49 C.F.R. Subpart C—Roadway Worker Protection
Title 49 - Transportation
Source: 61 FR 65976, Dec. 16, 1996, unless otherwise noted.
(a) The purpose of this subpart is to prevent accidents and casualties caused by moving railroad cars, locomotives or roadway maintenance machines striking roadway workers or roadway maintenance machines. (b) This subpart prescribes minimum safety standards for roadway workers. Each railroad and railroad contractor may prescribe additional or more stringent operating rules, safety rules, and other special instructions that are consistent with this subpart. (c) This subpart prescribes safety standards related to the movement of roadway maintenance machines where such movements affect the safety of roadway workers. This subpart does not otherwise affect movements of roadway maintenance machines that are conducted under the authority of a train dispatcher, a control operator, or the operating rules of the railroad. (a) The information collection requirements of this part were reviewed by the Office of Management and Budget pursuant to the Paperwork Reduction Act of 1995, Public Law 104–13, §2, 109 Stat.163 (1995) (codified as revised at 44 U.S.C. §§3501–3520), and are assigned OMB control number 2130–0539. FRA may not conduct or sponsor and a respondent is not required to respond to, a collection of information unless it displays a currently valid OMB control number. (b) The information collection requirements are found in the following sections: §§214.303, 214.307, 214.309, 214.311, 214.313, 214.315, 214.319, 214.321, 214.323, 214.325, 214.327, 214.329, 214.331, 214.335, 214.341. (a) Each railroad to which this part applies shall adopt and implement a program that will afford on-track safety to all roadway workers whose duties are performed on that railroad. Each such program shall provide for the levels of protection specified in this subpart. (b) Each on-track safety program adopted to comply with this part shall include procedures to be used by each railroad for monitoring effectiveness of and compliance with the program. Each program adopted by a railroad shall comply not later than the date specified in the following schedule: (a) For each Class I railroad (including National Railroad Passenger Corporation) and each railroad providing commuter service in a metropolitan or suburban area, March 15, 1997. (b) For each Class II railroad, April 15, 1997. (c) For each Class III railroad, switching and terminal railroad, and any railroad not otherwise classified, May 15, 1997. (d) For each railroad commencing operations after the pertinent date specified in this section, the date on which operations commence. (a) Each railroad shall notify, in writing, the Associate Administrator for Safety, Federal Railroad Administration, RRS–15, 400 Seventh Street SW, Washington, DC 20590, not less than one month before its on-track safety program becomes effective. The notification shall include the effective date of the program, the address of the office at which the program documents are available for review and photocopying by representatives of the Federal Railroad Administrator, and the name, title, address and telephone number of the primary person to be contacted with regard to review of the program. This notification procedure shall also apply to subsequent changes to a railroad's on-track safety program. (b) After receipt of the notification from the railroad, the Federal Railroad Administration will conduct a formal review of the on-track safety program. The Federal Railroad Administration will notify the primary railroad contact person of the results of the review, in writing, whether the on-track safety program or changes to the program have been approved by the Administrator, and if not approved, the specific points in which the program or changes are deficient. (c) A railroad's on-track safety program will take effect by the established compliance dates in §214.305, without regard to the date of review or approval by the Federal Railroad Administration. Changes to a railroad's program will take effect on dates established by each railroad without regard to the date of review and approval by the Federal Railroad Administration. Rules and operating procedures governing track occupancy and protection shall be maintained together in one manual and be readily available to all roadway workers. Each roadway worker responsible for the on-track safety of others, and each lone worker, shall be provided with and shall maintain a copy of the program document. (a) Each employer is responsible for the understanding and compliance by its employees with its rules and the requirements of this part. (b) Each employer shall guarantee each employee the absolute right to challenge in good faith whether the on-track safety procedures to be applied at the job location comply with the rules of the operating railroad, and to remain clear of the track until the challenge is resolved. (c) Each employer shall have in place a written procedure to achieve prompt and equitable resolution of challenges made in accordance with §§214.311(b) and 214.313(d). (a) Each roadway worker is responsible for following the on-track safety rules of the railroad upon which the roadway worker is located. (b) A roadway worker shall not foul a track except when necessary for the performance of duty. (c) Each roadway worker is responsible to ascertain that on-track safety is being provided before fouling a track. (d) Each roadway worker may refuse any directive to violate an on-track safety rule, and shall inform the employer in accordance with §214.311 whenever the roadway worker makes a good faith determination that on-track safety provisions to be applied at the job location do not comply with the rules of the operating railroad. (a) When an employer assigns duties to a roadway worker that call for that employee to foul a track, the employer shall provide the employee with a job briefing that includes information on the means by which on-track safety is to be provided, and instruction on the on-track safety procedures to be followed. (b) A job briefing for on-track safety shall be deemed complete only after the roadway worker has acknowledged understanding of the on-track safety procedures and instructions presented. (c) Every roadway work group whose duties require fouling a track shall have one roadway worker designated by the employer to provide on-track safety for all members of the group. The designated person shall be qualified under the rules of the railroad that conducts train operations on those tracks to provide the protection necessary for on-track safety of each individual in the group. The responsible person may be designated generally, or specifically for a particular work situation. (d) Before any member of a roadway work group fouls a track, the designated person providing on-track safety for the group under paragraph (c) of this section shall inform each roadway worker of the on- track safety procedures to be used and followed during the performance of the work at that time and location. Each roadway worker shall again be so informed at any time the on-track safety procedures change during the work period. Such information shall be given to all roadway workers affected before the change is effective, except in cases of emergency. Any roadway workers who, because of an emergency, cannot be notified in advance shall be immediately warned to leave the fouling space and shall not return to the fouling space until on-track safety is re-established. (e) Each lone worker shall communicate at the beginning of each duty period with a supervisor or another designated employee to receive a job briefing and to advise of his or her planned itinerary and the procedures that he or she intends to use for on-track safety. When communication channels are disabled, the job briefing shall be conducted as soon as possible after the beginning of the work period when communications are restored. Each employer subject to the provisions of this part shall provide on-track safety for roadway workers by adopting a program that contains specific rules for protecting roadway workers that comply with the provisions of §§214.319 through 214.337 of this part. Working limits established on controlled track shall conform to the provisions of §214.321 Exclusive track occupancy, or §214.323 Foul time, or §214. 325 Train coordination. Working limits established on non-controlled track shall conform to the provision of §214.327 Inaccessible track. Working limits established under any procedure shall, in addition, conform to the following provisions: (a) Only a roadway worker who is qualified in accordance with §214.353 of this part shall establish or have control over working limits for the purpose of establishing on-track safety. (b) Only one roadway worker shall have control over working limits on any one segment of track. (c) All affected roadway workers shall be notified before working limits are released for the operation of trains. Working limits shall not be released until all affected roadway workers have either left the track or have been afforded on-track safety through train approach warning in accordance with §214.329 of this subpart. Working limits established on controlled track through the use of exclusive track occupancy procedures shall comply with the following requirements: (a) The track within working limits shall be placed under the control of one roadway worker by either: (1) Authority issued to the roadway worker in charge by the train dispatcher or control operator who controls train movements on that track, (2) Flagmen stationed at each entrance to the track within working limits and instructed by the roadway worker in charge to permit the movement of trains and equipment into the working limits only as permitted by the roadway worker in charge, or (3) The roadway worker in charge causing fixed signals at each entrance to the working limits to display an aspect indicating “Stop.” (b) An authority for exclusive track occupancy given to the roadway worker in charge of the working limits shall be transmitted on a written or printed document directly, by relay through a designated employee, in a data transmission, or by oral communication, to the roadway worker by the train dispatcher or control operator in charge of the track. (1) Where authority for exclusive track occupancy is transmitted orally, the authority shall be written as received by the roadway worker in charge and repeated to the issuing employee for verification. (2) The roadway worker in charge of the working limits shall maintain possession of the written or printed authority for exclusive track occupancy while the authority for the working limits is in effect. (3) The train dispatcher or control operator in charge of the track shall make a written or electronic record of all authorities issued to establish exclusive track occupancy. (c) The extent of working limits established through exclusive track occupancy shall be defined by one of the following physical features clearly identifiable to a locomotive engineer or other person operating a train or railroad equipment: (1) A flagman with instructions and capability to hold all trains and equipment clear of the working limits; (2) A fixed signal that displays an aspect indicating “Stop”; (3) A station shown in the time-table, and identified by name with a sign, beyond which train movement is prohibited by train movement authority or the provisions of a direct train control system. (4) A clearly identifiable milepost sign beyond which train movement is prohibited by train movement authority or the provisions of a direct train control system; or (5) A clearly identifiable physical location prescribed by the operating rules of the railroad that trains may not pass without proper authority. (d) Movements of trains and roadway maintenance machines within working limits established through exclusive track occupancy shall be made only under the direction of the roadway worker having control over the working limits. Such movements shall be restricted speed unless a higher speed has been specifically authorized by the roadway worker in charge of the working limits. Working limits established on controlled track through the use of foul time procedures shall comply with the following requirements: (a) Foul time may be given orally or in writing by the train dispatcher or control operator only after that employee has withheld the authority of all trains to move into or within the working limits during the foul time period. (b) Each roadway worker to whom foul time is transmitted orally shall repeat the track number, track limits and time limits of the foul time to the issuing employee for verification before the foul time becomes effective. (c) The train dispatcher or control operator shall not permit the movement of trains or other on-track equipment onto the working limits protected by foul time until the roadway worker who obtained the foul time has reported clear of the track. Working limits established by a roadway worker through the use of train coordination shall comply with the following requirements: (a) Working limits established by train coordination shall be within the segments of track or tracks upon which only one train holds exclusive authority to move. (b) The roadway worker who establishes working limits by train coordination shall communicate with a member of the crew of the train holding the exclusive authority to move, and shall determine that: (1) The train is visible to the roadway worker who is establishing the working limits, (2) The train is stopped, (3) Further movements of the train will be made only as permitted by the roadway worker in charge of the working limits while the working limits remain in effect, and (4) The crew of the train will not give up its exclusive authority to move until the working limits have been released to the train crew by the roadway worker in charge of the working limits. (a) Working limits on non-controlled track shall be established by rendering the track within working limits physically inaccessible to trains at each possible point of entry by one of the following features: (1) A flagman with instructions and capability to hold all trains and equipment clear of the working limits; (2) A switch or derail aligned to prevent access to the working limits and secured with an effective securing device by the roadway worker in charge of the working limits; (3) A discontinuity in the rail that precludes passage of trains or engines into the working limits; (4) Working limits on controlled track that connects directly with the inaccessible track, established by the roadway worker in charge of the working limits on the inaccessible track; or (5) A remotely controlled switch aligned to prevent access to the working limits and secured by the control operator of such remotely controlled switch by application of a locking or blocking device to the control of that switch, when: (i) The control operator has secured the remotely controlled switch by applying a locking or blocking device to the control of the switch, and (ii) The control operator has notified the roadway worker who has established the working limits that the requested protection has been provided, and (iii) The control operator is not permitted to remove the locking or blocking device from the control of the switch until receiving permission to do so from the roadway worker who established the working limits. (b) Trains and roadway maintenance machines within working limits established by means of inaccessible track shall move only under the direction of the roadway worker in charge of the working limits, and shall move at restricted speed. (c) No operable locomotives or other items of on-track equipment, except those present or moving under the direction of the roadway worker in charge of the working limits, shall be located within working limits established by means of inaccessible track. Roadway workers in a roadway work group who foul any track outside of working limits shall be given warning of approaching trains by one or more watchmen/lookouts in accordance with the following provisions: (a) Train approach warning shall be given in sufficient time to enable each roadway worker to move to and occupy a previously arranged place of safety not less than 15 seconds before a train moving at the maximum speed authorized on that track can pass the location of the roadway worker. (b) Watchmen/lookouts assigned to provide train approach warning shall devote full attention to detecting the approach of trains and communicating a warning thereof, and shall not be assigned any other duties while functioning as watchmen/lookouts. (c) The means used by a watchman/lookout to communicate a train approach warning shall be distinctive and shall clearly signify to all recipients of the warning that a train or other on-track equipment is approaching. (d) Every roadway worker who depends upon train approach warning for on-track safety shall maintain a position that will enable him or her to receive a train approach warning communicated by a watchman/lookout at any time while on-track safety is provided by train approach warning. (e) Watchmen/lookouts shall communicate train approach warnings by a means that does not require a warned employee to be looking in any particular direction at the time of the warning, and that can be detected by the warned employee regardless of noise or distraction of work. (f) Every roadway worker who is assigned the duties of a watchman/lookout shall first be trained, qualified and designated in writing by the employer to do so in accordance with the provisions of §214.349. (g) Every watchman/lookout shall be provided by the employer with the equipment necessary for compliance with the on-track safety duties which the watchman/lookout will perform. A roadway worker may establish on-track safety by using definite train location only where permitted by and in accordance with the following provisions: (a) A Class I railroad or a commuter railroad may only use definite train location to establish on-track safety at points where such procedures were in use on January 15, 1997. (b) Each Class I or commuter railroad shall include in its on-track safety program for approval by FRA in accordance with §214.307 of this part a schedule for phase-out of the use of definite train location to establish on-track safety. (c) A railroad other than a Class I or commuter railroad may use definite train location to establish on-track safety on subdivisions only where: (1) Such procedures were in use on January 15, 1997, or (2) The number of trains operated on the subdivision does not exceed: (i) Three during any nine-hour period in which roadway workers are on duty, and (ii) Four during any twelve-hour period in which roadway workers are on duty. (d) Definite train location shall only be used to establish on-track safety according to the following provisions: (1) Definite train location information shall be issued only by the one train dispatcher who is designated to authorize train movements over the track for which the information is provided. (2) A definite train location list shall indicate all trains to be operated on the track for which the list is provided, during the time for which the list is effective. (3) Trains not shown on the definite train location list shall not be operated on the track for which the list is provided, during the time for which the list is effective, until each roadway worker to whom the list has been issued has been notified of the train movement, has acknowledged the notification to the train dispatcher, and has canceled the list. A list thus canceled shall then be invalid for on-track safety. (4) Definite train location shall not be used to establish on-track safety within the limits of a manual interlocking, or on track over which train movements are governed by a Traffic Control System or by a Manual Block System. (5) Roadway workers using definite train location for on-track safety shall not foul a track within ten minutes before the earliest time that a train is due to depart the last station at which time is shown in approach to the roadway worker's location nor until that train has passed the location of the roadway worker. (6) A railroad shall not permit a train to depart a location designated in a definite train location list before the time shown therein. (7) Each roadway worker who uses definite train location to establish on-track safety must be qualified on the relevant physical characteristics of the territory for which the train location information is provided. (a) A railroad is permitted to include informational line-ups of trains in its on-track safety program for use only on subdivisions of that railroad upon which such procedure was in effect on March 14, 1996. (b) Each procedure for the use of informational line-ups of trains found in an on-track safety program shall include all provisions necessary to protect roadway workers using the procedure against being struck by trains or other on-track equipment. (c) Each on-track safety program that provides for the use of informational line-ups shall include a schedule for discontinuance of the procedure by a definite date. (a) No employer subject to the provisions of this part shall require or permit a roadway worker who is a member of a roadway work group to foul a track unless on-track safety is provided by either working limits, train approach warning, or definite train location in accordance with the applicable provisions of §§214.319, 214.321, 213.323, 214.325, 214.327, 214.329 and 214.331 of this part. (b) No roadway worker who is a member of a roadway work group shall foul a track without having been informed by the roadway worker responsible for the on-track safety of the roadway work group that on-track safety is provided. (c) Roadway work groups engaged in large-scale maintenance or construction shall be provided with train approach warning in accordance with §214.327 for movements on adjacent tracks that are not included within working limits. (a) A lone worker who fouls a track while performing routine inspection or minor correction may use individual train detection to establish on-track safety only where permitted by this section and the on-track safety program of the railroad. (b) A lone worker retains an absolute right to use on-track safety procedures other than individual train detection if he or she deems it necessary, and to occupy a place of safety until such other form of on-track safety can be established. (c) Individual train detection may be used to establish on-track safety only: (1) By a lone worker who has been trained, qualified, and designated to do so by the employer in accordance with §214.347 of this subpart; (2) While performing routine inspection and minor correction work; (3) On track outside the limits of a manual interlocking, a controlled point, or a remotely controlled hump yard facility; (4) Where the lone worker is able to visually detect the approach of a train moving at the maximum speed authorized on that track, and move to a previously determined place of safety, not less than 15 seconds before the train would arrive at the location of the lone worker; (5) Where no power-operated tools or roadway maintenance machines are in use within the hearing of the lone worker; and (6) Where the ability of the lone worker to hear and see approaching trains and other on-track equipment is not impaired by background noise, lights, precipitation, fog, passing trains, or any other physical conditions. (d) The place of safety to be occupied by a lone worker upon the approach of a train may not be on a track, unless working limits are established on that track. (e) A lone worker using individual train detection for on-track safety while fouling a track may not occupy a position or engage in any activity that would interfere with that worker's ability to maintain a vigilant lookout for, and detect the approach of, a train moving in either direction as prescribed in this section. (f) A lone worker who uses individual train detection to establish on-track safety shall first complete a written Statement of On-track Safety. The Statement shall designate the limits of the track for which it is prepared and the date and time for which it is valid. The statement shall show the maximum authorized speed of trains within the limits for which it is prepared, and the sight distance that provides the required warning of approaching trains. The lone worker using individual train detection to establish on-track safety shall produce the Statement of On-track Safety when requested by a representative of the Federal Railroad Administrator. Each railroad shall require that the locomotive whistle be sounded, and the locomotive bell be rung, by trains approaching roadway workers on or about the track. Such audible warning shall not substitute for on-track safety procedures prescribed in this part. (a) Each employer shall include in its on-track safety program specific provisions for the safety of roadway workers who operate or work near roadway maintenance machines. Those provisions shall address: (1) Training and qualification of operators of roadway maintenance machines. (2) Establishment and issuance of safety procedures both for general application and for specific types of machines. (3) Communication between machine operators and roadway workers assigned to work near or on roadway maintenance machines. (4) Spacing between machines to prevent collisions. (5) Space between machines and roadway workers to prevent personal injury. (6) Maximum working and travel speeds for machines dependent upon weather, visibility, and stopping capabilities. (b) Instructions for the safe operation of each roadway machine shall be provided and maintained with each machine large enough to carry the instruction document. (1) No roadway worker shall operate a roadway maintenance machine without having been trained in accordance with §214.355. (2) No roadway worker shall operate a roadway maintenance machine without having complete knowledge of the safety instructions applicable to that machine. (3) No employer shall assign roadway workers to work near roadway machines unless the roadway worker has been informed of the safety procedures applicable to persons working near the roadway machines and has acknowledged full understanding. (c) Components of roadway maintenance machines shall be kept clear of trains passing on adjacent tracks. Where operating conditions permit roadway maintenance machines to be less than four feet from the rail of an adjacent track, the on-track safety program of the railroad shall include the procedural instructions necessary to provide adequate clearance between the machine and passing trains. (a) No employer shall assign an employee to perform the duties of a roadway worker, and no employee shall accept such assignment, unless that employee has received training in the on-track safety procedures associated with the assignment to be performed, and that employee has demonstrated the ability to fulfill the responsibilities for on-track safety that are required of an individual roadway worker performing that assignment. (b) Each employer shall provide to all roadway workers in its employ initial or recurrent training once every calendar year on the on-track safety rules and procedures that they are required to follow. (c) Railroad employees other than roadway workers, who are associated with on-track safety procedures, and whose primary duties are concerned with the movement and protection of trains, shall be trained to perform their functions related to on-track safety through the training and qualification procedures prescribed by the operating railroad for the primary position of the employee, including maintenance of records and frequency of training. (d) Each employer of roadway workers shall maintain written or electronic records of each roadway worker qualification in effect. Each record shall include the name of the employee, the type of qualification made, and the most recent date of qualification. These records shall be kept available for inspection and photocopying by the Federal Railroad Administrator during regular business hours. The training of all roadway workers shall include, as a minimum, the following: (a) Recognition of railroad tracks and understanding of the space around them within which on-track safety is required. (b) The functions and responsibilities of various persons involved with on-track safety procedures. (c) Proper compliance with on-track safety instructions given by persons performing or responsible for on-track safety functions. (d) Signals given by watchmen/lookouts, and the proper procedures upon receiving a train approach warning from a lookout. (e) The hazards associated with working on or near railroad tracks, including review of on-track safety rules and procedures. Each lone worker shall be trained and qualified by the employer to establish on-track safety in accordance with the requirements of this section, and must be authorized to do so by the railroad that conducts train operations on those tracks. (a) The training and qualification for lone workers shall include, as a minimum, consideration of the following factors: (1) Detection of approaching trains and prompt movement to a place of safety upon their approach. (2) Determination of the distance along the track at which trains must be visible in order to provide the prescribed warning time. (3) Rules and procedures prescribed by the railroad for individual train detection, establishment of working limits, and definite train location. (4) On-track safety procedures to be used in the territory on which the employee is to be qualified and permitted to work alone. (b) Initial and periodic qualification of a lone worker shall be evidenced by demonstrated proficiency. (a) The training and qualification for roadway workers assigned the duties of watchmen/lookouts shall include, as a minimum, consideration of the following factors: (1) Detection and recognition of approaching trains. (2) Effective warning of roadway workers of the approach of trains. (3) Determination of the distance along the track at which trains must be visible in order to provide the prescribed warning time. (4) Rules and procedures of the railroad to be used for train approach warning. (b) Initial and periodic qualification of a watchman/lookout shall be evidenced by demonstrated proficiency. (a) The training and qualification for roadway workers assigned the duties of flagmen shall include, as a minimum, the content and application of the operating rules of the railroad pertaining to giving proper stop signals to trains and holding trains clear of working limits. (b) Initial and periodic qualification of a flagman shall be evidenced by demonstrated proficiency. (a) The training and qualification of roadway workers who provide for the on-track safety of groups of roadway workers through establishment of working limits or the assignment and supervision of watchmen/lookouts or flagmen shall include, as a minimum: (1) All the on-track safety training and qualification required of the roadway workers to be supervised and protected. (2) The content and application of the operating rules of the railroad pertaining to the establishment of working limits. (3) The content and application of the rules of the railroad pertaining to the establishment or train approach warning. (4) The relevant physical characteristics of the territory of the railroad upon which the roadway worker is qualified. (b) Initial and periodic qualification of a roadway worker to provide on track safety for groups shall be evidenced by a recorded examination. (a) The training and qualification of roadway workers who operate roadway maintenance machines shall include, as a minimum: (1) Procedures to prevent a person from being struck by the machine when the machine is in motion or operation. (2) Procedures to prevent any part of the machine from being struck by a train or other equipment on another track. (3) Procedures to provide for stopping the machine short of other machines or obstructions on the track. (4) Methods to determine safe operating procedures for each machine that the operator is expected to operate. (b) Initial and periodic qualification of a roadway worker to operate roadway maintenance machines shall be evidenced by demonstrated proficiency.
Title 49: Transportation
PART 214—RAILROAD WORKPLACE SAFETY
Subpart C—Roadway Worker Protection
§ 214.301 Purpose and scope.
§ 214.302 Information collection requirements.
§ 214.303 Railroad on-track safety programs, generally.
§ 214.305 Compliance dates.
§ 214.307 Review and approval of individual on-track safety programs by FRA.
§ 214.309 On-track safety program documents.
§ 214.311 Responsibility of employers.
§ 214.313 Responsibility of individual roadway workers.
§ 214.315 Supervision and communication.
§ 214.317 On-track safety procedures, generally.
§ 214.319 Working limits, generally.
§ 214.321 Exclusive track occupancy.
§ 214.323 Foul time.
§ 214.325 Train coordination.
§ 214.327 Inaccessible track.
§ 214.329 Train approach warning provided by watchmen/lookouts.
§ 214.331 Definite train location.
§ 214.333 Informational line-ups of trains.
§ 214.335 On-track safety procedures for roadway work groups.
§ 214.337 On-track safety procedures for lone workers.
§ 214.339 Audible warning from trains.
§ 214.341 Roadway maintenance machines.
§ 214.343 Training and qualification, general.
§ 214.345 Training for all roadway workers.
§ 214.347 Training and qualification for lone workers.
§ 214.349 Training and qualification of watchmen/lookouts.
§ 214.351 Training and qualification of flagmen.
§ 214.353 Training and qualification of roadway workers who provide on-track safety for roadway work groups.
§ 214.355 Training and qualification in on-track safety for operators of roadway maintenance machines.
