FEDERAL RAILROAD ADMINISTRATION OFFICE OF RAILROAD SAFETY VOLUME I - SIGNAL AND TRAIN CONTROL COMPLIANCE PROGRAMS AND POLICIES April 2012 VOLUME I - TABLE OF CONTENTS Chapter 1 – General ............................................................................................................. 1 Introduction ................................................................................................................................................ 1 Program Goals ............................................................................................................................................ 2 On-the-Job Training (OJT) Program .......................................................................................................... 2 S&TC Division Staff Director, HQ Staff Specialists, and HQ Staff Electronic Engineers ....................... 3 S&TC Division PTC Branch Supervisory Specialist (Branch Chief), PTC Senior Test Monitors, and PTC Regional Specialists ........................................................................................................................... 5 S&TC Regional Supervisory Specialist ..................................................................................................... 6 S&TC Railroad Safety Inspector ............................................................................................................... 8 Basis for Regulation and Inspection ........................................................................................................ 11 Signal and Train Control Regulations, Laws, and Orders ....................................................................... 12 Correct Reference to the Federal Regulations ......................................................................................... 13 Title 49 CFR Part 233 – Signal Systems Reporting Requirements – Overview ...................................... 14 Title 49 CFR Part 234 – Grade Crossing Signal System Safety and State Action Plans – Overview ..... 14 Title 49 CFR Part 235 – Instructions Governing Applications for Approval of a Discontinuance or Material Modification of a Signal System or Relief from the Requirements of Part 236 – Overview .... 15 Title 49 CFR Part 236 – Rules, Standards, and Instructions Governing the Installation, Inspection, Maintenance, and Repair of Signal and Train Control Systems, Devices, and Appliances – Overview . 16 Hours of Service Law Governing Railroad Signal Employees - Overview ............................................ 16 Personal Safety ......................................................................................................................................... 17 Chapter 2 – Inspection and Investigation Procedures .................................................... 18 Inventory of Inspection Territory (Regional Inspection Points) .............................................................. 18 Inspection Priorities ................................................................................................................................. 18 Discipline Inspection Guidance (DIG) .................................................................................................... 18 Using Data Analysis to Determine Appropriate Focus ............................................................................ 18 Preparation for Inspection or Investigation .............................................................................................. 24 Notice of Inspection or Investigation ....................................................................................................... 24 Time of Inspections and Investigations ................................................................................................... 25 Conference Prior to Inspection or Investigation ...................................................................................... 25 Followup Inspection or Re-inspection ..................................................................................................... 26 Refusal to Permit an Inspection or Investigation ..................................................................................... 26 Waiver of Responsibility ......................................................................................................................... 27 Unusual Problems or Incidents ................................................................................................................ 27 Cooperation of Personnel with Industry and other Governmental Agencies ........................................... 27 Chapter 3 – Gaining Compliance ..................................................................................... 28 Purpose ..................................................................................................................................................... 28 Regular Inspections .................................................................................................................................. 28 Conducting an Inspection or Investigation .............................................................................................. 29 Conference During and After an Inspection or Investigation .................................................................. 30 Special Inspections and/or Assessments .................................................................................................. 31 Special Investigations .............................................................................................................................. 33 Accident Investigation ............................................................................................................................. 33 Complaint Investigation ........................................................................................................................... 33 Block Signal or Waiver Application Investigation .................................................................................. 35 i False Proceed Signal Investigation .......................................................................................................... 35 Activation Failure Investigation ............................................................................................................... 37 Conducting Interviews ............................................................................................................................. 40 Determining When and What Enforcement Action Is Necessary ............................................................ 40 Handling of Defective Conditions ........................................................................................................... 42 Defective Conditions Not Cited as a Violation ........................................................................................ 42 Defective Conditions Cited as a Violation ............................................................................................... 42 Railroad Action to Correct Defective Conditions .................................................................................... 47 Written Reporting of Remedial Actions Taken ....................................................................................... 48 Chapter 4 – Field Reports, Procedures, and Forms ....................................................... 49 General Requirements .............................................................................................................................. 49 S&TC Inspections and Unit Count Guidelines ........................................................................................ 49 Completion of Inspection Report Form, FRA F6180.96 ......................................................................... 50 Distribution of Inspection Reports ........................................................................................................... 51 Regional Supervisory Specialist Review of Inspection Reports .............................................................. 51 Completion of Violation Report Form ..................................................................................................... 51 Distribution of Violation Reports ............................................................................................................ 52 Regional Supervisory Specialist Review of Violation Reports ............................................................... 53 Block Signal or Waiver Application Investigation Reports ..................................................................... 53 Regional Supervisory Specialist Review of Block Signal or Waiver Application Investigation Reports .................................................................................................................................................................. 53 False Proceed Signal Failure Investigation Reports ................................................................................ 54 Regional Supervisory Specialist Review of False Proceed Signal Failure Investigation Reports ........... 55 Highway-Rail Grade Crossing Activation Failure Investigation Reports ............................................... 55 Regional Supervisory Specialist Review of Highway-Rail Grade Crossing Activation Failure Investigation Reports ............................................................................................................................... 55 National Safety Program Plan (NSPP) Status Reports ...........................................................................