History and Effect of APTA Passenger Rail Safety Standards (PRESS) APTA Rail Conference June 11, 2017 Tom Peacock

Topics of Discussion Why APTA Standards APTA Commitment to FRA The Process Used Standards Development Organizations Design Versus Operating Standards The Effect on the Industry Observations/Suggestions

Why APTA Standards Ancient History Prior to 1985 FRA regulations specific to passenger equipment did not exist FRA attempted to enforce AAR Standards & Freight Regs applied to Passenger Equipment That approach did not work very well Circa 1985 AAR makes decision to drop support of passenger rail equipment standards Creates a void unfilled for ten years Circa 1992 Congress Directs FRA to develop passenger equipment specific safety regulations FRA realizes lack of actively maintained industry standards makes rulemaking difficult Circa 1995 FRA approaches APTA to become rail passenger equipment SDO In self defense, APTA agrees Circa 1996 APTA establishes the Passenger Rail Equipment Safety Standards (PRESS) Task Force APTA issues PRESS Task Force By-Laws

Why APTA Standards 1999 – A Pivotal Year FRA issues first passenger equipment specific safety regulations APTA PRESS issues first passenger rail equipment safety standards FRA implements RSAC as a more collaborative Rulemaking process

Commitment to FRA Give Voice to Rail Labor Balanced Representation Railroads Suppliers Labor Consultant Defined, Transparent Process – Includes Appeal Seek FRA Input Enforce/Follow Standards

The Process APTA Standards are developed using a consensus based process patterned after the process required by ANSI a balanced representation of interested parties; a required public comment period; a formal process to respond to comments; an appeal procedure; a balloting group broadly representative of the industry; a consensus, defined as a super-majority of the balloting group; and a formal way to respond to requests for interpretations of or changes to the standard

Universe of Passenger Rail Standards Development Organizations Association of American Railroads – Legacy Freight Standards APTA – Passenger Rail Equipment Safety Standards Amtrak – Design and Operating Standards AREMA – Infrastructure Standards IEEE – Software and Data Communications Standards ASTM, AWS, ASME & others – Specialty Standards European Standards starting to have an influence

Duties of a Standards Development Organization Follow Defined Process Balanced Representation Public Comment Period Make Standards Available Periodic Reaffirmation

Design vs. Operating Standards Design Standards Enforced by Contract - All recent procurement contracts require APTA compliance - Significant product liability comes with non-compliance - Emphasis on hazard mitigation through design Operating Standards Enforcement - FRA Incorporation by Reference - Railroad Polices and Rules - APTA System Safety Audits - FRA Concerns with Effectiveness of Self-Enforcement

Safety Standards Can Save Lives A Real Example Detailed picture of locomotive damage (lack of) goes here

Safety Standards Can Save Lives A Real Example Locomotives Derailed at 68 mph Both Built to APTA Structural Standards One Locomotive Struck Concrete Building One Rolled Over Crew Walked Away Fatalities likely in Previous Locomotive Designs

Recognition Of APTA Rail Safety Standards APTA Standards Program is recognized by: American National Standards Institute (ANSI) Department of Transportation (DOT) Joint Program Office (JPO) Federal Transit Administration (FTA) Federal Railroad Administration (FRA) Department of Homeland Security (DHS) Transportation Security Administration (TSA) Transport Canada Canadian Urban Transport Association (CUTA) Other SDO’s, e.g., IEEE, SAE, ITE, AASHTO

Benefits to the Industry Avoid Government Regulation Effective Means of Self-Policing Generally Much Less Costly than a Regulation Reduce the Public/NTSB Pressure for Regulatory Action Industry Influences Final Outcome Considers the Impact on Operations Promote Market Competition (performance standards) Reduce proprietary design and intellectual property problems Define interfaces and data formats Assist New Transit Starts and New Market Players (they know the rules) Improve Safety

Collateral Benefits Commuter Railroads Share Best Practices Commuter Railroads Share Equipment/Parts Commuter Railroads Share Problems/Solutions Better Preparation for RSAC Suppliers Learn What Railroads Need Improved Labor Relations Working Relationships with FRA

Standards as a Public Relations Tool High Visibility Incident Occurs Media Looks for a Story A Sensational Story Finding Fault and Placing Blame is Best Standards Can Curb the Impending Feeding Frenzy If the message is… …Then Sensationalism is Minimized “The Agency followed widely accepted industry practice.”

Standards Can Decrease Liability A Real Example Tort risks are controlled Industry standards are admissible and probative

2015 FRA Review of PRESS Highlights of Conclusions PRESS program is a strong industry program that could, with more resources and funding, aspire to ANSI. The program no longer has a stable, dedicated source of funding. Both APTA and the Railroads are open to a greater degree of Federal participation New Railroads have come into existence with little prior experience in the Passenger Railroad Industry. Some of these properties do not participate in APTA programs The PRESS Bylaws have changed to a general set of Bylaws that apply to all APTA Standards development programs which omit the missions and objectives established in the original Bylaws. The reaffirmation of existing standards at five year intervals has not occurred on a regular basis since approximately 2007. Approval PRESS annual work plans and budgets to support them no longer occurs. Operating Standards Not Universally Followed

2015 FRA Review of PRESS Highlights of Recommendations Get new railroads to participate Address enforcement Use facilitators Commitment from APTA leadership and staff Maintain broad participation Be willing to commit key technical experts Address executive turnover FTA full funding grant incentives Long term, sustainable source of funding Develop annual work plans and budgets Provide quarterly progress reports More meetings with enhanced accessibility for member Railroads Complete reaffirmation of existing standards every five years

Parting Appeal Voluntarily industry safety standards play a key role in the excellent safety record of passenger railroads. A vibrant industry safety standards program benefits everyone. Solicit support to determine how to best ensure the long term viability of our industry’s safety standards program.