications causing undue stress Lack of appeal options leading to employee dissatisfaction Inconsistent review processes undermining trust Lack of continuous improvement stagnating safety measures

Swim Lanes

Labor Relations Officer · 1.1, 1.3, 1.5, 1.7, 1.9 Train Dispatcher · 1.2 Training Instructor (TE&Y / mobile classroom) · 1.4, 1.11 Chairman, President and CEO (plan sponsor level) · 1.6 VP Network Planning & Operations · 1.9

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/.