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7 CHAPTER TWO PRE-WORK ACCIDENT PREVENTION INTRODUCTION by the rail operations department to an interdepartmental task force driven effort that included union representation. The rail agencies included in this study have established rules and procedures to provide structure, guidance, and adminis- MBTA's current ROW Rulebook, issued in 2008, was the trative oversight of employees and contractors working on, result of an ongoing management and labor collaborative effort around, or near the ROW. The universal goal of each agency's to create safe ROW work practices. MBTA officials inter- effort is to prevent incidents on the ROW that could result viewed indicated that they were in the process of reestablishing in worker injuries and deaths. However, each agency's road- their rule book committee to evaluate the impact of the 2008 way worker protection program strives to reach that goal in revisions and make needed modifications. different ways. The basic components of the programs are similar, but the sophistication and implementation of the NYCT convened a Track Safety Task Force after two approaches are driven by each agency's unique set of envi- employee fatalities occurred in April 2007. The task force ronmental and operational factors, as well as organizational consisted of two representatives from the Office of System history and culture. Some other measures, outside of rules and Safety, three representatives from the Department of Subways, practices governing track worker protection, have also reduced and three representatives from the Transport Workers Union risk levels for employees by modifying or relocating work (TWU) Local 100. The task force was charged with evaluating processes and modifying equipment designs. the safety culture, identifying deficiencies and strengths in their track safety process, and developing recommendations to improve the safety process and culture (1, p. 3). TARGET AUDIENCES The NYCT Track Safety Task Force invested in efforts to An agency's rules and procedures regarding roadway worker educate the task force members on the scope of the problem protection are designed to apply to various audiences based and effective strategies for fostering organizational change. on the level of risk they are exposed to while carrying out their To identify the cultural and behavioral factors that influence prescribed duties, as well as the risks they could present to other track safety, a survey of MOW hourly employees and super- employees. The primary audience protected by the rules and visors, train operators, construction flaggers, and train service procedures includes employees and contractors performing supervisors was conducted. In addition, the task force members MOW activities. To keep MOW workers safe, specific rules were given training on the process of influencing individual and procedures also apply to train operations staff. Train oper- behavior to effect culture change in an organization. The ators, control center personnel, supervisors, and managers insights gleaned from the employee survey and the guidance are responsible for operating the trains through MOW work provided by the task force training was used to develop zones according to the agency's operating rules. In addition, the task force's recommendations. These recommendations operators at NYCT, MBTA, and TTC provide flagging func- were implemented in early 2008. The Track Safety Task Force tions for contractor crews. continues to exist to oversee NYCT track safety initiatives (1, pp. 46). RULES DEVELOPMENT, COMMUNICATION, TTC is in the process of completing a major revision to its AND ENFORCEMENT Subway/SRT Rule Book to make it more user friendly. The Development goal of the revision effort is not to change any of the rules, but rather to communicate the existing rules more clearly and to be ROW Safety/Railroad Worker Protection rules at each agency more specific regarding employee responsibilities. The layout included in the study had undergone major revisions within of the revised book will also be easier to read by employing a the last 8 years. The impetus for these changes included the color-coding scheme and other formatting enhancements. need to respond to State Safety Oversight agency recommen- dations, actions implemented in the wake of serious incidents The agencies interviewed developed and issued their or accidents, and compliance with FRA regulations. The rules work-site protection rules in different ways. MBTA pub- development process ranged from an initiative executed mainly lished all roadway worker protection rules in a separate ROW

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8 Safety Rule Book that applies to both MOW and operations with copies of the rule book when they attend ROW training, employees. MTA and the River LINE have a Railroad and others provide contractors with an electronic copy of the Worker Protection Manual that applies to MOW employees. rule book and require them to distribute it to their employees. Rules regarding operating employees' responsibilities when traveling through work zones are covered in the overall All the agencies interviewed communicate rule changes System Operating Rules. NYCT and TTC integrate both the via bulletins. In addition, depending on the nature of the MOW employee rules and the operating rules into their modification, changes can be communicated in the issuance overall Department of Subways or Subway/SRT Rule Book. of new standard operating procedures, payroll flyers, or toolbox Agencies that have separate ROW rule books require all meetings. Generally, the bulletins are e-mailed to managers and employees, crew supervisors, and forepersons to carry the book supervisors, who reproduce hard copies for employees or post with them on the job. Several of the agencies interviewed them at work locations. Some agencies require employees to published their rule books in handy 7-in.-by-41/2-in. spiral- acknowledge receipt of new standard operating procedures bound booklets or binders that are easy to carry and use. or rule changes that relate to policy compliance. The rule changes are also covered in each agency's annual refresher Periodically, the agencies issue additions, changes, or training. clarifications to the rules. At the River LINE and MTA, the responsibility for updating the ROW rules rests with the In addition to bulletins, TTC has developed and imple- Superintendent of Rail Transportation or a similar position. mented a more structured rule book version control process. The person to whom the rule book is issued is responsible for The initial ROW Safety Committee that completed a major updating his or her copy. The person is directed to record all revision of MBTA rules in 2008 is not a standing committee. revisions in a "Revision Records" section of the book, and to Modifications to the rules are issued jointly by the directors indicate the change in the appropriate section and rule of the operating departments and divisions and the director of number by crossing out the current wording and inserting a safety. The next major revision to the MBTA rulebook is copy of the change notice. All changes are issued by TTC as planned in late 2011. This revision effort will be spearheaded a notice and distributed to all cost center department heads. by the reconstituted ROW Safety Committee. In New York, The department heads are responsible for ensuring that all changes to the rules regarding track safety (additions, deletions, change notices are issued to their employees by having the modifications of rules) must be approved by a standing Track employee sign for each change notice. The change notices Safety Committee that includes Transportation (MOW and are distributed on paper that is sized and hole-punched to fit Service Delivery) and System Safety management employees, directly into the rule rook. New rules and revised rules are and union representatives. clearly identified in the change notices (2, pp. ivviii). At all agencies, the Transportation Department largely To reinforce the rules, NYCT MOW supervisors are "owns" the relevant rule books and is the driving force behind required to advise hourly employees of a prepared Rule of any revisions. TTC, in addition to the standard approaches the Day during their job-specific Toolbox Safety Talk before to revising the rules, has a documented application process. the tour's assigned task. A monthly list of the Rule of the Day Through this application process, an employee from any depart- is developed by each subdivision. In addition, a job-specific ment with a vested interest in the rules can apply for a rules Rule of the Day, which relates to the tasks to be performed, change by providing justification for the change to the Rail and newly issued safety bulletins and advisories must be Transportation Department. The proposed change is reviewed discussed. These items are included on the MOW Daily by the department and discussed with the other relevant depart- Supervisor's Checklist that each supervisor must complete ments. All rule changes must be approved by all stakeholder and forward to his or her superintendent daily. The River departments, such as Signals/Electric/Communications, Track LINE includes a Safety Rule of the Day and a Light Rail Rule & Structure, Training & Support Services, and Safety. of the Day as part of the Daily Bulletin issued to employees. Communication Enforcement Employees working for agencies with ROW rules integrated Work rules and procedures are enforced through daily into the larger operating rule book receive the rule book oversight performed by field supervisory personnel. In addi- when they are hired. At that time, they are required to sign a tion, most of the agencies interviewed have rules requiring document indicating that they had received and understood employees to report violations to supervisory personnel or the the rules. ROW training reinforces specific ROW rules. control center. The violations most frequently communicated Employees working for agencies that have a separate ROW are MOW workers reporting train operator violations or vice rule book receive the rule book at their ROW training and also versa. As one agency representative admitted, even though are required to sign an acknowledgment. For all the agencies, rules require employees to report violations, accidents, and contractor requirements regarding ROW safety are written into near misses, enforcing these reporting rules is more difficult the contracts. Some agencies provide contractor employees than enforcing work practice, flagging, and PPE rules.