FEDERAL RAILROAD ADMINISTRATION OFFICE OF RAILROAD SAFETY HIGHWAY-RAIL GRADE CROSSING and TRESPASS PREVENTION: COMPLIANCE, PROCEDURES, AND POLICIES PROGRAMS MANUAL October 2019 This page intentionally left blank Contents Chapter 1 – General ....................................................................................... 6 Introduction ................................................................................................................................. 6 Purpose ........................................................................................................................................ 6 Program Goals ............................................................................................................................ 7 Personal Safety ........................................................................................................................... 7 On-the-Job Training (OJT) Program .......................................................................................... 8 Railroad Crossing Safety and Trespass Prevention Resources .................................................. 9 Chapter 2 – Personnel ................................................................................ 10 HRGX&TP Headquarters (HQ) Division Staff (RRS-23) ....................................................... 10 HRGX&TP Staff Director .................................................................................................... 10 HRGX&TP HQ Transportation Analyst (Railroad Trespassing) ......................................... 11 HRGX&TP HQ Transportation Analyst (Train Horn) ......................................................... 12 HRGX&TP HQ Transportation Analyst (State Action Plans and Train Horn) .................... 13 HRGX&TP HQ Program Analyst (Correspondence) ........................................................... 14 HRGX&TP HQ General Engineer (Grade Crossing Safety Engineer) ................................ 16 HRGX&TP HQ General Engineer (High Speed Rail) ......................................................... 17 HRGX&TP HQ Transportation Specialist (Inventory and ENS) ......................................... 18 HRGX&TP HQ Program Support Specialist ........................................................................ 20 HRGX&TP HQ Program Analyst ........................................................................................ 21 HRGX&TP HQ Transportation Analyst (Outreach) ............................................................ 23 HRGX&TP Regional Staff ....................................................................................................... 24 HRGX&TP Regional Specialist ........................................................................................... 24 HRGX&TP Grade Crossing Inspector (GXI) ........................................................................... 28 HRGX&TP Crossing and Trespassing Regional Manager (GS-13) ..................................... 30 HRGX&TP Crossing and Trespassing Regional Manager (GS-12) ..................................... 33 Chapter 3 – Regulations ........................................................................... 35 Basis for Regulation and Inspection ......................................................................................... 35 Statutory Authority ............................................................................................................... 35 HRGX&TP Regulations ........................................................................................................... 35 CFR Part 222—Use of Locomotive Train Horns at Highway-Rail Grade Crossings— Overview ............................................................................................................................... 36 Title 49 CFR Section 234.11—State Action Plans—Overview ........................................... 36 Title 49 CFR Part 234, Subpart E—Emergency Notification Systems for Telephonic Reporting of Unsafe Conditions at Highway-Rail and Pathway Grade Crossings—Overview ............................................................................................................................................... 37 Title 49 CFR Part 234, Subpart F—Highway-Rail and Pathway Crossing Inventory Reporting—Overview ........................................................................................................... 37 Chapter 4 – Railroad Trespassing ....................................................... 39 National Strategy to Prevent Trespassing on Railroad Property—Overview ........................... 39 Procedures for Conducting Railroad Trespassing Assessments ............................................... 39 Step 1. Identify the Problem ................................................................................................ 40 Step 2. Identify Resources and Stakeholders ....................................................................... 40 Step 3. Analyze the Cause ................................................................................................... 41 Step 4. Develop and Implement Trespass Mitigation Measures.......................................... 42 Step 5. Evaluate the Results ................................................................................................. 43 Step 6. Report and Document .............................................................................................. 44 FRA Headquarters is Responsible For:................................................................................. 44 FRA Regional Teams are Responsible For:.......................................................................... 44 Chapter 5 – Outreach ................................................................................. 45 Chapter 6 – Inspection and Investigation Procedures .......... 46 Inventory of Inspection Territory (Regional Inspection Points) ............................................... 46 Inspection Priorities .................................................................................................................. 46 Discipline Inspection Guidance ................................................................................................ 46 Using Data Analysis to Determine Appropriate Focus ............................................................ 47 Purpose:................................................................................................................................. 47 Inventory Inspections: ........................................................................................................... 47 Use of Locomotive Train Horns at Highway-Rail Grade Crossings ........................................ 47 State Action Plans ..................................................................................................................... 48 Emergency Notification System Inspection: ............................................................................ 49 Section 1 – Frequency of Inspections ................................................................................... 49 Section 2 – ENS Components ............................................................................................... 50 Section 3 – Inspecting ENS Signs ........................................................................................ 50 Section 4 – The Method that the Railroad Uses to Receive and Process a Telephone Call Reporting the Unsafe Condition ........................................................................................... 53 Section 5 – The Remedial Actions that a Railroad Takes to Address the Report of the Unsafe Condition and Recordkeeping .................................................................................. 53 Notice and Time of Inspections and Investigations .................................................................. 54 Time of Inspections and Investigations .................................................................................... 54 Refusal to Permit an Inspection or Investigation ...................................................................... 55 Waiver of Responsibility .......................................................................................................... 55 Unusual Problems or Incidents ................................................................................................. 55 Cooperation of Personnel with Industry and other Governmental Agencies ........................... 56 Chapter 7 – Gaining Compliance ......................................................... 57 Purpose ...................................................................................................................................... 57 Regular Inspections ................................................................................................................... 57 Conference During and After an Inspection or Investigation ................................................... 57 Special Inspections and/or Assessments ................................................................................... 58 Accident Investigation .............................................................................................................. 58 Complaint Investigation ............................................................................................................ 59 Conducting Interviews .............................................................................................................. 60 Determining