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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
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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
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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:
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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):
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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
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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?
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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
82. If carrying cell phones is permitted or not addressed, can ROW workers use cell phones at the worksite?
Yes
No
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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: ___________________________
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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
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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
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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
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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: ____________________________
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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? (Check 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 employees 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
System 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: _____________________________________
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154. Are worksite rules or practices evaluated and/or modified following an incident?
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 after 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.
