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

2. 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

3. 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

4. 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

5. 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

6. 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

7. 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

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

9. 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

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

11. 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

12. 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

13. 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

14. 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

15. 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.”

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

17. 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

18. 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

19. 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.