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RR-15 RR-15-01-02 — STB Major Merger Application Process

This process documents the application submission and review stages for a major merger of two US Class I freight railroads, focusing on regulatory compliance, network integration, and operational readiness.

🗺 BPMN Process Flow
RR-15-01-02 BPMN Diagram

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📋 Process Attributes
Process IDRR-15-01-02
Domain FamilyCORPORATE
L1 DomainMerger & Network Integration
L2 Process GroupSTB Major Merger Application Process
TriggerInitiation by Chairman/CEO after approval of the merger agreement
OutcomeSuccessful STB Major Merger Application Process completion, leading to regulatory approval and network integration planning.
SystemsNetControl I-ETMS Umler EHMS CHARM ISS / SSDX / CHDX Harriman Dispatching Center (HDC) Wayside defect detector network Machine Vision portals
Regulatory Hooks49 CFR Part 1180 49 CFR Part 232 AAR Interchange Rules (Rule 88 and related)
📋 L4 Process Steps
StepNameRoleSystem InputOutputKPIPain Point / Risk Decision?Exception?
1.1 Application Preparation Integration Program Management Office (PMO) lead NetControl Merger agreement details, network maps, and operational data STB Application Draft Application completeness within 30 days Data accuracy and completeness N Y
1.2 Regulatory Compliance Review Chairman/CEO I-ETMS STB Application Draft Compliance Report Regulatory compliance identified within 10 days Understanding complex regulatory requirements Y N
1.3 Network Integration Planning VP Network Planning & Operations Umler Compliance Report, network maps Integration Plan Plan finalized within 20 days Coordination of multiple stakeholders Y Y
1.4 Service Design Review Service Design / Network Planning Analyst NetControl Integration Plan Service Design Document Design approved within 15 days Balancing service needs with operational constraints Y N
1.5 Equipment Health Assessment Locomotive Engineer EHMS Integration Plan, equipment list Health Report Assessment completed within 7 days Equipment readiness N Y
1.6 Train Dispatcher Coordination Train Dispatcher Harriman Dispatching Center (HDC) Service Design Document, schedule Dispatch Schedule Schedule finalized within 10 days Scheduling conflicts Y N
1.7 Car Hire Accounting Update Car Inspector (Carman) CHARM Integration Plan, car list Updated Car Hire Data Data updated within 5 days Accurate data entry N Y
1.8 Interline Settlement Review VP Network Planning & Operations ISS / SSDX / CHDX Integration Plan, settlement terms Settlement Agreement Agreement signed within 14 days Negotiating fair terms Y N
1.9 Wayside Defect Detection Review Track Inspector Wayside defect detector network Integration Plan, track data Defect Report Report completed within 10 days Identifying critical defects Y N
1.10 Machine Vision Portal Review Train Dispatcher Machine Vision portals Integration Plan, vision data Vision Report Report reviewed within 7 days Interpreting visual data N Y
1.11 Positive Train Control Integration Integration Program Management Office (PMO) lead I-ETMS Integration Plan, PTC data PTC Configuration Document Configuration completed within 15 days System compatibility Y N
1.12 Final Application Submission Chairman/CEO NetControl All reviewed documents, final plan STB Application Submission Submission made within 5 days Completeness and accuracy N Y
📊 KPIs & Risk Register

KPIs

Application completeness within 30 days Regulatory compliance identified within 10 days Plan finalized within 20 days Design approved within 15 days Assessment completed within 7 days Schedule finalized within 10 days Data updated within 5 days Agreement signed within 14 days Report completed within 10 days Report reviewed within 7 days Configuration completed within 15 days Submission made within 5 days

Key Risks

Regulatory non-compliance leading to delays Network integration issues causing service disruptions Equipment readiness problems affecting operations Scheduling conflicts impacting train movements Inaccurate data entry in car hire accounting

Swim Lanes

Integration Program Management Office (PMO) lead · 1.1, 1.3, 1.4, 1.6, 1.8, 1.10, 1.12 Chairman/CEO · 1.2, 1.12 VP Network Planning & Operations · 1.3, 1.8 Service Design / Network Planning Analyst · 1.4 Locomotive Engineer · 1.5 Train Dispatcher · 1.6, 1.10 Car Inspector (Carman) · 1.7 Track Inspector · 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/.