RR-15 RR-15-01-01 — STB Major Merger Application Process
This process outlines the steps involved in submitting and obtaining approval for a major merger application to the Surface Transportation Board (STB) by a US Class I freight railroad.
🗺 BPMN Process Flow
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📋 Process Attributes
| Process ID | RR-15-01-01 |
|---|---|
| Domain Family | CORPORATE |
| L1 Domain | Merger & Network Integration |
| L2 Process Group | STB Major Merger Application Process |
| Trigger | Initiation of a major merger plan by the Chairman/CEO or President and CEO |
| Outcome | Successful submission and approval of the major merger application by the STB, leading to integration of networks and operations. |
| Systems | NetControl I-ETMS |
| Regulatory Hooks | 49 CFR Part 1180 49 CFR Part 232 GCOR 6.28 |
📋 L4 Process Steps
| Step | Name | Role | System | Input | Output | KPI | Pain Point / Risk | Decision? | Exception? |
|---|---|---|---|---|---|---|---|---|---|
| 1.1 | Initiate Merger Planning | Chairman/CEO | NetControl (service design use) | Merger proposal document | Merger planning report | Time to complete merger plan within 6 months | Resource allocation for merger planning | N | N |
| 1.2 | Conduct Network Impact Analysis | Integration Program Management Office (PMO) lead | NetControl, I-ETMS | Merger planning report | Network impact analysis report | Completion of network impact analysis within 3 months | Data accuracy and completeness for analysis | N | Y |
| 1.3 | Prepare STB Application | Integration Program Management Office (PMO) lead | NetControl, I-ETMS | Network impact analysis report | STB application package | Submission of STB application within 4 months from merger plan initiation | Compliance with STB submission guidelines | Y | N |
| 1.4 | Review and Validate Application | Chairman/CEO, President and CEO (plan sponsor level) | NetControl, I-ETMS | STB application package | Validated STB application package | Time to validate application within 1 month from submission preparation | Regulatory compliance and stakeholder feedback | Y | N |
| 1.5 | Submit Application to STB | Integration Program Management Office (PMO) lead | NetControl, I-ETMS | Validated STB application package | STB submission confirmation | Time to submit application within 1 week from validation | Technical issues with STB submission portal | N | Y |
| 1.6 | Monitor STB Review Process | Integration Program Management Office (PMO) lead | NetControl, I-ETMS | STB submission confirmation | STB review status updates | Time to receive initial review feedback within 6 months from submission | Delays in STB review process | Y | N |
| 1.7 | Respond to STB Comments | Integration Program Management Office (PMO) lead | NetControl, I-ETMS | STB review status updates | Comments response document | Time to respond to comments within 2 months from receipt | Complexity of STB comments | Y | N |
| 1.8 | Finalize Merger Agreement | Chairman/CEO, President and CEO (plan sponsor level) | NetControl, I-ETMS | Comments response document | Signed merger agreement | Time to finalize merger agreement within 1 month from comments response | Negotiation of terms and conditions | Y | N |
| 1.9 | Implement Merger Plan | Integration Program Management Office (PMO) lead | NetControl, I-ETMS | Signed merger agreement | Merger implementation plan | Time to implement merger plan within 6 months from finalization | Coordination of multiple stakeholders | Y | N |
| 1.10 | Review and Adjust Implementation | Integration Program Management Office (PMO) lead | NetControl, I-ETMS | Merger implementation plan | Adjusted merger implementation plan | Time to review and adjust implementation within 3 months from start | Operational challenges during implementation | Y | N |
| 1.11 | Finalize Network Integration | Integration Program Management Office (PMO) lead | NetControl, I-ETMS | Adjusted merger implementation plan | Integrated network operations | Time to finalize network integration within 12 months from start | Integration of disparate systems and processes | Y | N |
| 1.12 | Report to STB on Completion | Integration Program Management Office (PMO) lead | NetControl, I-ETMS | Integrated network operations | Completion report to STB | Time to submit completion report within 1 month from finalization | Accurate reporting of integration outcomes | N | Y |
📊 KPIs & Risk Register
KPIs
Time to complete merger plan within 6 months Completion of network impact analysis within 3 months Submission of STB application within 4 months from merger plan initiation Time to validate application within 1 month from submission preparation Time to submit application within 1 week from validation Time to receive initial review feedback within 6 months from submission Time to respond to comments within 2 months from receipt Time to finalize merger agreement within 1 month from comments response Time to implement merger plan within 6 months from finalization Time to review and adjust implementation within 3 months from start Time to finalize network integration within 12 months from start Time to submit completion report within 1 month from finalization
Key Risks
Resource allocation for merger planning Data accuracy and completeness for analysis Compliance with STB submission guidelines Regulatory compliance and stakeholder feedback Technical issues with STB submission portal Delays in STB review process Complexity of STB comments Negotiation of terms and conditions Coordination of multiple stakeholders Operational challenges during implementation Integration of disparate systems and processes Accurate reporting of integration outcomes
Swim Lanes
Chairman/CEO · 1.1, 1.4, 1.8 Integration Program Management Office (PMO) lead · 1.2, 1.3, 1.5, 1.6, 1.7, 1.9, 1.10, 1.11, 1.12 President and CEO (plan sponsor level) · 1.4, 1.8