Practices for Wayside Rail Transit Worker Protection (2012)

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64 APPENDIX B Agency Interview Guide TCRP Synthesis J-07/Topic SF-15 – Interview Guide Practices in Wayside Rail Track/Transit Worker Safety Protection Agency Name: ___________________________________ Date: ___________ Section I: Rules, Training, and Certification Section I-A: Rules 1. What crafts are governed by rules on ROW safety procedures? (Check all that apply.)  Track  Traction Power  Communications and Signal  Buildings, Facilities and Bridges  Vehicle/Rolling Stock Maintenance  Operators  Control Center Employees  Emergency Responders  Other: __________________________________________________________________________________ 2. Are employees and contractors governed by the same rules?  Yes  No (if no, please explain why): ______________________________________________________________ 3. Do employees and contractors receive a “hard copy” rule book?  Yes for both employees and contractors  Not contractors (if so, why): ________________________________________________________________ ____________________________________________________________________________________________  Neither (if so, why): _______________________________________________________________________ ____________________________________________________________________________________________ 4. Are those receiving a copy of the rule book required to sign a receipt that they received and read the rule book?  Yes  No 5. Are ROW rules and practices for MOW workers concurrent with ROW emergency response procedures for operators and customers?  Yes  No 6. Are MOW workers knowledgeable of ROW emergency response procedures for operators and customers?  Yes  No 7. If “Yes,” how are they made aware of these procedures? 8. Are these procedures in the “rule book”?  Yes  No 9. What department is the lead in developing and updating ROW rules?  Safety  ROW Maintenance  Operations  Training  Combination of listed departments  Other: ________________________________________________________________________________________ 10. Are Labor/Management Committees used in developing and/or revising rules?  Yes  No

65 11. What is the composition of the L/M Committee, how often do they meet, and are they accountable to any organization and/or labor senior officials? 12. How were your ROW rules, policies, and practices developed?  From scratch  After reviewing existing sources at other transit systems  Copied directly from other transit system sources  By a consultant/contractor  Other: __________________________________________________________________________________ 13. How often are ROW rules updated?  Every year  2 to 5 years  5 to 10 years  Greater than 10 years  As needed  After an incident  Other: __________________________________________________________________________________ 14. How long has it been since the last revision was made to your agency’s ROW rules?  Less than 1 year  1 to 3 years  3 to 5 years  5 to 10 years  Greater than 10 years 15. How are the rules communicated to new employees? (Check all that apply.)  Training  Rule book distribution  Supervisory direction  Employee/worksite briefings  Bulletins  Other: __________________________________________________________________________________ 16. How are revised/new rules communicated to existing employees? (Check all that apply.)  Training  Rule book distribution  Supervisory direction  Bulletins  Other: __________________________________________________________________________________ 17. Are employees required to sign a document upon receiving/reading new/revised rules?  Receiving:  Yes  No  Reading:  Yes  No Section I-B: Rules Training 18. What training is provided regarding ROW rules and procedures? 19. Are all employees and contractors covered by ROW rules put through the same training programs? Curriculum:  Yes  No (if not, explain): _______________________________________________________________________ Course session:  Yes  No (if not, explain): _______________________________________________________________________ 20. What department in your agency is the lead for developing ROW rules training?  Safety  Training  Maintenance  Operations  External Source

66 21. How many departments provide ROW rules training for employees, contractors, transit police, and external emergency responders? (Please identify the departments and the audiences they provide the training to.)  1  2  3  4  5 22. How was your ROW rules training program(s) developed?  From scratch  After reviewing existing sources at other transit systems  Copied directly from other transit sy stem sources  By a consultant/contractor  Other: 23. How often is the curriculum(s) updated ?  Every year  2 to 5 years  Greater than 5 years  As needed  After an incident  Other: 24. How is the ROW rules training program(s) delivered?  Classroom (Instructor led): Duration is _____ hours  Classroom (Peer-to-peer): Duration is _____ hours  Computer-based/on-line: Seat-time length is _____ hours  On-the-job/in-the-field  Combination of above options (please describe): ________________________________________________ 25. Are employees tested upon completion of ROW training ?  Yes (Min passing score:_______)  No 26. Are contractors tested upon completion of ROW training ?  Yes (Min passing score:_______)  No 27. What happens to participants that do not achieve the minimum test score?  Dismissed/terminated  Re-trained and re-tested up to _______ times  Reassigned  Other (please explain): 28. Are employees and/or contractors certified upon successful completion of ROW training and/or test?  Yes  No 29. Do employees and/or contractors need to be recertified in ROW rules ?  Yes  No 30. If they need ROW rule recertification, how often is it required?  Annually  Every 2 years  3 to 5 years  Greater than 5 years 31. Are the ROW rules recertified by:  Repeating the original class  Retaking the original test  Retaking the original class and test  Taking a specific recertification class  Taking a specific recertification test  Taking a recertification class and test  Other:

67 32. How is the ROW rule recertification class and test delivered?  Classroom—Duration: _____ hours  Computer-based/on-line—Seat-time length: ______ hours  In-the-field—Duration: _____ hours  Some combination of above (please explain): ___________________________________________________ 33. Which best describes the instructors who conduct ROW training:  Rail instructors  Safety trainers  Senior ROW employees  Supervisory employees  External/contractor instructors 34. Are L/M Committees used in developing and/or revising training programs?  Yes  No Section I-C: Flagging Training 35. What training is provided on flagging rules and procedures? 36. What audiences are given flagging training? (Check all that apply.)  All ROW employees  Specific ROW employees  Contractors  Transit police officers  External emergency responders 37. Are all employees (and others) assigned to do flagging put through the same training programs? Curriculum:  Yes  No (if not, explain): ________________________________________________________________ Course session:  Yes  No (if not, explain): _______________________________________________________________________ 38. How often are workers assigned to flagging trained on flagging rules?  Once, when hired  Twice a year  Every year  Every other year  Every 3 to 5 years  Only when rules are revised or new rules are issued 39. What departments do flagging training? 40. How often is the flagging training curriculum(s) updated?  Every year  2 to 5 years  Greater than 5 years  As needed  After an incident  Other: 41. How was your flagging training program(s) developed?  From scratch  After reviewing existing sources at other transit systems  Copied directly from other transit system sources  By a consultant/contractor  Other: 42. How is the flagging training program(s) delivered?  Classroom (Instructor led): Duration is _____ hours  Classroom (Peer-to-peer): Duration is _____ hours  Computer-based/on-line: Seat-time length is _____ hours  On-the-job/in-the-field: Duration is _____ hours  Combination of above options (please describe):

68 43. Are employees tested upon completion of flagging training?  Yes (Min passing score: ______)  No 44. Are contractors tested upon completion of flagging training?  Yes (Min passing score: ______)  No 45. How are employees who do not successfully pass the flagging test addressed?  Dismissed/terminated  Retrained and retested up to _______ times  Reassigned  Other (please explain): 46. Are employees and/or contractors certified upon successful completion of flagging training and/or test?  Yes  No 47. Do employees and/or contractors trained and certified as flaggers need to be recertified?  Yes  No 48. If they need flagging recertification, how often is it required?  Annually  Every two years  3 to 5 years  Greater than 5 years 49. Are they recertified by:  Repeating the original class  Retaking the original test  Retaking the original class and test  Taking a specific recertification class  Taking a specific recertification test  Taking a recertification class and test  Other: 50. How is the recertification class and test delivered?  Classroom—Duration: _____ hours  In-the-field—Duration: _____ hours  Computer-based/on-line—Seat-time length: ______ hours  Some combination of above (please explain): ___________________________________________________ 51. Which best describes the instructors who conduct flagging training:  Rail instructors  Safety trainers  Existing flagging employees  Supervisory employees  External/contractor instructors 52. Are L/M Committees used in developing and/or revising flagging training?  Yes  No Section I-D: Safety/Hazard Assessment Training 53. Do workers receive general safety training aside from what is presented in rules and/or flagging training, which includes hazard identification and assessment?  Yes  No If “Yes,” what training do they receive and how often? 54. What department in your agency is the lead for developing general safety (Hazard Identification) training?  Safety  Training  Maintenance  Operations  External Source

69 55. How many departments provide general safety (Hazard Identification), and/or hazard protection (i.e., confined space, respiratory protection) training for employees, contractors, transit police, and/or external emergency responders? (Please identify the departments and the audiences they provide the training to.)  1  2  3  4  5 56. How is the general safety (Hazard Identification) training programs(s) delivered?  Classroom (Instructor led): Duration is ______ hours  Classroom (Peer-to-peer): Duration is ______ hours  Computer-based/on-line: Seat-time length is _____ hours  On-the-job/in-the-field: Duration is ______ hours 57. How often is the curriculum(s) updated?  Every year  2 to 5 years  Greater than 5 years  As needed  After an incident  Other: Section I-E: Safety Inspections and Audits 58. Are track (worksite) safety inspections conducted?  Yes (by whom?)  No 59. If “Yes,” how often are they conducted?  Multiple times per day  Daily  Weekly  Monthly  Other (please explain): 60. Can the personnel conducting the inspections shut down a worksite or limit the scope and/or size of the worksite?  Yes  No 61. What is done with the findings of these inspections? 62. Are internal safety audits used to review rules, procedures, and/or training programs?  Yes  No 63. Who performs the internal audits? 64. Are external safety audits used to review rules, procedures, and/or training programs?  Yes  No 65. Who conducts the external audits? 66. Are the results of audits used to address gaps, revise rules, change practices, or modify training programs?  Yes  No 67. If “Yes,” what are some examples?

70 Section II: Worksite Protection Section II-A: Briefings and Communications 68. Are job briefings used at the start of every work day for ROW workers?  Yes  No 69. Are job or task briefings combined with safety briefings?  Yes  No 70. Are specific safety briefings conducted for each crew before they enter the ROW?  Yes  No 71. Are specific safety briefings conducted when work crews move from one worksite location to another?  Yes  No 72. Are safety briefings documented, including facilitator and participant names, time and location of briefing, and topics, issues, hazards addressed in the briefing?  Yes  No 73. Are safety checklists used prior to entering the ROW or changing worksite locations?  Yes, checklists need to be completed/filled in by employees  Yes, they are provided as a guide, no documentation/completion required  No, checklists are not used 74. If the checklists are completed, are the documents filed and retained in a specified location?  Yes (if so, where)  No 75. Are work crews directed, through rules, to inform the control center each time they enter or exit the ROW?  Yes  No 76. Is the control center required to inform work crews of every train movement through a work area?  Yes  No 77. If “Yes,” how is this information/notification communicated? 78. Do work crews have the authority to request train movement stoppages or restricted speed operations through a work area?  Yes  No 79. If “Yes,” how is this request made and who can make it? 80. Who can work crews communicate with directly? (Check all that apply.)  Control Center  Work crews at other sites  Train operators  Supervisors  Transit police  Other: __________________________________________________________________________________ 81. According to rules or policies, is carrying personal cell phones at a worksite:  Permitted  Prohibited  Not addressed  Yes  No 82. If carrying cell phones is permitted or not addressed, can ROW workers use cell phones at the worksite?

71 83. If cell phones are not permitted, what is the penalty for carrying and/or using one while on duty? 84. How many radios are provided to each work crew and to whom?  0  1  2  1 for each employee on the crew 85. Are radios assigned to work crews equipped with “Emergency” or “Alert” buttons?  Yes  No 86. Can the location of radios assigned to work crews be tracked or identified by the control center?  Yes  No 87. Have there been problems with the reliability of this technology? 88. Are codes or signals used in radio communication procedures between work crews and/or with the control center?  Codes and signals are used in normal working conditions and emergencies  Codes and signals are used only in emergency situations  Codes and signals are not used in radio communication 89. Are there pre-identified radio “dead-zones” on your rail system?  Yes  No 90. Are work crews permitted to work within these dead-zones during revenue service periods?  Yes  No 91. Are there specific procedures for working and/or communicating in dead-zones?  Yes  No 92. Does your agency have contingency plans for dealing with radio failures?  Yes (please explain): ______________________________________________________________________  No 93. Are these contingency plans communicated to ROW workers through: (Check all that apply.)  Training  Rule book  Briefings  Other: 94. Are work crews required by rules to exit the ROW in the event of radio failure?  Yes  No Section II-B: Personal Protective Equipment 95. Do worksite rules clearly define what, when, and where PPE is required to be worn and/or used?  Yes  No 96. What personnel protective equipment (PPE) is provided to ROW workers? (Check all that apply.)  Hard hats  Eye protection  Safety vests  Safety gloves  Safety shoes  Audible warning devices  Hand lights  Rain and/or cold-weather gear  Other: ___________________________

72 97. Is this equipment permanently issued to ROW workers or available at the worksite?  Permanently issued  Issued at a worksite  Other: _____________________________ 98. Are ROW workers trained and directed to properly store, inspect, and test their PPE?  Yes  No 99. Are ROW workers permitted to work if any of their PPE is missing, compromised, or not functioning properly?  Yes  No 100. Are ROW workers disciplined if any of the PPE is damaged or missing?  Yes  No 101. Who is disciplined if there is a worksite PPE rule violation?  Employee  Crew supervisor  Both  Neither 102. What are the disciplinary procedures for PPE rule violations: 103. Is there a clear process for ROW workers to follow to replace or repair damaged PPE?  Yes  No Section II-C: Signaling and Train Control 104. Does your agency’s signal system allow the control center to manually prohibit and/or restrict train movement speed through a worksite?  Yes  No 105. Does your system use Positive Train Control (PTC) or similar technology to prevent or restrict train movement through a worksite?  Yes  No 106. Is traction power managed through the control center?  Yes  No 107. Can traction power be de-energized and isolated remotely and/or at the worksite  Remotely  Locally  Both (Who, if either, has priority?): ________________ 108. If a separate console or department manages traction power, can work crews request traction power isolation directly and/or through the control center ?  Directly  Through the control center   Both 109. Does your agency use portable warning devices to monitor train movement?  Yes No

73 110. Does your agency use portable warning devices to monitor traction power status?  Yes  No 111. If “Yes,” what type/brand is used, how many are in use around the system, how long have they been in use and have there been any issues with the reliability of the units? 112. Are employees informed/directed to use these devices through? (Check all that apply.)  Training  Rule book  Bulletins  Briefings  Other: ___________________________ 113. Are employees trained and directed through procedures to properly store and test these warning devices between uses?  Yes  No 114. Are there clear plans and procedures for dealing with warning device failure?  Yes  No 115. Are ROW workers trained on these plans and procedures?  Yes  No 116. If “Yes,” is this training provided by the manufacturer or internal-system source and if so, by whom? 117. Are workers directed to leave the ROW in the event of a device failure?  Yes  No 118. What are track workers permitted to do when there is a worksite rules violation? (Check all that apply.)  Continue working  Report the violation and continue working  Stop working and leave the immediate area of the ROW worksite  Stop working but remain at the worksite  Stop working, report the violation, and remain on the worksite  Report the violation and leave the worksite  Other: ___________________________ Section II-D: Flagging 119. Is flagging protection provided to a worksite?  Yes, on one side of the worksite  Yes, on both sides of the worksite  No 120. Is flagging protection provided by a designated employee with no other duties or responsibilities at the worksite?  Yes  No 121. Are employees assigned to flagging protection duty specifically trained on the tasks, responsibilities, and procedures of flagging?  Yes  No

74 122. What actions can flaggers take? (Check all that apply.)  Warn operators of a worksite ahead  Warn worksite employees of an oncoming train  Stop and/or slow train movement  Other: _____________________________ 123. Are operators trained to acknowledge a flagger’s “warning” or “slow” signal?  Yes (how do they acknowledge?)  No 124. Are employees assigned to flagging protection visually distinguishable from other worksite employees by using different colored vests or hats?  Yes (how are they distinguished from other workers?)  No 125. Are specific stand-off distances for flagging protection, between flaggers and the work area, established and communicated to all worksite employees?  Yes (what are the distances?)  No 126. What equipment is provided to an employee assigned to flagging protection? (Check all that apply.)  Flag (what colors?)  Colored lights/lanterns (what colors?)  Horn, whistle, or other audible warning device  Radio  Other: ____________________________ 127. Are flaggers directed to sound an audible warning in advance of all train movement through a worksite?  Yes  No 128. If “Yes,” what kind of device do they use, how often do they use it, and do worksite employees need to acknowledge the warning? 129. Are multiple flaggers used in limited sight-distance situations such as curves?  Yes  No 130. Are employees assigned to flagging protection trained and directed in contingency plans for dealing with failures of their radio and/or audible warning device?  Yes  No Section II-E: Lone Employees on ROW 131. According to rules, are lone ROW workers and/or track inspectors permitted on to the ROW?  Yes  No 132. Are lone ROW workers required to carry a radio while on the ROW?  Yes  No, they are assigned a radio but not required to carry it on the ROW  No, they are not assigned a radio 133. Are lone ROW workers required to inform the control center each time they enter or exit the ROW?  Yes  No 134. Are lone ROW workers required to give continuous updates regarding their location and status while on the ROW to the control center?  Yes  No

75 Section II-F: Hazard Reporting/Mitigation 135. Does your agency have clear and specific rules and/or practices for mitigating, reporting, and/or managing hazards adjacent to a ROW worksite?  Yes  No 136. If “Yes,” please explain: 137. What hazards do these procedures or practices address? (Check all that apply.)  Vehicular traffic  Adjacent tracks  Adjacent ROWs of other transit systems or railroads  Adjacent system traction power  Adjacent public utilities (electrical, pipeline, water, sewer)  Other: _____________________________ 138. Does your agency have clear and specific rules and/or practices for mitigating, reporting, and/or managing ROW environmental worksite hazards?  Yes  No 139. What specific hazards do these procedures or practices address? (Check all that apply.)  Severe weather  Restricted clearances  Elevated work surfaces  Working above waterways  Working above vehicular or rail traffic  Confined spaces  High crime areas  Other: _________________________________ 140. Are these specific procedures covered and/or addressed in: (Check all that apply.)  Training  Rule book  Briefings  Worksite checklists  Bulletins  Direct supervision  Control center communications  Other: _________________________________ 141. What equipment is provided to ROW workers when working in or around these hazards? (Check all that apply.)  Fall protection  Hearing protections  Respiratory protection  Personal flotation devices  Electrical or gas powered warmers  Rain/snow tents  Other: _________________________________ Section III: Incident Reporting, Investigation, Analysis, and After-Actions 142. Which of the following incidents are work crews required to report? (Check all that apply.)  Accidents  Near-misses  Rules violations  Other: ________________________ 143. Which of the following situations have specific reporting procedures? (Check all that apply.)  Accidents (please describe)  Near-misses (please describe)  Rules violations (please describe)  Other: ____________________________

76 144. Do the agency’s policies encourage reporting by limiting or exempting employees reporting near misses and rules violations from disciplinary action?  Yes  No (if no, has it been considered?) 145. How are these procedures communicated to employees ? (Ch eck all that apply.)  Training  Rule book  Briefings  Bulletins  Supervisory direction  Control center communication  Posted in an employee area  Other: ___________________________ 146. Are there specific forms for emplo ye es to use when reporting: (Check all that apply.)  Accidents  Near-misses  Rules violations  Other: ___________________________ 147. Are these forms readily available to employees ?  Yes  No 148. If “Yes,” how/where are they available? 149. What is the lead department in investigating accidents?  Safety  Police  Legal  Human Resources  Operations  Other: _______________________________ 150. In the event of a train vs. employee accident or other incident that fouls the ROW, is train movement stopped:  In the affected area  On the affected line  Sy stem wide  Other: _______________________________ 151. What/who triggers train stoppages or restricted speed operations? (Check all that apply.)  Report of an accident, injury, or fatality on the ROW  The control center based on information or lack thereof  The worksite supervisor  Worksite employees  Other: _______________________________ 152. What is the lead department in investigating near-miss incidents?  Safety  Police  Legal  Human Resources  Operations  Other: _________________________________ 153. What is the lead department for investigating rules violations?  Safety  Police  Legal  Human Resources  Operations  Other: _____________________________________

77 154. Are worksite rules or practices evaluated and/or modified following an inciden t?  Yes  No 155. What department leads the effort to evaluate and/or modify worksite rules and practices?  Safety  Maintenance  Operations  Other: __________________________________ 156. Are briefings/stand-downs conducted after: (Check all that apply.)  Accidents  Near-miss incidents  Rules violations  Other: __________________________________ 157. What department leads the briefings/stand-downs?  Safety  Maintenance  Operations  Other: __________________________________ 158. Who attends these briefings/stand-downs ? 159. Are disciplinary actions taken af ter most near-miss incidents?  Yes  No 160. If “Yes,” what are the procedures ? 161. Is data relative to rules violations, near-miss incidents, and accidents compiled and analyzed?  Yes  No 162. What department is responsible for managing incident data ?  Safety  Police  Legal  Operations  Maintenance  Other: _________________________________ 163. Does incident data analysis typically lead to revisions or modifications to: (Check all that apply and cite an example.)  Rules  Practices  Training programs  Work site staffing  Communication procedures  The use, storage, and testing of equipment  Emergency response procedures  Other: __________________________________ 164. Did we miss anything concerning your system’s processes for identifying, assessing, prioritizing, and mitigating hazards for ROW workers? Please explain.