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Head Brakeman David Ian Farris

Brakeman Farris, 30, was employed as a brakeman by the UP on May 25, 1973. He had not been promoted. Farris had worked in yard and train service, and at the time of the accident he was regularly assigned to the Cheyenne-Rawlins freight pool. Farris passed a company physical examination on November 30, 1977, and he was last examined on the operating rules when he was hired. He was not restricted in any way.

Farris' service record indicates he was disciplined four times during 1974 and 1975 while working as a yard switchman. He twice received 30 demerits for minor rules infractions, followed by a 30-day deferred suspension for responsibility in the collision of cars being handled by his crew. On May 23, 1975, Farris was dismissed following a collision between his locomotive and a car. At the time, he was the foreman of the crew involved. Farris was reinstated August 11, 1975, and had a clear record thereafter.

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Conductor Richard Eugene Mahlman

Conductor Mahlman, 33, was employed as a brakeman by the UP on November 30, 1966, but worked only briefly in that capacity before being furloughed. He rejoined the UP as an assistant signalman on February 2, 1972, and on January 22, 1973, transferred to the Operating the Operating Department as a switchman/brakeman. Mahlman was promoted to conductor on October 21, 1976, and since that time had worked regularly in freight service between Cheyenne and Rawlins. He passed a company physical examination on June 20, 1974, and was last examined on the operating rules at the time of his promotion. Mahlman was not restricted in any way. Mr. Mahlman's service record indicates he was twice assessed 30 demerits for minor rules infractions in 1974 and 1977.

Engineer Virgil Paul Sawicki

Engineer Sawicki, 49, was employed as a clerk/engine dispatcher by the UP on May 21, 1952. Thereafter he worked various clerical assignments until July 8, 1976, when he entered engine service as a fireman. He completed the UP's Engineer Training Program and was qualified as an engineer in road and yard service on the Cheyenne-Rawlins territory on November 15, 1976. He passed a company physical examination on January 30, 1979, and was last examined on the operating rules on July 28, 1976. He was not restricted in any way.

Sawicki's service record indicates he had been assessed 30 demerits on three occasions for failure to comply with an "advance approach" aspect in 1977, and for twice failing to secure locomotive units against undesired movement during

Rear Brakeman James Douglas Smith

Brakeman Smith, 28, was first employed as a brakeman by the UP on September 21, 1978. He was not promoted and had worked yard and train service assignments between Cheyenne and Rawlins as needed. Smith passed a company physical examination and was examined on the operating rules when he was employed. He was not restricted in any way and he had not been cited for any infractions of the rules.

Head Brakeman Kirk Dayton Pierson

Brakeman Pierson, 21, was first employed as a student brakeman by the UP on January 2, 1979. He was assigned as a brakeman to the Cheyenne-Rawlins extra board on March 24, 1979, and was working his first assignment on a road freight train at the time of the accident. Prior to being employed by UP, Mr. Pierson had 3 1/2 years service as a brakeman and extra conductor on the Chicago, Milwaukee, St. Paul and Pacific Railroad.

Pierson passed a physical examination when he was hired and was examined on the operating rules on January 20, 1979. He was not restricted in any way.

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Rules

454. Automatic Cab Signal System supplements automatic block signals in governing the use of blocks, but does not supersede the superiority of trains, nor dispense with the observance of rules. governing the use of automatic block or other signals and rules whenever and wherever they may be required, except as prescribed by Rule 456.

455. When cab signal indication changes to a more restrictive indication, engineer must acknowledge with acknowledging device.

456. When a train is proceeding after having been stopped by a block signal, or is proceeding on a Permissive indication of a block signal, if cab signal changes to a less restrictive indication, train may proceed in accordance with indication received after it has moved its length beyond point where cab signal changed.

Exception: Rule 456 does not apply when proceeding after having been stopped by a Flashing Stop-and-Proceed indication. See Rule 240 (C).

457. When cab signal indication does not correspond with block signal indication, engineer must be governed by the most restrictive indication displayed by either signal, and must report the fact to train dispatcher from first available point of communication, giving signal number and engine number.

When cab signal indication does not correspond with block signal indication for two consecutive blocks, cab signal may be considered inoperative. If previous advice has been received from train dispatcher or by bulletin of inoperative cab signal within designated limits, train must proceed within those limits in accordance with second and third paragraphs of Rule 458.

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102. When a train becomes disabled or is stopped suddenly by an emergency application of the brakes or other causes, a lighted red fusee must be immediately displayed on adjacent track at front and rear of train, and adjacent track as well as tracks of another railroad that are liable to be obstructed must immediately be protected in both directions in accordance with Rule 99 until it is ascertained they are safe and clear for the movement of trains. After lighted fusee has been displayed at front of train, headlight must be extinguished.

In such cases, it must be determined by inspection that the train involved and the track to be used are safe for the train to proceed. Train involved must not proceed nor may flagmen be recalled until engineer has been definitely advised by conductor that it is safe to do so.

A train on an adjacent track must not pass the disabled train unless it is preceded by a flagman or unless definitely assured by the conductor of the disabled train that the track is clear and it is safe to proceed.

462. Cab signal devices must not be cut out while in cab signal territory without authority.

On an equipped engine with three-position acknowledging device, use of cut-out position is prohibited while operating within cab signal territory, except when authorized.

When seals on cab signal devices are broken, or found broken or missing, report must be made promptly.

464. If the cab warning whistle sounds longer than 6 seconds, another member of crew in the cab, must go to the engineer immediately and ascertain cause, and when conditions require, must take immediate action to stop train.

465. If cab signal whistle fails to sound when cab signal changes to a more restrictive indication, Rule 458 must be complied with.

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