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TRANSIT TCRP SYNTHESIS 95 COOPERATIVE RESEARCH PROGRAM Sponsored by Practices for Wayside Rail the Federal Transit Worker Protection Transit Administration A Synthesis of Transit Practice

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TCRP OVERSIGHT AND PROJECT TRANSPORTATION RESEARCH BOARD 2012 EXECUTIVE COMMITTEE* SELECTION COMMITTEE* CHAIR OFFICERS KEITH PARKER Chair: Sandra Rosenbloom, Professor of Planning, University of Arizona, Tucson VIA Metropolitan Transit Vice Chair: Deborah H. Butler, Executive Vice President, Planning, and CIO, Norfolk Southern Corporation, Norfolk, VA MEMBERS Executive Director: Robert E. Skinner, Jr., Transportation Research Board JOHN BARTOSIEWICZ McDonald Transit Associates MEMBERS MICHAEL BLAYLOCK J. BARRY BARKER, Executive Director, Transit Authority of River City, Louisville, KY Jacksonville Transportation Authority WILLIAM A.V. CLARK, Professor of Geography and Professor of Statistics, Department of Geography, RAUL BRAVO University of California, Los Angeles Raul V. Bravo & Associates EUGENE A. CONTI, JR., Secretary of Transportation, North Carolina DOT, Raleigh TERRY GARCIA CREWS JAMES M. CRITES, Executive Vice President of Operations, Dallas-Fort Worth International Metro Cincinnati Airport, TX CAROLYN FLOWERS PAULA J. C. HAMMOND, Secretary, Washington State DOT, Olympia Charlotte Area Transit System MICHAEL W. HANCOCK, Secretary, Kentucky Transportation Cabinet, Frankfort ANGELA IANNUZZIELLO CHRIS T. HENDRICKSON, Duquesne Light Professor of Engineering, Carnegie-Mellon University, Genivar Consultants Pittsburgh, PA JOHN INGLISH ADIB K. KANAFANI, Professor of the Graduate School, University of California, Berkeley Utah Transit Authority GARY P. LAGRANGE, President and CEO, Port of New Orleans, LA PAUL JABLONSKI MICHAEL P. LEWIS, Director, Rhode Island DOT, Providence San Diego Metropolitan Transit System SUSAN MARTINOVICH, Director, Nevada DOT, Carson City SHERRY LITTLE JOAN MCDONALD, Commissioner, New York State DOT, Albany Spartan Solutions LLC MICHAEL R. MORRIS, Director of Transportation, North Central Texas Council of Governments, Arlington JONATHAN H. MCDONALD NEIL J. PEDERSEN, Consultant, Silver Spring, MD HNTB Corporation TRACY L. ROSSER, Vice President, Regional General Manager, Wal-Mart Stores, Inc., GARY W. MCNEIL Mandeville, LA GO Transit HENRY G. (GERRY) SCHWARTZ, JR., Chairman (retired), Jacobs/Sverdrup Civil, Inc., St. Louis, MO BRADFORD MILLER BEVERLY A. SCOTT, General Manager and CEO, Metropolitan Atlanta Rapid Transit Authority, Pinellas Suncoast Transit Authority Atlanta, GA FRANK OTERO DAVID SELTZER, Principal, Mercator Advisors LLC, Philadelphia, PA PACO Technologies KUMARES C. SINHA, Olson Distinguished Professor of Civil Engineering, Purdue University, PETER ROGOFF West Lafayette, IN FTA THOMAS K. SOREL, Commissioner, Minnesota DOT, St. Paul JEFFREY ROSENBERG DANIEL SPERLING, Professor of Civil Engineering and Environmental Science and Policy; Director, Institute Amalgamated Transit Union of Transportation Studies; and Acting Director, Energy Efficiency Center, University of California, Davis RICHARD SARLES KIRK T. STEUDLE, Director, Michigan DOT, Lansing Washington Metropolitan Area Transit Authority DOUGLAS W. STOTLAR, President and CEO, Con-Way, Inc., Ann Arbor, MI MICHAEL SCANLON C. MICHAEL WALTON, Ernest H. Cockrell Centennial Chair in Engineering, University of San Mateo County Transit District Texas, Austin JAMES STEM United Transportation Union EX OFFICIO MEMBERS GARY THOMAS Dallas Area Rapid Transit REBECCA M. BREWSTER, President and COO, American Transportation Research Institute, FRANK TOBEY Smyrna, GA First Transit ANNE S. FERRO, Administrator, Federal Motor Carrier Safety Administration, U.S.DOT MATTHEW O. TUCKER LEROY GISHI, Chief, Division of Transportation, Bureau of Indian Affairs, U.S. Department of North County Transit District the Interior, Washington, DC PHILLIP WASHINGTON JOHN T. GRAY II, Senior Vice President, Policy and Economics, Association of American Railroads, Denver Regional Transit District Washington, DC ALICE WIGGINS-TOLBERT JOHN C. HORSLEY, Executive Director, American Association of State Highway and Parsons Brinckerhoff Transportation Officials, Washington, DC MICHAEL P. HUERTA, Acting Administrator, Federal Aviation Administration, U.S.DOT EX OFFICIO MEMBERS DAVID T. MATSUDA, Administrator, Maritime Administration, U.S.DOT MICHAEL P. MELANIPHY MICHAEL P. MELANIPHY, President and CEO, American Public Transportation Association, APTA Washington, DC ROBERT E. SKINNER, JR. VICTOR M. MENDEZ, Administrator, Federal Highway Administration, U.S.DOT TRB TARA O'TOOLE, Under Secretary for Science and Technology, U.S. Department of Homeland JOHN C. HORSLEY Security, Washington, DC AASHTO ROBERT J. PAPP (Adm., U.S. Coast Guard), Commandant, U.S. Coast Guard, U.S. Department VICTOR MENDEZ of Homeland Security, Washington, DC FHWA CYNTHIA L. QUARTERMAN, Administrator, Pipeline and Hazardous Materials Safety Administration, U.S.DOT TDC EXECUTIVE DIRECTOR PETER M. ROGOFF, Administrator, Federal Transit Administration, U.S.DOT DAVID L. STRICKLAND, Administrator, National Highway Traffic Safety Administration, U.S.DOT LOUIS SANDERS JOSEPH C. SZABO, Administrator, Federal Railroad Administration, U.S.DOT APTA POLLY TROTTENBERG, Assistant Secretary for Transportation Policy, U.S.DOT ROBERT L. VAN ANTWERP (Lt. Gen., U.S. Army), Chief of Engineers and Commanding SECRETARY General, U.S. Army Corps of Engineers, Washington, DC CHRISTOPHER W. JENKS BARRY R. WALLERSTEIN, Executive Officer, South Coast Air Quality Management District, TRB Diamond Bar, CA GREGORY D. WINFREE, Acting Administrator, Research and Innovative Technology Administration, U.S.DOT *Membership as of December 2011. *Membership as of February 2012.

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TRANSIT COOPERATIVE RESEARCH PROGRAM TCRP SYNTHESIS 95 Practices for Wayside Rail Transit Worker Protection A Synthesis of Transit Practice CONSULTANT CHRISTOPHER A. KOZUB Mineta Transportation Institute Woodbridge, New Jersey S UBSCRIBER C ATEGORIES Administration and Management Education and Training Public Transportation Safety and Human Factors Society Research Sponsored by the Federal Transit Administration in Cooperation with the Transit Development Corporation TRANSPORTATION RESEARCH BOARD WASHINGTON, D.C. 2012 www.TRB.org

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TRANSIT COOPERATIVE RESEARCH PROGRAM TCRP SYNTHESIS 95 The nation's growth and the need to meet mobility, environ- Project J-7, Topic SF-15 mental, and energy objectives place demands on public transit ISSN 1073-4880 systems. Current systems, some of which are old and in need of ISBN 978-0-309-22288-4 upgrading, must expand service area, increase service frequency, Library of Congress Control Number 2011941915 and improve efficiency to serve these demands. Research is nec- 2012 National Academy of Sciences. All rights reserved. essary to solve operating problems, to adapt appropriate new technologies from other industries, and to introduce innovations into the transit industry. The Transit Cooperative Research Pro- COPYRIGHT INFORMATION gram (TCRP) serves as one of the principal means by which the transit industry can develop innovative near-term solutions to Authors herein are responsible for the authenticity of their materials and for meet demands placed on it. obtaining written permissions from publishers or persons who own the The need for TCRP was originally identified in TRB Special copyright to any previously published or copyrighted material used herein. Cooperative Research Programs (CRP) grants permission to reproduce Report 213--Research for Public Transit: New Directions, pub- material in this publication for classroom and not-for-profit purposes. lished in 1987 and based on a study sponsored by the Federal Permission is given with the understanding that none of the material will be Transit Administration (FTA). A report by the American Public used to imply TRB, AASHTO, FAA, FHWA, FMCSA, FTA, or Transit Transportation Association (APTA), Transportation 2000, also Development Corporation endorsement of a particular product, method, or recognized the need for local, problem-solving research. TCRP, practice. It is expected that those reproducing the material in this document modeled after the longstanding and successful National Coopera- for educational and not-for-profit uses will give appropriate acknowledgment tive Highway Research Program, undertakes research and other of the source of any reprinted or reproduced material. For other uses of the technical activities in response to the needs of transit service provid- material, request permission from CRP. ers. The scope of TCRP includes a variety of transit research fields including planning, service configuration, equipment, fa- cilities, operations, human resources, maintenance, policy, and ad- NOTICE ministrative practices. The project that is the subject of this report was a part of the Transit Co- TCRP was established under FTA sponsorship in July 1992. operative Research Program, conducted by the Transportation Research Proposed by the U.S. Department of Transportation, TCRP was Board with the approval of the Governing Board of the National Research authorized as part of the Intermodal Surface Transportation Effi- Council. ciency Act of 1991 (ISTEA). On May 13, 1992, a memorandum The members of the technical panel selected to monitor this project and agreement outlining TCRP operating procedures was executed by to review this report were chosen for their special competencies and with the three cooperating organizations: FTA, the National Academy of regard for appropriate balance. The report was reviewed by the technical Sciences, acting through the Transportation Research Board panel and accepted for publication according to procedures established and (TRB); and the Transit Development Corporation, Inc. (TDC), a overseen by the Transportation Research Board and approved by the Gov- erning Board of the National Research Council. nonprofit educational and research organization established by The opinions and conclusions expressed or implied in this report are those APTA. TDC is responsible for forming the independent govern- of the researchers who performed the research and are not necessarily those ing board, designated as the TCRP Oversight and Project Selec- of the Transportation Research Board, the National Research Council, or the tion (TOPS) Committee. program sponsors. Research problem statements for TCRP are solicited periodi- cally but may be submitted to TRB by anyone at any time. It is the responsibility of the TOPS Committee to formulate the re- The Transportation Research Board of the National Academies, the National search program by identifying the highest priority projects. As Research Council, and the sponsors of the Transit Cooperative Research part of the evaluation, the TOPS Committee defines funding Program do not endorse products or manufacturers. Trade or manufacturers' levels and expected products. names appear herein solely because they are considered essential to the Once selected, each project is assigned to an expert panel, ap- object of the report. pointed by TRB. The panels prepare project statements (requests for proposals), select contractors, and provide technical guidance and counsel throughout the life of the project. The process for developing research problem statements and selecting research agencies has been used by TRB in managing cooperative re- search programs since 1962. As in other TRB activities, TCRP project panels serve voluntarily without compensation. Because research cannot have the desired impact if products fail to reach the intended audience, special emphasis is placed on disseminating TCRP results to the intended end users of the re- Published reports of the search: transit agencies, service providers, and suppliers. TRB TRANSIT COOPERATIVE RESEARCH PROGRAM provides a series of research reports, syntheses of transit practice, and other supporting material developed by TCRP research. are available from: APTA will arrange for workshops, training aids, field visits, and Transportation Research Board other activities to ensure that results are implemented by urban Business Office and rural transit industry practitioners. 500 Fifth Street, NW Washington, DC 20001 The TCRP provides a forum where transit agencies can coop- eratively address common operational problems. The TCRP results and can be ordered through the Internet at http://www.national-academies.org/trb/bookstore support and complement other ongoing transit research and train- ing programs. Printed in the United States of America

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The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished schol- ars engaged in scientific and engineering research, dedicated to the furtherance of science and technology and to their use for the general welfare. On the authority of the charter granted to it by the Congress in 1863, the Academy has a mandate that requires it to advise the federal government on scientific and techni- cal matters. Dr. Ralph J. Cicerone is president of the National Academy of Sciences. The National Academy of Engineering was established in 1964, under the charter of the National Acad- emy of Sciences, as a parallel organization of outstanding engineers. It is autonomous in its administration and in the selection of its members, sharing with the National Academy of Sciences the responsibility for advising the federal government. The National Academy of Engineering also sponsors engineering programs aimed at meeting national needs, encourages education and research, and recognizes the superior achieve- ments of engineers. Dr. Charles M. Vest is president of the National Academy of Engineering. The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the services of eminent members of appropriate professions in the examination of policy matters pertaining to the health of the public. The Institute acts under the responsibility given to the National Academy of Sciences by its congressional charter to be an adviser to the federal government and, on its own initiative, to identify issues of medical care, research, and education. Dr. Harvey V. Fineberg is president of the Institute of Medicine. The National Research Council was organized by the National Academy of Sciences in 1916 to associate the broad community of science and technology with the Academy's purposes of furthering knowledge and advising the federal government. Functioning in accordance with general policies determined by the Acad- emy, the Council has become the principal operating agency of both the National Academy of Sciences and the National Academy of Engineering in providing services to the government, the public, and the scientific and engineering communities. The Council is administered jointly by both Academies and the Institute of Medicine. Dr. Ralph J. Cicerone and Dr. Charles M. Vest are chair and vice chair, respectively, of the National Research Council. The Transportation Research Board is one of six major divisions of the National Research Council. The mission of the Transportation Research Board is to provide leadership in transportation innovation and progress through research and information exchange, conducted within a setting that is objective, interdisci- plinary, and multimodal. The Board's varied activities annually engage about 7,000 engineers, scientists, and other transportation researchers and practitioners from the public and private sectors and academia, all of whom contribute their expertise in the public interest. The program is supported by state transportation departments, federal agencies including the component administrations of the U.S. Department of Transporta- tion, and other organizations and individuals interested in the development of transportation. www.TRB.org www.national-academies.org

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TCRP COMMITTEE FOR PROJECT J-7 COOPERATIVE RESEARCH PROGRAMS STAFF CHRISTOPHER W. JENKS, Director, Cooperative Research Programs CHAIR CRAWFORD F. JENCKS, Deputy Director, Cooperative Research DWIGHT A. FERRELL Programs Metropolitan Atlanta Rapid Transit Authority, Atlanta, GA GWEN CHISHOLM SMITH, Senior Program Officer EILEEN P. DELANEY, Director of Publications MEMBERS DEBRA W. ALEXANDER SYNTHESIS STUDIES STAFF Capital Area Transportation Authority, Lansing, MI STEPHEN R. GODWIN, Director for Studies and Special Programs DONNA DeMARTINO JON M. WILLIAMS, Program Director, IDEA and Synthesis Studies San Joaquin Regional Transit District, Stockton, CA JO ALLEN GAUSE, Senior Program Officer MARK W. FUHRMANN GAIL STABA, Senior Program Officer Metro TransitMinneapolis/St. Paul, MN DONNA L. VLASAK, Senior Program Officer ROBERT H. IRWIN TANYA M. ZWAHLEN, Consultant Consultant, Sooke, BC, Canada DON TIPPMAN, Senior Editor JEANNE KRIEG CHERYL KEITH, Senior Program Assistant Eastern Contra Costa Transit Authority, Antioch, CA DEMISHA WILLIAMS, Senior Program Assistant PAUL J. LARROUSSE DEBBIE IRVIN, Program Associate Rutgers, The State University of New Jersey, New Brunswick, NJ DAVID A. LEE TOPIC PANEL Connecticut Transit, Hartford, CT EDWARD BOGHOSSIAN, Los Angeles METRO FRANK T. MARTIN BRIAN P. DWYER, Metropolitan Atlanta Rapid Transit Authority Atkins, Tallahassee, FL JOHN FIELD, Toronto Transit Commission BRADFORD J. MILLER RICHARD A. INCLIMA, Brotherhood of Maintenance of Way Pinellas Suncoast Transit Authority, St. Petersburg, FL Employees, Washington, DC HAYWARD M. SEYMORE, III FRANK N. LISLE, Transportation Research Board Kitsap Transit, Bremerton, WA SHERRY L. NELSON, Utah Transit Authority-Rail Services, Midvale FRANK TOBEY PHIL OLEKSZYK, World Wide Rail, Inc., Gloucester, VA First Transit, Inc., Moscow, TN ANTHONY ROBERTS, TriMet, Portland, OR PAM WARD TAREK SAYED, University of British ColumbiaCivil Engineering, Ottumwa Transit Authority, Ottumwa, IA Vancouver ROY WEI SHUN CHEN, Federal Transit Authority (Liaison) FTA LIAISON ANGELA DLUGER, Federal Transit Authority (Liaison) MICHAEL BALTES ANTHONY ZAKEL, Federal Transit Authority (Liaison) Federal Transit Administration WILLIAM GRIZARD, American Public Transportation Association LISA COLBERT (Liaison) Federal Transit Administration APTA LIAISON KEVIN DOW American Public Transportation Association TRB LIAISON JENNIFER ROSALES Transportation Research Board Cover photo: Toronto Transit Commission signal maintainer contacting the Control Center before entering track level areas. (Photo by Chris Kozub)

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FOREWORD Transit administrators, engineers, and researchers often face problems for which infor- mation already exists, either in documented form or as undocumented experience and prac- tice. This information may be fragmented, scattered, and unevaluated. As a consequence, full knowledge of what has been learned about a problem may not be brought to bear on its solution. Costly research findings may go unused, valuable experience may be overlooked, and due consideration may not be given to recommended practices for solving or alleviat- ing the problem. There is information on nearly every subject of concern to the transit industry. Much of it derives from research or from the work of practitioners faced with problems in their day- to-day work. To provide a systematic means for assembling and evaluating such useful information and to make it available to the entire transit community, the Transit Coopera- tive Research Program Oversight and Project Selection (TOPS) Committee authorized the Transportation Research Board to undertake a continuing study. This study, TCRP Project J-7, "Synthesis of Information Related to Transit Problems," searches out and synthesizes useful knowledge from all available sources and prepares concise, documented reports on specific topics. Reports from this endeavor constitute a TCRP report series, Synthesis of Transit Practice. This synthesis series reports on current knowledge and practice, in a compact format, without the detailed directions usually found in handbooks or design manuals. Each report in the series provides a compendium of the best knowledge available on those measures found to be the most successful in resolving specific problems. PREFACE The purpose of the synthesis was to report the state of the practice to aid transit agencies By Donna L. Vlasak and other entities in deciding how to develop successful wayside rail track worker protection Senior Program Officer practices. Transportation The topic panel directed the consultant to conduct in-depth telephone interviews and site Research Board visits with selected transit agencies' staffs to provide a comprehensive look at how repre- sentative agencies provide successful wayside worker safety programs, covering multiple items. The goal was to aid streetcar, light and heavy rail providers, and other stakeholders in deciding how to proceed in developing and/or revising track worker protection practices. A review of the relevant literature was conducted to identify available and relevant docu- ments and resources drawn from the FTA, GAO, and NTSB reports; FRA regulations and APTA standards resources; as well as numerous state, regional, and local agency issued publications. Thirty-nine publications are listed. It was determined that in-depth case studies for SF-15 would provide more thorough syn- thesis reporting of subject areas at select agencies and be more beneficial and useful to other transit agencies than cursory synthesis survey reporting of numerous subject areas across a larger number of agencies. The transit agencies studies were part of a Track Safety Task Force formed by New York City Transit as a result of track worker fatalities to evaluate safety culture, identify defi- ciencies and strengths, and develop recommendations for improvement. This task force was later joined by the Toronto Transit Commission in a Track Level Safety Team and charged with further improvements for workers at track level. Other systems soon formed or re- constituted "Rules Committees." Thus, these five transit agencies afforded the SF-15 panel with a range of modal, operational demographic, size, and historical context from which to look at proven practices and processes in implementing wayside rail track worker protection.

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Christopher A. Kozub, Mineta Transportation Institute, Woodbridge, New Jersey, col- lected and synthesized the information and wrote the report, under the guidance of a panel of experts in the subject area. The members of the topic panel are acknowledged on the pre- ceding page. This synthesis is an immediately useful document that records the practices that were acceptable within the limitations of the knowledge available at the time of its preparation. As progress in research and practice continues, new knowledge will be added to that now at hand.

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CONTENTS 1 SUMMARY 3 CHAPTER ONE INTRODUCTION Project Objectives and Background, 3 Research Methodology, 4 Organization of Report, 6 7 CHAPTER TWO PRE-WORK ACCIDENT PREVENTION Introduction, 7 Target Audiences, 7 Rules Development, Communication, and Enforcement, 7 Training and Certification, 9 Hazard Identification and Evaluation, 12 Conclusion, 13 15 CHAPTER THREE WORK-SITE PROTECTION Introduction, 15 Job Briefings and Establishing Work Sites, 15 Communication Practices, 18 Track Worker Personal Protective Equipment, 20 Warning and Protective Devices and Technology, 22 Flagging Equipment, 28 Designated Levels of Protection and Flagging, 30 Safety Challenges, 44 Conclusion, 48 49 CHAPTER FOUR SAFETY AUDITS, INCIDENT REPORTING, ANALYSIS, AND FOLLOW-UP ACTIONS Introduction, 49 State Safety Oversight Program, 49 Accident Investigations, 49 Near Misses, 50 Rules Violations, 50 Ongoing Data Evaluation and Continuous Improvement, 51 Conclusion, 51 52 CHAPTER FIVE CONCLUSIONS AND RECOMMENDATIONS FOR FURTHER RESEARCH 54 GLOSSARY 56 REFERENCES

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57 BIBLIOGRAPHY 59 APPENDIX A TRANSIT AGENCY SYSTEM MAPS 64 APPENDIX B AGENCY INTERVIEW GUIDE 78 APPENDIX C LIST OF PERSONS INTERVIEWED Note: Many of the photographs, figures, and tables in this report have been converted from color to grayscale for printing. The electronic version of the report (posted on the Web at www.trb.org) retains the color versions.