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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

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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

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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:

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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):

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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

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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?

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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 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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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: ___________________________

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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

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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

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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

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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: ____________________________

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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? (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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77 154. 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.