About the Author J. D. Santucci (a.k.a. "Tuch") began his railroading career in 1978 as a trainman on the Missouri Pacific. After a round of lay-offs in 1985, Tuch embarked on a railroad odyssey, working in many different situations for different roads. This column tries to explain some of the nuts and bolts of the job and also demonstrates what we have to deal with on a regular basis within and without the industry. Tuch currently works through freights out of Chicago for Canadian National/Illinois Central. ©1999, 2003-2007 JD Santucci. Logo ©2002 The Railroad Network. By J.D. Santucci

March 19, 2004
The aviation industry has been using in flight event recorders, known affectionately as the "black box" for years. Although the box is actually bright orange in color to make it easier to find in the event of a crash, it is called the black box just the same. These recorders record what the flight crew was doing with regards to all the controls of the plane. Numerous activities are recorded constantly including air speed, altitude, attitude and the like. These recorders are very precise and all information garnered from such devices is carefully and thoroughly studied in the event of a crash or other mishap.

For years to a lesser extent, the railroad industry has followed suit applying different types of recording devices to locomotives. Over the years these recorders have evolved from being simple speed recorders to total event recorders. We'll look at speed recorders first.

The speed recorder was a device that recorded just that, the speed. There were a couple of different styles used and in my earlier days of railroading I was exposed to two of them. One type was the mechanical recorder. A mechanical recorder was mounted above the speedometer. This device used a roll of paper threaded through the recorder to a take up spool. A stylus scrawled a line on the paper which resembled graph paper. The graph was plotted with lines in multiples of ten.

The stylus was driven by the same device that moved the speedometer needle. As the speed increased the needle moved higher. The stylus followed scrawling a line upon the graph of the paper in the speed recorder. The take up spool pulled the paper through the recorder as the locomotive moved in either direction recording the speed anytime the locomotive was in motion.

While this was a pretty good system, it was by no means foolproof. Some railroads did not lock or seal the recorders so they were easily accessible by the crews using the locomotives. I personally know Engineers from some roads that could and did tamper with them. It was actually quite an easy task to alter them. By doing so, you could have the speed recorder showing your speed to be slower than you were actually proceeding. Or in some cases, people would simply pull the tape out or otherwise alter it in some manner.

The MoPac used to seal the recorder to prevent such tampering. Theirs was a two step prevention system. First, they locked the recorder. They used a lock that resembled the lock you see on a Coke machine; the type that requires a round key. Of course being that we railroaders are a resourceful bunch, it was not that difficult to find one of these types of keys that would fit the lock. The right key could open the lock and allow unauthorized access to the recorder. Understanding such resourcefulness the MoPac added a check and balance to their system; a numbered seal.

A seal looking just like those used to seal the latches on freight cars were used on the recorders along with the lock. Before locking and sealing the recorder, the Machinist would write the seal number at the beginning of the tape, or at that point on the tape where they inspected the recorder. Along with the seal number would be the date, time and location along with their initials or name.

Whenever a tape had to be pulled for inspection, the seal was retained along with the tape. Also, if a tape was pulled in the presence of the Engineer, the employee pulling the tape would have the Engineer sign it. This was a measure to protect the Engineer so that some overzealous officer could not substitute a tape in order to try to discipline that employee. The seal number was checked against the tape to see that they matched. If it didn't an investigation was launched to determine who might have changed the seal and possibly tampered with the recorder and tape.

In one instance an Engineer kept a cache of seals in his grip. He could break the seal and use a key he had acquired to open the recorder and thus, tamper with it. In several instances a tape was pulled from his locomotive and checked against the seal that was removed with the tape. Through a period of time using of the process of elimination, they narrowed it down to this guy. He was then set up and eventually caught tampering and altering the speed recorder. As a result he was given harsh discipline. There was also an electronic speed recorder that used magnetic tape to record the speed of the locomotive. This tape looked just like an 8 track tape cartridge. For those of you too young to remember 8 track tapes, these were a large cassette, about two or three time larger than a standard cassette tape. These 8 track cartridges used a continuous tape loop and could play constantly. Because they were the continuous loop of tape they did not require rewinding.

Being there was only so much tape you could stuff inside one of these cartridges, they used four channels often referred to as programs to fill the tape with music. Each channel or program only covered a certain portion of the width of the tape. Once reaching the end of that program (which was where the single piece of tape was spliced together using what resembled a piece of foil) the track would switch to the next program. What was enough tape to provide say thirty minutes of music could become one hundred twenty minutes of music on a single tape using four the programs.

The tape cartridge recording systems used in locomotives operated at a much slower speed allowing them to record more data for a longer period of time, usually between 24 and 48 hours. Once reaching the end of total running time, if the tape was not removed it just recorded right over the old data.

Eventually the event recorder was developed. I don't know who developed the first model or when it actually hit the market though. This device electronically recorded additional data besides the speed. Such other properties were added to the list including the position of the throttle or dynamic brake handle, direction of travel, amperage that locomotive was developing, brake pipe pressure of the air brake system of both the train and locomotive brakes and even the brightness setting of the headlight. This trend of using event recorders began around 1980. Well perhaps I should clarify that; the first time I recall ever observing an event recorder was in 1980. It is quite possible they may have been around longer. Hopefully one of you may have some information and convey that along to us all. However, it was not until the 1990's that the Federal Railroad Administration required event recorders as mandatory.

During that interim period between their introduction and their mandatory requirement, railroads used their own philosophies to guide them with regards to the use of event recorders. MoPac began ordering them on all new locomotives acquired beginning in 1980. Every new locomotive obtained came with an event recorder right from the factory. Fifty-two second hand GP38-2 locomotives acquired from the estate of the Rock Island which was in liquidation came equipped with recorders as well, although they were a different brand and model than what MoPac was purchasing with their new locomotives. And if I recall correctly these were just speed recorders though.

The Santa Fe installed event recorders on even numbered locomotives only. Their rationale must have been that every locomotive consist will likely have at least one even numbered unit within it. Other roads installed in only on power assigned to through freight service. Yard and local power such as switchers and smaller Geeps did not receive event recorders.

And with the philosophy on what units to install event recorders upon, what they recorded was also up to the individual railroads. Pretty much all of them recorded speed, direction and distance. Others added a few features here and there like whistle and bell while others like MoPac seemed to go for the whole enchilada. Pretty much everything an Engineer could control was recorded.

Event recorders only record data, they do not record voices. It is probably a good thing our in cab conversations are not recorded otherwise we'd all likely be out of work. Voice conversations carried on the radio and telephone may be recorded though. Usually the Train Dispatcher and Yardmaster phones (commercial, company and trackside) and radios are recorded. The phone lines to the Crew Callers are also recorded as well.

As I mentioned, the use of event recorders in the US was mandated by lawmakers in Washington DC. 49 CFR (Code of Federal Regulations) 229.5(g) defines an event recorder and reads as follows; "Event recorder means a device, designed to resist tampering, that monitors and records data on train speed, direction of motion, time, distance, throttle position, brake applications and operations (including train brake, independent brake, and, if so equipped, dynamic brake applications and operations) and, where locomotive is so equipped, cab signal aspect(s), over the most recent 48 hours of operation of the electrical system of the locomotive on which it is installed. A device, designed to resist tampering that monitors and records the specified data only when the locomotive is in motion shall be deemed to meet this definition provided the device was installed prior to the effective date of this rule and records the specified data for the last eight hours the locomotive was in motion."

Let's examine this rule a little closer. We'll start with that part reading "designed to resist tampering." While pretty much self explanatory this may need some clarification. The event recorder must be constructed of a material strong enough to prevent employees or anybody else from damaging or interrupting the normal operation of the recorder. Now if one knows what they are doing, they can interrupt the operation of the recorder, but not damage it. However, in causing interruption to the operation of the device you are then in violation of another federal regulation that prohibits tampering with a safety appliance.

The event recorder monitors speed and the direction of the motion of the engine, the throttle setting, any and all brake applications which would include the air brake system and/or dynamic brakes, and the actual time of day. The speed is constantly recorded by the event recorder. Even while the locomotive is standing, the recorder is recording the lack of motion. The direction of travel is monitored as well. Again, even if the locomotive is not moving, the position of the reverser handle is constantly recorded. As for distance traveled, I have been told by the folks that manufacture one brand of recorder that they are accurate to within ten feet of total actual distance traveled.

With regards to distance traveled, this feature is used to determine where the train or engine actually was when any and all action was taken with the events being recorded. It can also be clearly determined when the Engineer took or failed to take any required action depending upon the situation. When the issue of operating in excess of any speed limit, intent can be determined using the event recorder. A study of the data can offer proof of intent to speed if it shows that there was the act of sustaining that higher speed.

If the Engineer sustained the throttle in Run 8 well after the train reached a speed in excess of the timetable, or bulletined speed limit, the event recorder will show such. If no intent was made to reduce the speed to the requirement, the event recorder readout will be used as evidence of the intent to violate.

The event recorder will also record the lack of motion as well. The rationale behind monitoring a locomotive not moving is quite simple. If the locomotive is not moving for any valid reason, it could mean that somebody is goofing off. I have worked with a few folks over the years that seemed to work harder at not working than actually working. They might talk on the radio like they are doing something when in reality they are doing nothing more than talking on the radio.

I've heard of guys doing just this only to be caught by some weed watcher observing their lack of motion. They are on the radio instructing the Engineer to back up, take them ahead, slow down, kick them or stop, the entire time just sitting there. The event recorder can prove they were doing nothing while they were pretending to be working.

Monitoring speed and throttle position as well as any and all brake system applications are quite obvious. In addition to any accidents or collisions, other episodes that occur will use data from the event recorder when they are investigated. A train separation or break in two requires the data from the event recorder to be retrieved and examined. This data will provide information as to whether the Engineer mishandled the train thus leading to the break in two or if it was caused from some means outside of his control. On those locomotives equipped with cab signal systems such as automatic train stop, automatic train control or coded cab signal systems, the aspects of signals displayed on the cab signal readout in the cab are also input into the event recorder. This data can be critical where there are no line side signals to test should there be an event or episode of some sort. In the event of a speeding infraction, the downloaded information will confirm what signal aspect the train was operating under. If the signal was more restrictive than a clear (green) indication, particularly one that has a maximum speed associated with it and the train is suspected to be or caught by radar traveling faster; the tail of the tape will reveal this fact.

As I have mentioned some railroads will include more applications on their event recorders than what the FRA requires. Information about whistle, bell, sanders, headlight and ditch light use may also be included. Some railroads will plug the end of train telemetry control display unit into the event recorder as well. An alerter or crew vigilance system may also be monitored.

Why this other data being recorded? The whistle, bell and headlight data would be crucial in the event of a collision at a grade crossing with a motor vehicle. Some of the first questions always asked when such an episode occurs (after "How fast were you going?") are "Were you sounding the whistle and ringing the bell?" and very also "Did you have the headlight on bright?"

The event recorder is probably the main reason people are complaining more and more about hearing the whistles blowing, especially late at night. The event recorder is recording your actions. It does not care that it is three in the morning and neither do railroad officials when checking data from an event recorder. I know the neighbors don't appreciate our efforts, but my job is far more important to me than their sleep. And in the event I should collide with an automobile, not properly sounding the whistle could result in more than just discipline from the carrier, it could result in criminal charges if somebody in the vehicle is injured or killed.

There are several types of event recorders in use within the rail industry. The newer, high tech units use a computer chip to record the information. A lap top computer is used to download the information from the event recorder. The lap top will be plugged into the system and information stored on this chip will be downloaded. This information will then be run through a program that prints out all of the data on screen and on paper for further evaluation. Older event recorders use that 8 track tape cartridge. This tape records constantly while the locomotive is running be it idling or moving. If information needs to be retrieved, the tape is simply removed from the recorder unit and plugged into a machine that will then play out the tape, record the information and print it out onto a sheet of paper. It will provide the information required to assist with any investigation.

While I had observed the recorders on new locomotives arriving at the MoPac in 1980, I didn't know anything about them other than that they recorded data. During my days at the Locomotive Engineer Training Center at North Little Rock in July 1981, we were given extensive information about these recorders. We were told what they did and how they worked. Their purpose was fully explained to us.

It was quite apparent even back then, for us to see that the event recorder could easily be considered a double edged sword. While using it as a defensive tool against lawsuits when collisions with motor vehicles and the like occur, the event recorder is also used to investigate or even spy on the crews. As I would learn throughout my career, they became just that, a tool to monitor our performance.

Back in North Little Rock we were told of a situation in Texas involving a train/motor vehicle collision. The lead unit of the locomotive consist had one of the brand new event recorders and the data at the time of the episode was retrieved from this unit. The motorist involved as well as a "witness" claimed the Engineer did not have the headlight illuminated and was not sounding the whistle as required. The motorist that managed to survive the episode was suing the MoPac. The data report from the event recorder showed the Engineer was operating within the timetable speed limit; the headlight was illuminated on bright, with both the whistle and bell in use in compliance with the rules. As a result of this information, the lawsuit was dismissed and the motorist received no monetary compensation from the railroad. It also saved the Engineer his job.

In my days as a Trainmaster, I have witnessed first hand, how the event recorder can be used as both friend and foe of an Engineer and train crew. In one instance, an Engineer was accused of causing flat spots on the wheels of a locomotive. The tale of the tape from the event recorded clearly showed that he indeed was using improper braking methods on his locomotives. Improper to the point that it was a violation of the rules as it caused the flat spots on the locomotives he was operating. As a result of the findings an investigation was called, all evidence against him presented including the readout from the event recorder and he wound up being removed from service for sixty days of unpaid discipline.

In another situation, an Engineer failed to stop his train before passing the end of the limits he was authorized to operate. When he realized he was going beyond his limits, he put the train into emergency to stop it. He got stopped, recovered the air and then simply backed up. There were several infractions involved here; backing up without permission and not making an inspection of the entire train before moving it after an emergency application of the brakes. When the train stopped from the emergency application, several cars derailed. Since no inspection was made he had no way of knowing about the derailment. He just began shoving back and the train again went into emergency. This time he didn't do it, the train did. Upon further revue it was discovered that now, not only were they derailed; there were several cars sideways. This caused significant track damage as well as damage to the derailed cars.

When this entire episode was investigated, the Engineer first claimed the train went into emergency when he was bringing them to a stop. He did not mention that he put the train into emergency and then backed up. When the tapes were pulled and examined, the truth came out. When all was said and done, he was given some time off for bad behavior and then had to go through a remedial training course before being reinstated.

"The truth will set you free!"

In the event company officials feel that a crew is laying down on them, they may hide in the weeds and observe such a crew at work. If they witness such actions, they will download the event recorder to study it and verify the results against the actions they observed. Again, an investigation may be called charging the crew with delaying the job or failure to expedite. And the data from the event recorder can and will be used as evidence against the crew.

"Anything you say can and will be used against you in a court of law."

In more than one situation over the years, an overzealous railroad official has accused an Engineer of failing to properly execute their duties in compliance with the rules. I have witnessed this first hand as well in my days as a railroad official. One of my fellow officers had it in for a particular Engineer. This Engineer was involved in an episode that required having the event recorder read to find him at fault.

I was one of the officers that got to read the tapes for my take on the data and saw no fault of the Engineer. Several others agreed with this reading and the Engineer received no disciplinary action against him.

An Engineer that I know told me of being accused of improper train handling after his train experienced a break in two. It seems that the official that initially read the data felt this Engineer had improperly advanced the throttle when starting his train causing severe draft force that resulted in a failed drawbar. This official was ready to call an investigation to discipline the Engineer involved. Another official and this guy's union representative read the tapes and showed the overzealous officer that he had incorrectly read the data. As a result of the "second opinion," there was no investigation and no disciplinary measures were handed out.

A situation in which I was the first officer responding to was the failure of an Engineer to stop at a stop signal. I heard the situation occur as the Engineer reported passing a dark signal. This particular signal was a control point and according to the rules, in the absence of a properly displayed signal, it must be regarded as the most restrictive signal that can be displayed. In this case, that would be a stop signal.

I got the call moments later and headed out to investigate. Both the Engineer and Conductor involved told me of the dark signal. The Engineer told me that he had only operated against the current of traffic at this particular location once prior to this night. He went on to tell me he knew there was another signal here somewhere, but he was not exactly sure where. His train was coming out of a curve and he stated he was only going about 3 MPH with the train brakes applied. When the dark signal came into his range of vision he was almost right on top of it. He got his three engines and part of one car past this signal before coming to a stop.

Two other officials that were summoned to the scene handled downloading the event recorders. We all analyzed the data and his story about his train speed and the fact that he had the brakes set indicated he was proceeding in a manner consistent with safe train operation. According to the Operator on duty in the tower that controlled this control point, the dark signal he passed was indicated to be a proceed indication according to the control panel in the tower. She did not know the signal was dark. Based on both of their stories and the information retrieved from the event recorder, it was decided that the Engineer was not negligent. Instead of receiving a decertification of his license, he was given 15 days off for "Conduct not becoming a CSX employee." (He was a CSX Engineer operating over the IHB on trackage rights). While not good, far better than the decertification and the mandatory 30 days off. The information from the event recorder saved him.

The FRA will allow the readout of an event recorder to be used to monitor the skills and performance of Locomotive Engineers. Sufficient data will be read and analyzed. If all is within the required parameters, the Engineer will be credited with an approval of their skills and performance check.

Railroads also periodically pull the data from an event recorder to monitor how the Engineers are performing. They are looking for violations with regards to train handling or fuel conservation operation. If a pattern of non-compliance is observed, the Engineer may get a monitor ride from a Road Foreman of Engines to observe first hand what they are doing. Or, they may receive that dreaded registered letter with the notice to appear at an investigation for failure to comply with air brake and train handling rules.

Should a locomotive not be equipped with an event recorder and it is the lead unit of a locomotive consist or perhaps even the only locomotive assigned to the train, the maximum speed that train may operate is 30 MPH. In my days at the IHB, we were leasing several SW1500 locomotives from National Railway Equipment. None of these units were equipped with event recorders which restricted their speed to that maximum of 30 MPH. IHB did not want to install the devices on these locomotives because once installed, this equipment must remain even when they return it to the owner. They could have requested as part of the lease agreement to have NRE install such equipment prior to the lease or even to install it themselves as part of the lease agreement.

Oftentimes locomotives assigned to captive yard service will not be equipped with event recorders. These are usually, but not limited to switch engines. A short line railroad that only has a maximum speed of 25 MPH will often not install event recorders on their locomotives. Industrial operations such as in plant railroads that are not common carriers are not required to equip their locomotives with event recorders. Such locomotives generally do not operate on mail line railroads and are not regulated by the FRA as they are usually captive to the confines of an industrial setting.

As I had mentioned earlier, tampering with an event recorder is a serious offense as it is defined as tampering with a safety appliance under federal law. A friend at one railroad told me of an Engineer being pulled out of service and threatened with disciplinary action when it was discovered the event recorder on the second unit of his consist had been disconnected from its power source. The railroad was ready to fire this guy. It was learned at about zero hour that another member of his crew that was riding the second unit had actually disconnected the device. I never did learn why he pulled off such a stunt, but the guy came forward and admitted that it was him and not the Engineer who tampered with the device. The Engineer received a reprieve from this incident. I don't recall what type of discipline the other employee involved received.

After my 1989 triple fatality collision, the lawyers representing the families of the decedents at my deposition kept asking me about event recorders on my locomotives. Back in those days event recorders were not required and the Wisconsin Central didn't seem too interested in applying them to their locomotives. I had to fend off the question of their presence (or lack thereof) numerous times throughout the deposition proceedings.

While there was an event recorder at one of the crossings there in Antioch that was able to provide information as to my train speed, there was not one at the crossing involved in the collision and there certainly was not one on either of my two SD45 locomotives.

Yes Virginia, there are event recorders at some crossings. As the technology for automatic crossing warning devices has evolved and improved over the years, part of the evolution has included event recorders. Now these recorders only record what is going on with regards to the equipment used to warn and stop traffic at that site. These event recorders do not convey any information as to what the Engineer is doing on the train. The information recorded on these devices is specific to the activation and operation of the automatic crossing warning devices. Train speed can be calculated from these recorders, but there will be no other information that can be gathered with regards to the operation of the train.

Now unlike the in flight event recorder of an airplane, should a locomotive derail or be involved in some sort of wreck, the event recorders used by the railroads do not emit a homing beacon to help locate them. And unlike the black box on an airplane that is painted orange, on a locomotive the black box really is painted black. And in some cases will have either or green or red light on them which may, or may not blink or flash.

The event recorders are generally placed in a location on the locomotive that makes for easy access when it is required to retrieve data from it. They are generally placed in the nose of the locomotive and are usually quite visible to all. As a result, their easy access has lead to commentary about them to be scrawled upon the housing. I have seen such terms as "snitch recorder, bitch box" or "rat box" written on them over the years.

Now interestingly enough, the trucking industry has successfully fought off any legislation to equip tractor trailer trucks from the requirement of event recorders. While I'm not saying they all do it, this probably stems from the fact that there are more than a few drivers that routinely violate the hours of service and certainly many more that drive well in excess of the posted highway speed limits. With an event recorder on a truck, it would be pretty easy for the law to catch drivers violating both the hours of service and speed limits. Such event recorders could quickly be downloaded at scales and inspection points or even anytime a truck is stopped for a moving violation. It would be quite tough to explain how your log book varies so widely from what the event recorder states. I guess this would be the trucking industry attitude of "What the government don't know won't hurt us."

And so it goes.

Tuch