1. April 2008 – Office of Safety Railroad Safety Advisory Committee (RSAC) Training Federal Railroad Administration

2. April 2008 – Office of Safety Federal Railroad Administration Federal Advisory Committees Railroad Safety Advisory Committee (RSAC) History Interest Based Bargaining General RSAC Structure RSAC Process April 2008 – Office of Safety

3. Federal Advisory Committee Act (1972) applies whenever the President or an agency establishes or uses an outside group to receive recommendations The Negotiated Rulemaking Act was passed by Congress in 1990 Federal Advisory Committees

4. April 2008 – Office of Safety In 1994, the FRA established its first ad hoc formal regulatory negotiation committee (Reg-Neg) to address roadway worker safety The resulting rulemaking both developed a new rule that would reduce/eliminate the deaths and injuries occurring to the industrys roadway or track side workers and demonstrated the validity of collaborative rulemaking FRAs successful use of negotiated rulemaking pointed to the need for the establishment of a formal advisory committee and process Federal Advisory Committees & the FRA

5. April 2008 – Office of Safety RSAC History The success of the initial government-industry working groups led FRA to transition from; March 1996 The Railroad Safety Advisory Committee (RSAC) was officially chartered by the Secretary of Transportation and was comprised of 48 voting representatives drawn from 27 member organizations representing large and small railroads, rail labor organizations, state associations, rail passenger representatives with suppliers and other interested parties participating as non- voting associate or advisory partners a hear-and-decide regulatory procedure a consensus model

6. April 2008 – Office of Safety Essentially RSAC provides a forum where: Enhanced communication enables all concerned stakeholders to become more directly involved in improving our Nations rail safety through a collaborative rulemaking process Railroad Safety Advisory Committee

7. April 2008 – Office of Safety RSAC History Established to develop new regulatory standards, through a collaborative process, with all segments of the rail community to find solutions on safety regulatory issues RSAC: Early milestones: Track Safety Standards revision (final 1998) Railroad Communications (final 1998) RAIL INDUSTRY EXPERTS WISDOM RESOURCESEXPERIENCE PRODUCE RESPONSIVE FLEXIBLE BENEFICAL RULES

8. April 2008 – Office of Safety RSAC History Since the RSAC was federally chartered on March 25, 1996, twenty-four tasks have been accepted and more than 375 Committee, working group, and task force meetings have been conducted to address critical railroad safety issues Full RSAC Committee today - 38 organizations representing labor, railroads, suppliers, States, chemical suppliers and passenger advocates - plus advisors from FTA, NTSB, TSA, Canada, Mexico, and other diverse groups

9. April 2008 – Office of Safety RSAC Today

10. April 2008 – Office of Safety RSAC Today

11. April 2008 – Office of Safety RSAC Guiding Principles Decisions about the best approach to safety is made with full participation of all affected parties Provide a continuing forum for advice and recommendations to FRA on major railroad safety issues Seek agreement on the facts and data underlying any real or perceived safety problems Identify cost-effective solutions to safety problems and regulatory options to implement solutions RSAC is solely advisory in nature The RSAC provides advice and recommendations on specific tasks assigned to it by FRA

12. April 2008 – Office of Safety RSAC may elect to accept or reject a task, or to recommend that a task be restructured Working groups are formed for each task; they are comprised of stakeholders interested in the particular subject area, as determined by the chair after expressions of interest Working group recommendations can only proceed to full RSAC committee with consensus among stakeholders FRA sets a target date for the presentation of RSACs recommendations to the Administrator FRA may withdraw a task from the RSAC at any time RSAC Guiding Principles

13. April 2008 – Office of Safety RSAC Process Flow Initial working group meeting WG Deliberations WG Reaches Consensus RSAC forms working groups (WG) WG presentation to RSAC RSAC Considers WG Recommendations Presentation of RSAC Recommendations to Administrator FRA Publishes Proposed and Final Rulemaking Actions WG undertakes task & acts as staff to RSAC Chairperson briefs on task, resources, and timetable for completion Address relevant facts Define safety problem Develop options All participants must support recommendations of the group for consensus to be reached RSAC accepts task from FRA

14. April 2008 – Office of Safety How Caucus Works During RSAC proceedings, a group represented by several members, or even one member, can ask for a caucus to meet privately within their group The person/s who have requested a caucus break report back to the RSAC group the results of their caucus It is important that the members maintain clear channels of communication with the organization that they represent and accurately convey the organizations position on an issue

15. April 2008 – Office of Safety How Caucus Works This method is used routinely and effectively for the following reasons: To clarify unity of the vote To request information from additional experts To clarify their private discussions To verify the groups position prior to a vote To compose documents to present their positions To review their positions Upon invitation, FRA staff may meet with a caucus to gain a better understanding on the concerns underlying expressed positions

16. April 2008 – Office of Safety Principles of Interest Based Bargaining A bargaining technique in which the parties start with (or at least focus on); Interests rather than proposals Agree on criteria of acceptability that will be used to evaluate alternatives Generate several alternatives that are consistent with their interests Apply the agreed-upon acceptability criteria to the alternatives so generated in order to arrive at mutually acceptable positions

17. April 2008 – Office of Safety Principles of Interest Based Bargaining Successful Interest Based Bargaining depends in large measure upon the following: Mutual trust Candor Willingness to share information But even where these are lacking, the technique, with its focus on interests and on developing alternatives, tends to make the parties more flexible and open to alternative solutions and thus increases the likelihood of agreement

18. April 2008 – Office of Safety General RSAC Structure The RSAC consists of three membership levels, all of which will reflect representative parity: The RSAC full Committee, which is appointed and chaired by FRA; Working groups responsible for developing recommendations on one or more specific tasks assigned to the RSAC; and Task Forces that develop data and recommended actions with respect to elements of tasks assigned to working groups

19. April 2008 – Office of Safety General RSAC Structure TASK FORCES TF WORKING GROUPS WG FULL RSAC COMMITTEE Develops data and recommended actions with respect to elements of tasks assigned to working groups Develops recommendations on one or more specific tasks assigned to RSAC Accepts or rejects tasks from FRA, appoints and assigns tasks to working groups, approves or rejects WG recommendations

20. April 2008 – Office of Safety Task Statements Task statements are drafted by FRA with approval of Administrator 24 accepted tasks to date Tasks are numbered by year i.e. 2008-01 Contain a purpose, description, specifics and target dates for deliverables

21. April 2008 – Office of Safety Authority & Responsibility The RSAC and all Working Groups established under authority of the RSAC will: Seek agreement on the facts and data underlying any real or perceived safety problem Identify cost effective solutions based on the agreed-upon facts Identify regulatory options where necessary to implement those solutions

22. April 2008 – Office of Safety Voting Proxy voting is essential to accommodate the busy schedules of those who will serve at the various levels without jeopardizing representation of their interests Voting by proxy is permitted at any of the three levels, using a simple form developed by RSAC to record them The RSAC, working group, or task force can choose to waive the use of written proxy as long as the proxy is noted in the records of the meeting

23. April 2008 – Office of Safety Working Group Formation RSAC establishes a working group to undertake each program development task (e.g., rulemaking or issue to be examined for possible rulemaking) A working group may be assigned more than one task if tasks are clearly related, but standing working groups are not employed

24. April 2008 – Office of Safety Working Group Formation The working group functions as staff to the RSAC and is comprised of individual representatives from RSAC member organizations who may be, but need not be, RSAC members themselves That working group will be dissolved when the task is completed (normally following issuance of a final rule or decision not to institute rulemaking)

25. April 2008 – Office of Safety Working Group Deliberations The working group meets as necessary, assigning responsibility for specific tasks and formulating the structure of their recommendations to the RSAC If the working group has established a task force, the working group is responsible for ensuring that it meets the goal set for reporting to the working group

26. April 2008 – Office of Safety Working Group Deliberations For each task assigned, the working group addresses the relevant facts, defines the safety problem presented, develops a range of options and decides upon a recommended option When necessary to reach agreement on the relevant facts, the working group is expected to visit appropriate sites on railroads to observe the facts directly

27. April 2008 – Office of Safety Working Group Deliberations The working group will operate by full consensus, with all participants supporting the recommendations of the group, after having had ample opportunity to persuade others of the rightness of their preferred positions can live with and support Consensus: If all participants can live with and support the final working group recommendation

28. April 2008 – Office of Safety Task Force Formation The working group may establish a task force on any task This may be especially useful where significant fact finding and data development are necessary, where the working group has more than one task at a time, and/or where the overall task assigned by FRA can be efficiently divided into sub-tasks

29. April 2008 – Office of Safety Task Force Formation The task force reports to the working group that established it The task force must adopt its report by full consensus, i.e., unanimously When full consensus cannot be reached, the task force notifies the working group of this fact

30. April 2008 – Office of Safety Working Group Presentation to the RSAC Once the working group has reached consensus about its recommendations to the full RSAC, the RSAC Chairperson is notified The RSAC receives the working group report and considers whether to adopt the recommendations set forth in the report The working group normally presents its recommendations during a public meeting of the RSAC but mail ballot may be employed with prior briefing with the Committees approval

31. April 2008 – Office of Safety The Chairperson places the working group presentation on the agenda for the next RSAC meeting Public notice of the presentation of the working groups recommendations to the RSAC is published in the Federal Register, indicating the date, time, and location for the meeting Working Group Presentation to the RSAC

32. April 2008 – Office of Safety Working Group Presentation to the RSAC When the RSAC meeting is convened, the working group spokesperson presents its recommendations to the RSAC and: 1.Responds to any questions regarding the factual basis of the recommendations 2.Responds to any questions regarding the options reviewed 3.Responds to any questions regarding specific considerations bearing on those options

33. April 2008 – Office of Safety Having received the full consensus recommendations of the working group, the RSAC has the following three options: 1.By full consensus (unanimous vote), accept the working groups recommendations and forward them to the Administrator without change 2.By majority consensus, accept the working groups recommendations and forward them, without change, to the Administrator along with any non-consensus views offered by any non-concurring voting members of RSAC that were not represented on the working group Committee Consideration of Recommendations (cont)

34. April 2008 – Office of Safety Committee Consideration of Recommendations (cont) 3.By full consensus (unanimous vote) return the working groups recommendations to the working group for further consideration of specific issues With regard to a particular task, the third option is available only once

35. April 2008 – Office of Safety In event that there is no majority consensus to send the working groups recommendations to the Administrator, but also no unanimous consensus to return the task to the working group, the Chairperson shall; Formally report to the Administrator that no RSAC recommendations will be made on that particular task Task is normally withdrawn Committee Consideration of Recommendations (cont)

36. April 2008 – Office of Safety The same is true where, on the second time before the RSAC, there is no majority consensus to send the working groups recommendations to the Administrator (In this case return to the working group no longer being an option) The RSAC considers the working groups recommendations in their entirety, seeking consensus for approval of the recommendations as a whole Committee Consideration of Recommendations (cont)

37. April 2008 – Office of Safety For the recommendation to be submitted to FRA, the voting members of RSAC must approve the working groups recommendation without change The full RSAC is not the appropriate level at which to write or rewrite detailed recommendations. That is the job of the working groups Committee Consideration of Recommendations (cont)

38. April 2008 – Office of Safety Members of the RSAC consider whether they can live with and support the recommendations embodied in the working group report, taken as a whole. FRA employs its full resources and energy to encourage and facilitate the achievement of consensus Committee Consideration of Recommendations (cont)

39. April 2008 – Office of Safety Recommendations to the Administrator Once the RSAC reaches consensus, the Chairperson transmits the RSACs recommendations to the Administrator If, with regard to a particular task, there was no full consensus at the task force or working group level, or no majority consensus at the RSAC level, the RSAC reports the absence of consensus to the Administrator

40. April 2008 – Office of Safety In the absence of consensus recommendations, FRA will simply determine the best course of action on a particular issue without benefit of the RSACs advice FRA may withdraw a task from RSAC at any time, and will provide the RSAC an explanation when it does so Recommendations to the Administrator

41. April 2008 – Office of Safety Proposed and Final Actions To the maximum extent practicable, FRA utilizes the RSAC to provide consensus recommendations with respect both to proposed and final agency action Except for those limited circumstances where an opportunity for prior comment is unnecessary, FRA provides to the general public in the Federal Register notice of its regulatory proposals, an opportunity to comment in writing, and an opportunity for an oral presentation (hearing)

42. April 2008 – Office of Safety Proposed and Final Actions Following issuance of a proposed rule, FRA may request RSAC assist the FRA in considering comments received. With respect to either a proposed or final rule, FRA may schedule one or more meetings of the RSAC during which information and views are received from other interested persons

43. April 2008 – Office of Safety Regulations Any rules resulting from the RSAC process must be: 1.Reasonable, clear, effective, and enforceable 2.Impose as small a burden as is practicable 3.Specify performance objectives (to the extent feasible), rather than specifying the behavior or manner of compliance

44. April 2008 – Office of Safety Accomplishments Track Safety Standards, General Revision Railroad Communications (Including Revision of Radio Standards and Procedures) Steam-Powered Locomotives, Revision of Inspection Standards Locomotive Engineer Qualification and Certification, General Revision Roadway Maintenance Machines (On-Track Equipment) Safety Standards Locomotive Crashworthiness Locomotive Cab Working Conditions: Sanitation Occupational Noise Exposure Event Recorders (Data Survivability) Positive Train Control (Report to Congress; Performance Standards for New Systems) Accident/Incident Reporting; Conformity with OSHA Injury/Illness Amendments

45. April 2008 – Office of Safety Current Efforts Passenger Safety Issues for the 21st Century Roadway Worker Protection Operating Rules (Human Factors) Locomotive Safety Standards Track Safety Standards and Continuous Welded Rail Medical Standards for Safety-Critical Personnel Railroad Bridge Safety

46. April 2008 – Office of Safety Process Recipe for Success A recognition by all parties that an issue needs to be addressed Participation by an FRA interdisciplinary team Agreement on procedures before the negotiation Clear focus on the details of the proposed remedy Flexibility to incorporate industry rules and standards into the Federal regime Appropriate consideration of costs and benefits Follow-through by FRA to apply the results of the negotiations

47. April 2008 – Office of Safety Wrap Up Federal Advisory Committees Railroad Safety Advisory Committee (RSAC) History Interest Based Bargaining General RSAC Structure RSAC Process April 2008 – Office of Safety

48. Federal Railroad Administration Questions? April 2008 – Office of Safety