Self Instruction - Part 225 Training

1. Presentation to Railroad Accident Reporting PersonnelTraining Module I (Group I) FRA Form F 6180.57Highway-Rail Grade Crossing Accident/Incident Report Self Instruction - Part 225 Training Based on the FRA Guide for Preparing Accident/Incident Reports and Related Reporting and Record Keeping Forms FRA Guide Revision of June 1, 2011 _______________________________________ Federal Railroad Administraion Washington, D.C Last Revision August 1, 2017

2. Monthly Reporting Obligation What is to be Reported? • Group I – Highway-Rail Grade Crossing Accidents/Incidents • Group II – Rail Equipment Accidents/Incidents • Group III – Casualties to Persons

3. Training Module I (GROUP I ACCIDENTS) Accident/Incident Reporting and Recordkeeping Highway-Rail Grade Crossing Accidents/Incidents

4. DID you say you want me to look at Highway-Rail Grade Crossing Accident/Incident Reports?YES

5. So, what do I need to know? That is why we are here today!

6. Inspection of GROUP I AccidentsHighway-Rail Grand Crossing Accident ReportFRA Form F 6180.57 We first need to be properly grounded in the the REQUIREMENT for reporting a grade crossing accident --- REQUIREMENT: “Any impact between railroad on-track equipment and an automobile, bus, truck, motorcycle, bicycle, farm vehicle or pedestrian at a highway-rail grade crossing.”

7. Inspection of GROUP I AccidentsHighway-Rail Grand Crossing Accident ReportFRA Form F 6180.57 MONTHLY REPORTING FORM: FRA Form F 6180.57, “Highway-Rail Grade Crossing Accident/Incident Report” This form is to be submitted with the railroad’s monthly report submissions when a railroad on-track equipment consist is involved in an impact with a highway user at a grade crossing site.

8. Inspection of GROUP I AccidentsHighway-Rail Grand Crossing Accident ReportFRA Form F 6180.57 FRA’s auditing responsibility of highway-rail grade crossing accidents has two objectives: • To find HIGHWAY-RAIL GRADE CROSSING ACCIDENTS that have NOT been reported to FRA, and • To find inaccurate reporting of details as reported on FRA Form F 6180.57

9. Inspection of GROUP I AccidentsHighway-Rail Grand Crossing Accident ReportFRA Form F 6180.57 To address the first objective of finding highway-rail grade crossing accidents that have NOT been reported to FRA: • Seek information from other offices or employees of the railroad about grade crossing accidents that have occurred. • Check FRA’s database to determine if the highway-rail grade crossing accident was in fact reported to FRA.

10. Inspection of GROUP I AccidentsHighway-Rail Grand Crossing Accident ReportFRA Form F 6180.57 This first objective of finding highway-rail grade crossing accidents that have NOT been reported to FRAis the basic reason for the congressional mandate. Should you discover that a highway-rail grade crossing accident was NOT reported to FRA, FRA’s policy requires the inspector to file a recommended violation under Section 225.11 to the Office of Chief Counsel.

11. Inspection of GROUP I AccidentsHighway-Rail Grand Crossing Accident ReportFRA Form F 6180.57 To address the second objective of finding details incorrectly reported on Form F 6180.57 reported to FRA: • Manually review the railroad’s file copies of Form F 6180.57, and/or • Use FRA’s databases to compare data existing on Form F 6180.57, versus data that exists on Form F 6180.71, “US DOT Grade Crossing Inventory Record”

12. Typical Audit ProcedureHighway-Rail Grade Crossing Accident/Incident ReportFRA Form F 6180.57 Use Program 2.08 to view the railroad you will audit:

13. Typical Audit ProcedureHighway-Rail Grade Crossing Accident/Incident ReportForm FRA F 6180.57Using the example of the Kyle Railroad for Year 2016, there was only one grade crossing report

14. Typical Audit ProcedureHighway-Rail Grade Crossing Accident/Incident ReportForm FRA F 6180.57The two arrows on the previous slide point to HYPERLINKS –One HYPERLINK IS for the Incident # which brings up a copy of the FRA Form F 6180.57

15. Typical Audit ProcedureHighway-Rail Grade Crossing AccidentsForm FRA F 6180.57The second HYPERLINK is for the DOT Grade Crossing Inventory Record, for the DOT ID Number that was reported for this accident.By clicking on the Crossing ID, this will bring up a copy of the U.S. DOT Inventory Record.

16. Monthly Reporting Obligation • MONTHLY REPORTING OBLIGATION (Continued) • GROUP I – HIGHWAY-RAIL GRADE CROSSING ACCIDENTS/INCIDENTS • Requirements for Reporting • Definitions • FRA Form F 6180.57 –Highway-Rail Grade Crossing Accident/Incident Report • U.S. DOT Grade Crossing Inventory Record

17. Monthly Reporting Obligation What is to be Reported? • Group I – Highway-Rail Grade Crossing Accident/Incident REPORTING FORM: FRA Form F 6180.57, “Highway-Rail Grade Crossing Accident/Incident Report.” To be submitted with the railroad’s monthly report submission when a railroad’s on-track equipment consist is involved in an impact with a highway user at a grade crossing site.

18. When FRA discovered an Unreported Highway-Rail Grade Crossing Accident FRA asked… Railroad responded.. Because it didn’t exceed the threshold! Why didn’t you report the Crossing Accident? WRONG!

19. What is to be Reported? • Group I – Highway-Rail Grade Crossing Accident/Incident REQUIREMENT: “Any impact between railroad on-track equipment and an automobile, bus, truck, motorcycle, bicycle, farm vehicle or pedestrian at a highway-rail grade crossing.” • Note: The SLIGHTEST IMPACT between a highway user and an on track rail equipment consist, requires a report!

20. What is to be Reported? • Group I – Highway-Rail Grade Crossing Accident/Incident QUESTION TO AUDIENCE Your crew was performing a shoving move in your yard. Your conductor was riding the lead car of the shoving movement. A driver of an automobile, while driving on a railroad access road, drove onto the track at a yard crossing and was struck by the lead car of the shoving move. Does this type of accident in a railroad yard qualify as a highway-rail grade crossing accident, and if so, is the monthly FRA Form F 6180.57 required? W

21. What is to be Reported? • Group I – Highway-Rail Grade Crossing Accident/Incident AND, THE CORRECT ANSWER IS… YES! The final sentence of the definition of a “Highway Rail Grade Crossing Accident/Incident,” as found on pages 23-24, Chapter 2, “Definitions,” of the current FRA Guide indicates: “All crossing locations within industry and rail yards, ports, and dock areas are considered highway-rail grade crossings within the meaning of the term.”

22. What is to be Reported? • Group I – Highway-Rail Grade Crossing Accident/Incident QUESTION TO AUDIENCE A freight train operated by crew members of a Class 1 railroad, while operating on YOUR trackage, strikes a truck-trailer at a grade crossing. As a result of this accident, the locomotive of the Class 1 railroad’s freight train sustained $20,000 equipment damage. YOUR RAILROAD DID NOT SUSTAIN ANY TRACK, SIGNAL OR ROADBED DAMAGE. Does YOUR railroad need to file any monthly accident report to FRA? If so, what report(s)?

23. What is to be Reported? • Group I –Highway-Rail Grade Crossing Accident/Incident AND, THE CORRECT ANSWER IS… YES… YOU MUST FILE FORM F 6180.54! 10.2 ADDITIONAL REQUIREMENTS, as found on page 141, Chapter 10 of the current FRA Guide indicates: Rail Equipment Accident/Incident Report, Form FRA F 6180.54. If a highway-rail grade crossing accident/ incident results in reportable damage greater than the current reporting threshold used for Rail Equipment Accident/Incident reporting, the railroad must also submit to FRA a Form FRA F 6180.54, “Rail Equipment Accident/Incident Report.”

24. Monthly Reporting Obligation Question about Form FRA F 6180.57, “Highway-Rail Grade Crossing Accident/Incident.” What happens if I do not send in a monthly report? • It constitutes noncompliance with the Federal Accident Reporting Law (as amended), as well as FRA’s Part 225 regulations, subjecting your railroad to possible civil penalty. • The lack of a railroad’s report compromises the integrity (accuracy and completeness) of FRA’s national accident/incident database.

25. Monthly Reporting Obligation Comments about Form FRA F 6180.57, “Highway-Rail Grade Crossing Accident/Incident.” Inter Image requested that we advise the following: Item 6, “Time of Accident/Incident.” • Do not use military time! Item 6, “Time of Accident/Incident” is to be entered as AM or PM.

26. Monthly Reporting Obligation Item 12, “Highway Name or Number” “PUBLIC/PRIVATE” BOXES, FRA Form F 6180.57 FRA accident/incident audits have disclosed widespread noncompliance by railroads with respect to entries made into the “Public/Private” boxes, in Item 12, “Highway Name or Number.“ These incorrect entries are found by comparing the entry made in the “Public or Private” box in Item 12 of FRA Form F 6180.57, to the “Public or Private” designation found on the US DOT Grade Crossing Inventory Record for DOT ID number reported for the accident in Item 4.

27. Monthly Reporting Obligation Item 12, “Highway Name or Number” “PUBLIC/PRIVATE” BOXES, FRA Form F 6180.57 PUBLIC VERSUS PRIVATE CROSSINGS PUBLIC CROSSING -A highway-rail grade crossing where the roadway is under the jurisdiction of and maintained by a public authority. Source: U.S. Department of Transportation, Federal Highway Administration.

28. Monthly Reporting Obligation Item 12, “Highway Name or Number” “PUBLIC/PRIVATE” BOXES, FRA Form F 6180.57 PUBLIC VERSUS PRIVATE CROSSINGS • PRIVATE CROSSING - An at-grade crossing where the highway is privately owned and is intended for use by the owner or by the owner's licensees and invitees. It is not intended for public use and is not maintained by a public highway authority. Usually, an agreement between the land owner and the railroad governs the use of the private crossing. (Typical types of private crossings are: (1) Farm crossings; (2) Industrial plant crossings; (3) Residential access crossings, and (4) Temporary Crossings.) Source: U.S. Department of Transportation, Federal Highway Administration.

29. Monthly Reporting Obligation Item 12, “Highway Name or Number” “PUBLIC/PRIVATE” BOXES, FRA Form F 6180.57 PUBLIC VERSUS PRIVATE CROSSINGS Number of Highway-Rail Grade Crossings: In the United States there are approximately 140,000 public, and 94,000 private highway-rail grade crossings – Approximately 234,000 total crossings. For calendar year 2014, 1,914 accidents occurred at Public Crossings, 321 at Private Crossings – Total 2,285 total highway-rail grade crossing accidents. Source: U.S. Department of Transportation, Federal Highway Administration http://safety.fhwa.dot.gov/xings/com_roaduser/xing_defs.cfm-

30. Monthly Reporting Obligation Item 12, “Highway Name or Number” “PUBLIC/PRIVATE” BOXES, FRA Form F 6180.57 PUBLIC VERSUS PRIVATE CROSSINGS Item 17, “Crossing Type,” on the U.S. DOT CROSSING INVENTORY FORM (OMB No. 2130-0017. Form FRA F 6180.71 (Rev. 3/15), is used to identify whether the individual crossing is “public” or “private”. Figure 2-23: U.S. DOT-FRA Crossing Inventory Form Part I, Item 17

31. Monthly Reporting Obligation Item 12, “Highway Name or Number” “PUBLIC/PRIVATE” BOXES, FRA Form F 6180.57 PUBLIC VERSUS PRIVATE CROSSINGS Item 17, “Crossing Type,” on the U.S. DOT CROSSING INVENTORY FORM (OMB No. 2130-0017. Form FRA F 6180.71 (Rev. 3/15), is used to identify whether the individual crossing is “public” or “private.” Figure 2-23: U.S. DOT-FRA Crossing Inventory Form Part I, Item 17

32. Monthly Reporting Obligation Item 12, “Highway Name or Number” “PUBLIC/PRIVATE” BOXES, FRA Form F 6180.57 Example - Actual Deficiency Written on Inspection Report for a Railroad’s Non-compliance June 2, 2013, Kansas City (Jackson County), Missouri, XXXX A/I No. 0613KC001. Entry was made into the “Public” box in Item No. 12, “Highway Name or No.”, of Form FRA F 6180.57 for this accident shown as occurring at crossing identified as “Topping Avenue,” DOT ID No. 429523U. However, when inquiry was made against the U.S. DOT Crossing Inventory database, the inventory record for crossing identified as DOT ID No. 429523U indicates it to be a “Private” crossing with “Street or Road Name” shown as “Private”.

33. Monthly Reporting Obligation Item 13, “Type of Highway User” FRA Form F 6180.57 FRA accident/incident audits have disclosed many inaccuracies and noncompliance by railroads with respect to entries made in Item 13, “Type of Highway User”. These inaccuracies are often revealed when FRA auditors visit railroad claims offices and find that the make, model, and description of the vehicle involved in the accident as recorded by the local police department report, differs from what has been reported to FRA.

34. Monthly Reporting Obligation Item 13, “Type of Highway User” FRA Form F 6180.57 One of the more common miscodes found is the reporting of code B, “Truck,” when code D, “Pick-up Truck” should have been reported. When “Pick-up trucks” are incorrectly coded as “Trucks,” there is a tendency for FRA to improperly view the impact as being with a “heavy” highway vehicle, which in a high-speed impact, could result in considerable damage to the lead locomotive.

35. Monthly Reporting Obligation Item 13, “Type of Highway User” FRA Form F 6180.57 FRA views the use of code B, “Truck”, as covering many types of trucks, such as a “Garbage Truck,” a “Box Truck,” a “Cement Truck,” a “Dump Truck,” etc. , other than a truck-trailer or a pick-up truck. “Pick-up trucks” are typically lighter weight vehicles, such as a Ford F150, Ford Ranger, Chevrolet Silverado, etc. Because of their lighter weight, when they are involved in a high speed impact, the possibility of damage to the lead locomotive is considerably less.

36. Monthly Reporting Obligation Item 13, “Type of Highway User,” FRA Form F 6180.57 Example - Actual Deficiency Written on Inspection Report for a Railroad’s Non-compliance January 18, 2013, Columbus (Muscogee County), Georgia, XXXX A/I No. 103101. XXXX did submit a Form FRA F 6180.57 for this highway-rail grade crossing accident. XXXX entered in Item 13 code B, “Truck.” However, FRA noted documents in the claim file for this case which included a copy of the “Columbus Police Department Report” for this accident. This report indicates that the type of vehicle involved in this accident was a 1996 Ford Ranger Pick-up truck. Therefore it appears that the entry into Item 13 should have been code D, “Pick-up truck”.

37. Monthly Reporting Obligation Comments about Form FRA F 6180.57, “Highway-Rail Grade Crossing Accident/Incident”: • When answering the following data fields for the highway user’s actions at the time of impact: • the Highway User’s SPEED as entered into Item 14; • the Highway User’s POSITION as entered into Item 16; and • the Highway User’s ACTION as entered into Item 41, All should reflect the same information – standing or moving at the time of the accident. ActioNet has “cross field validations” that require compliance with this important issue.

38. Monthly Reporting Obligation Comments about Form FRA F 6180.57, “Highway-Rail Grade Crossing Accident/Incident”: Item 14 – Vehicle Speed (Est. mph at impact) 0 • Item 41 – Highway User Action • Went around the gate • Stopped and then proceeded • Did not stop • Stopped on crossing • Other (specify) • Went around/thru temporary barricade • Went thru the gate • Suicide/Attempted Suicide • Item 16 – Position Highway User • Stalled or stuck on crossing • Stopped on crossing • Moving over crossing • Trapped on crossing by traffic • Blocked on crossing by gate In other words, it would be incorrect to show vehicle speed of 0 mph in Item 14, and code 3, “Moving over crossing”, in Item 16.

39. Monthly Reporting Obligation Comments about Form FRA F 6180.57, “Highway-Rail Grade Crossing Accident/Incident.” Effective with FRA’s June 1, 2011 revisions to Part 225, the description for code 4 of Item 16, “Position Highway User,” was further clarified, and a new code 5 and description was established. • Item 16 – Position Highway User • Stalled or stuck on crossing • Stopped on crossing • Moving over crossing • Trapped on crossing by traffic • Blocked on crossing by gate “on crossing by traffic” added New code & description added

40. Monthly Reporting Obligation Comments about Form FRA F 6180.57, “Highway-Rail Grade Crossing Accident/Incident.” February 3, 2015 - Valhalla, New York, Commerce Street Crossing. “The SUV was in the danger zone inside railroad crossing gates for about 30 seconds before the train smashed into it, killing the SUV driver and five train passengers, NTSB Vice Chairman Robert Sumwalt said.” Per other reports, it had been stuck in traffic at the Commerce Street grade crossing in Valhalla, when struck by train at 6:40 pm. • Item 16 – Position Highway User • Stalled or stuck on crossing • Stopped on crossing • Moving over crossing • Trapped on crossing by traffic • Blocked on crossing by gate Question: What “Position Highway User” code should have been entered for this accident? “on crossing by traffic” added New code & description added

41. Monthly Reporting Obligation Item 20a, FRA Form F 6180.57 Instructions for entry in Item 20a, Page 149, Chapter 10, FRA Guide: Enter the code that identifies whether or not the rail equipment and/or the highway user was transporting hazardous material as cargo at the time of the impact. For the rail equipment, this includes any car containing hazardous material cargo within the consist, regardless of location, but not generally the locomotive because diesel fuel used by the locomotive and fusees carried by the locomotive are not considered to be cargo. Highway users are to be identified only when the hazardous material is being transported as cargo; the gasoline or diesel fuel used by the vehicle’s engine is not considered to be cargo.

42. Monthly Reporting Obligation Item 20a, “Type of Highway User,” FRA Form F 6180.57 Example - Actual Inspection Report Written for Non-compliance December 11, 2014, Elgin (Kane County), Illinois, XXXX A/I No. 835368. XXXX submitted a Form FRA F 6180.57, “Highway-Rail Grade Crossing Accident/Incident Report” for this grade crossing accident involving an automobile and a freight train. The entry in Item 20a, “Was the highway user and/or rail involved in the impact transporting hazardous materials?” of FRA Form F 6180.57 was entered as code 4, “Neither.” However, during FRA inspection of the claim file for this accident, a copy of the train consist for the freight train involved in this accident was found. This consist for the unit crude oil train listed all 81 cars as transporting hazardous material.

43. Monthly Reporting Obligation Item 20a, “Type of Highway User,” FRA Form F 6180.57 THIS FINDING DURING AN FRA AUDIT, THAT THE RAILROAD REPORTED NO HAZARDOUS MATERIAL CARS IN THE TRAIN INVOLVED IN THE HIGHWAY-RAIL GRADE CROSSING ACCIDENT (WHEN THE TRAIN WAS AN 81 CAR LOADED CRUDE OIL TRAIN), UNDERSCORES THE IMPORTANCE OF PROPER TRAIN CONSIST INFORMATION BE PROVIDED TO THE ACCIDENT REPORTING OFFICER TO ENSURE PROPER REPORTING TO FRA.

44. Monthly Reporting Obligation Item 25, “Type of Track” and 26, “Track Number or Name” FRA Form F 6180.57 FRA accident/incident audits have disclosed widespread noncompliance by railroads with respect to entries made into Item 26, “Track Number or Name,” when the entry into Item 25, “Track Type Used by Rail Equipment Involved” is code 1, “Main”. DOUBLE TALKDOUBLE TALK MAIN 1

45. Monthly Reporting Obligation Item 25, “Type of Track” and 26, “Track Number or Name” FRA Form F 6180.57 Instructions for entry into Item 26, “Track Number or Name,” on page 150, Chapter 10 of the current FRA Guide indicate: “26. Track Number or Name • Enter the number or name used to identify the track on which the accident occurred. If it is main track of a single-track line, enter “single main track”. 1 SINGLE MAIN TRACK

46. Monthly Reporting Obligation Item 25, “Type of Track” and 26, “Track Number or Name” FRA Form F 6180.57 Of course, when an accident occurs in “double or multiple main track territory,” the track name or number of the specific track is to be entered into Item 26. For example, if the accident occurred on the “Eastward” main track in Rule 251-254 double track territory, the proper entry into Item 26 would be “Eastward”. For example, if the accident occurred on “Main Track No. 3” in multiple main track territory, the proper entry into Item 26 would be “No. 3”. 1 EASTWARD MAIN

47. Monthly Reporting Obligation Item 32, FRA Form F 6180.57, “Type of Crossing Warning” FRA Codes for Classification of Type of Crossing Warning” 1. Gates 7. Crossbucks 2. Cantilever FLS 8. Stop signs 3. Standard FLS 9. Watchman 4. Wig wags 10. Flagged by crew 5. Hwy traffic signals 11. Other (specify) 6. Audible 12. None

48. Monthly Reporting Obligation Item 32, FRA Form F 6180.57, “Type of Crossing Warning” • INSTRUCTION FOR ENTRY INTO ITEM 32 - Page 151, Chapter 10, FRA Guide: 32. Type of Crossing Warning Identify the warning devices by entering the appropriate code(s) in the box(es). For codes “2” and “3,” “FLS” means “flashing light signal.” Enter a code of “5” (“Highway Traffic Signals”) whenever such a signal is present at the crossing site and is used for controlling highway traffic over the crossing.

49. Monthly Reporting Obligation Item 32, FRA Form F 6180.57, “Type of Crossing Warning” Code 1 - GATES: An automatic gate serves as a barrier across the highway when a train is approaching or occupying the crossing. The gate is reflectorized with 16-inch diagonal red and white stripes. To enhance visibility during darkness, three red lights are placed on the gate arm. The gate is combined with a standard flashing light signal. Excerpt from: U.S. Department of Transportation, Federal Highway Administration, “Railroad Highway Grade Crossing Handbook – Revised Second Edition August 2007.”

50. Monthly Reporting Obligation Item 32, FRA Form F 6180.57, “Type of Crossing Warning” Code 2 – CANTILEVER FLASHING LIGHT SIGNALS: Flashing light signals are generally post-mounted, but where improved visibility to approaching traffic is required, cantilevered flashing light signals are used. Cantilevered flashing lights may be appropriate when certain conditions exist: Excerpt from: U.S. Department of Transportation, Federal Highway Administration, “Railroad Highway Grade Crossing Handbook – Revised Second Edition August 2007.”