Investments in Safety by JR East Japan HIDEAKI KIMURA Transport Safety Department East Japan Railway Company International Railway Safety Conference in London October 8, 2012 First I would like to use this opportunity to thank everyone for the support and words of encouragement that have been offered to Japan concerning the restoration and rehabilitation following the Great East Japan Earthquake in March 2011. Japan is one of the countries that is most susceptible to earthquakes in the world. Approximately 20% of the magnitude 6 or above earthquakes that occur on our planet occur in and around Japan. The recent large earthquake and the accompanying tsunami has been a particularly important lesson for us. In this presentation, I will start out with an overview of the major earthquakes that have occurred in the past and the safety measures that were adopted in response. I will then give an explanation on the damage that was caused to our railways by the large earthquake and the accompanying tsunami in March 2011, how our company responded in our railway operations, and the effects of the various earthquake countermeasures that have been adopted up until now.

JR East JR Group Map JR Hokkaido JR West Tokyo JR Kyushu Osaka I will start off with a brief introduction of our company. This is the area where JR East operates in Japan. JR East was established 24 years ago in April 1987 when the former Japanese National Railways was divided into six regional passenger railway companies and one freight railway company covering the entire country. Tokyo JR Kyushu Osaka JR Central JR Freight JR Shikoku 2

Overview of JR East 1 Number of employees 59,130 *The figures are as of April 1, 2012　 Shin-Aomori December 4, 2010　 Service started between Hachinohe and Shin-Aomori　 December 4, 2010 Service started between Hachinohe and Shin-Aomori Number of employees 59,130　 Working kilometers 7,512.6 km　 Number of stations 1,689　 Number of in-service trains 12,757/day　 Number of trains　　　　 13,157　 Hachinohe Akita Shinjo Niigata Nagano Shinkansen　　　　1134.7 km　　 Conventional lines converted for Shikansen service 6377.9 km　　 Tokyo New direct lines (see above) 275.9 km　　 3 Extension work underway (Shinkansen)　

Overview of JR East 2 Per day: 4 Train-kilometers: 710,000 KM Passengers: 16.50 million Crossing openings: approximately 700,000 times Signal validations: approximately 1.2 million times Door openings: approximately 6 million times 4

Contents 1. Safety is an important mission for our railway business a) We have been working consistently to improve safety as our important mission. b) For safety investments , we have invested more than 2,200 billion yen under the past four 5-year safety plans. 2. Prevention of accidents by evaluating risks in advance a) Our present method to prevent serious accidents is mainly to prevent repeating the accidents or events that had happened. b) In the fifth 5-year safety plan , we introduced risk evaluation that takes into consideration the frequency of the events we have experienced in the past ,and the maximum scale of damage of the events we can imagine. 3. Our way of thinking about safety investments a) We will continue the present method to prevent serious accidents. In addition, we will advance the new method of before the fact prevention of accidents by risk evaluation b) We will push forward countermeasures based on the experience of the Great East Japan Earthquake disaster, taking countermeasures for a possible earthquake directly beneath the Tokyo metropolitan area. Now, I will provide an outline of this presentation. 　・First, I will introduce the earthquake countermeasures taken in the past to ensure the safe operation of railways. 　・Next, I will provide an overview of the Great East Japan Earthquake that occurred on March 11, 2011, the impact this had on our railways, and the countermeasures adopted in response to this earthquake. 　・I will then present a conclusion. Firstly, I will provide an explanation on our experiences of the earthquakes that occurred in recent years and the countermeasures that were adopted in response. 5

Midterm Plans for Safety Safety Priority Investiment Plan 1989-1993 Formulation of a safety-related investment plan Safety Basic Plan 1994-1998 Integrated plan covering both tangible and intangible aspects Safety Plan 21 1999-2003 Prevention of major accidents and improvement of transportation quality Safety Plan 2008 2004-2008 Going back to basics and re-approaching safety 2013 Safety Vision 2009-2013 Approach safety through independent thinking and acting 3/25/2017

2013 Safety Vision Creating a culture of safety Rebuilding a safety 　 Approach safety through independent thinking and acting 　 Creating a culture of safety Safety-related human resource development and system improvement New perspective I Rebuilding a safety management system Taking sure steps to reduce risks Prevention of accidents by evaluating risks in advande New perspective II Promoting active installation of safety facilities 7

Train operation accidents 　 Kind of railway accidents occur 　 * Defined in Train Accident Report Regulations Train accidents Collisions, derailments, fires Accidents at level crossings (Collisions or contact with trains at crossings) Accidents resulting in injuries or fatalities (Accidents causing deaths or injuries to people [excluding suicides]) Accidents causing damage to property (Accidents causing JPY 5 million or more in property damage) Train operation accidents Events requiring attention Events with high possibility of passenger or employee death or injury Transportation disruption Events requiring reporting Events that could lead to a railway operation accident, events causing a major impact on passengers, and events caused by human error Mai hyatto Events that were caught in advance, and for which the stipulated handling was conducted as a result Events causing concern on a regular basis Events causing an impact or delay in train operations 8

Train accidents (all JNR and All JR) (No. of accidents) Collisions Derailments Fires 2011 Fiscal year 9

Trend of railway operation accidents 3/25/2017 Number of Railway Operating Accidents [Number of accidents] Trend of railway operation accidents Number of accidents per million kilometers Railway damage accidents Accidents causing personal injury Crossing obstacle accidents Train accidents Accidents per million operating km [Fiscal year] Reduced by approximately one third since JR established 10 10

Major past accidents（１） 1951　Sakuragicho train fire　　106 deaths 1962　Mikawashima train collision　159 deaths 1963　Tsurumi train collision　　　161 deaths 11

Major past accidents（２） 1988　Higashinakano Station train collision　2 deaths 2005　Fukuchiyama Line derailment 　　　　　　　　　　　　　107 deaths 2005　Uetsu Line derailment　5 deaths 12 12

History of railway accidents ○1951 Sakuragicho train fire 　　　　→ Improvements to train body structure, window structure, and connecting doors; train announcements; safety manifesto ○1962 Mikawashima train collision 　　　　→ ATS improvement, radio alarms for train protection, regulation revisions, establishment of railway labor science institute ●1987 Japanese National Railways privatized and divided, and JR established ○1988 Higashinakano train collision 　　　　→ ATS-P improvement, safety research institute, training center, Midterm Plans for Safety ○1988 Rokuhara derailment → disaster prevention information system ○1991 Shigaraki Kogen Railway collision → substitute blocking on single track prohibited as general rule ○1992 Osuga crossing accident → obstacle detection equipment, OH warning device ○1995 Great Hanshin Earthquake → anti-seismic reinforcement measures on elevated bridges ○1997 Accident at Katahama on the Tokaido Line→blocking instructions operations ○2004 Shinkansen derailment caused by the Chuetsu Earthquake 　　　　→ train breakaway prevention measures, early earthquake detection system, power outage detection equipment ○2005 Fukuchiyama Line derailment → ATS equipment for curved tracks ○2005 Uetsu Line derailment → expansion of anemometers, gale warning systems, 　　　　　　disaster prevention research center, operating regulations and Doppler radar research using weather information 〇2011 Great East Japan Earthquake → anti-seismic reinforcement measures expanded, behavioral guidelines for tsunami occurence 13 13

Trend in safety investments Safety Basic Plan Investment results (Hundred millions of yen) Safety Priority Investment Plan Safety Plan 2008 2013 Safety Vision Safety Plan 21 4000 3950 (planned) Approximately JPY 750 billion (Five years) safety Investment 3637 3234 3544 Total investment 3211 3153 3074 3000 2773 2753 2459 2355 2414 2262 2238 2234 2236 2223 2270 2189 2146 2096 2038 2000 1961 1818 1679 1749 1560 1676 1630 (planned) 1519 1301 1349 1177 1063 1080 1112 979 970 1023 1017 1000 885 892 892 895 944 886 889 872 829 813 550 　 Conduct a total safety investment of over JPY 2.7 trillion 276 1987 1989 1991 1993 1995 1997 1999 2001 2003 2005 2007 2009 2011 1988 1990 1992 1994 1996 1998 2000 2002 2004 2006 2008 2010 2012 14 Fiscal Year 14

Risk analysis based on results Before Fukuchiyama Line accident 100 ●:Average of all JR rail accidents ■: Reference (JR East) Fiscal 1987 to 2007 all JR figures Annual average frequency of occurrence (times per year) Falls 10 Crossing Door jamming Rain Running through signal 1 Falling rocks Brake handling error (bumper) Track obstruction Track work Excessive speed Other Wind Earthquake Automobile intrusion External obstacle 0.1 Excessive speed Non-blocking Before Fukuchiyama Line accident After Fukuchiyama Line accident 0.01 1 10 100 1000 Average number of deaths for accidents that caused deaths (persons per time) 15 15

Evaluating new risk Past crossing accidents Derailment: 21 cases June 18 , 1989 Nambu Line October 12, 1999 Seibu Railway September 26, 2002 Nagoya Railroad Number of level crossing accidents over the past 20 years Ranking for potential damage Derailment: 21 cases A: Hanshin-Awaji Earthquake, Tokyo metropolitan area large earthquake(assumption) B: Osutakayama airplane disaster, Tsunami collision, Mikawashima collision, Fukuchiyama line derailment C: Shigaraki-kougen Railway collision, Uetsu Line derailment D: People being hit by a train at a station platform. Frequency Level crossing derailment accident Frequency of occurrence Non-derailment 1,271 cases D C B A Derailment accidents on multiple tracks 　Maximum potential damage ranking ⇒ B Maximum estimation damage ranking ⇒ B 16 16

One misstep... Operator related Train car related Work related (Train collision at Otsuki Station on the Chuo Line) Passengers: approximately 550 (78 injuries) Train car related (Fire on the Arcadia on the Joetsu Line) Passengers: 80 (no deaths or injuries) Work related (Track upheaval near Takadanobaba Station on the Yamanote Line) Passengers: approximately 2,000 (3 injuries) Disasters (earthquakes) (Derailment accident on the Joetsu Shinkansen Line between Urasa and Nagaoka) Passengers: 151 (no deaths or injuries) Signal related (Derailment accident at Sendai Railyard) Passengers: 159 Track maintenance related (Backhoe collision near Oimachi Station on the Keihin Tohoku Line) Passengers: approximately 150 (no deaths or injuries) 17 17

Risk evaluation and countermeasures Frequency of occurrence Contact with rolling stock on station platform Level crossing derailment accidents Dragging caused by door jamming Derailments due to falling rocks Derailments due to excess speed Wheel-climb derailment, sand, and gravel Mafor earthquake in the Tokyo metropolitan area Low-speed derailment D　 　　C　 　　B　　 　A Maximum estimation damage ranking 18 18

Major countermeasures Countermeasures against Tokyo metropolitan area large earthquake Countermeasures against excessive speed; Countermeasures against miscommunication Detecting and stopping trains at an early stage, examining the earthquake-proof measures on each line For train drivers, the installation of ATS※-P or ATS-Ps and countermeasures to prevent excessive speed at tenporary speed restrictions. ※ATS:automatic train stop For dispatchers, improving train radio systems and installing asystem with automatic communication to drivers and conductors on trains. Countermeasures against level crossing derailment accidents Countermeasures that prevent pedestrians from crossing just in front of moving trains, countermeasures against secondary damage, installation of crossing obstacle detectors according to the danger level at crossings outside of the Tokyo metropolitan area. Safety measures for station platform Countermeasures against natural disasters Installing movable platform barriers, increasing the number of emergency train stop devices, measures for safety of escalators and elevators, countermeasures that prevent passengers from falling between car and platform. Reliable countermeasures against rock falls and landslips. 19 19

Countermeasures against Tokyo metropolitan area large earthquake The times in the circle are the times needed for arrival to the city center (An earthquake in the north of Tokyo Bay used as calculation example) 25s 15s 10s 　Chuo Line (Ochanomizu to Suidobashi) Embankment (retaining walls, etc.) Reinforcement example (ground anchor) Reinforcement of particularly weak sections 15s 20s 25s Earthquake occurs Prompt detection Emergency stop when earthquake occurs Automatic braking Early detection and early stopping Expanding anti-seismic reinforcements 20 20

countermeasures against secondary damage due to level crossing derailment accident Stance towards countermeasures until now ○ Countermeasures focused on recurrence prevention 　・Countermeasures in response to gridlocks inside crossings 　・Countermeasures in areas immediately before crossings, etc. Crossing obstacle detection equipment Accident example 　Collision of train and automobile at the level crossing Large crossing rod New stance towards countermeasures ○ Countermeasures focused on advanced prevention 　・Countermeasures preventing secondary damage 　・Countermeasures in areas immediately before crossings, etc. Assumed accident case 　Collision train from opposite direction with car of derailed train River Breakaway prevention guard (example) Assumed accident case 　There is a river or tunnel in the area 21 21

Safety measures for station platform Escalator safety measures Office station Emergency train stop alarm system To elevator center Platform edge doors I/F Footboard side plate (2) Gentle stop function 　　　　　　⇒ Motor replacement (3) Enhanced braking power 　　　　⇒ Brake replacement (1) Changed safety equipment operating conditions Lead-in portion of handrail belt Escalator safety measures 22 22

Countermeasures for serious accidents The Uetsu Line accident ・Research on using Doppler radar ・Using weather information ・Expanding the installation of anemometers, and increasing the sections to speed restrictions when winds are high ・Expansion of windbreak fences The Joetsu Shinkansen derailment ・ Breakaway prevention guard ・Countermeasures against rail 　 　rollover ・Continuing seismic reinforcement of elevates bridges ・Expanding the early earthquake detection and train stopping systems The Fukuchiyama Line derailment ・Preventing excessive speed by installing ATS ・Introducing automatically transmitted train protection radio signals ・Signal passed at danger prevented by installing ATS-Ps 23 23

Overview of the Great East Japan Earthquake 2017/3/25 Overview of the Great East Japan Earthquake Occurred: Friday, March 11, 2011 at around 14:46 Epicenter: Sanriku Oki (approximately 130 km east-southeast of Oshika Peninsula (N38.0, E142.9)) Earthquake magnitude: M 9.0 (maximum magnitude of 7 = Kurihara City, Miyagi Prefecture) Number of aftershocks Magnitude of approximately upper/lower 6: 1 time Magnitude of approximately upper/lower 5: 14 times (as of 15:00, 3/31) Observed Si value: 85.4 kine at Shin-Sanbongi (Shinkansen) 98.5 kine at Yabuki (conventional line) 44.0 kine at Shin-Urayasu (conventional line)　　 [Reference] Shinkansen operations suspended at 18 kine or above Morioka Sendai Niigata Epicenter Fukushima Nagano Takasaki Omiya Tokyo Map of estimated distribution of seismic intensity Source: Japan Meteorological Agency (March 11, 2011 16:00) 24 24 24

Damage caused by the Great East Japan Earthquake (trains and train cars) 2017/3/25 Between Matsuiwa and Saichi on the Kesennuma Line: 　Overturning Ishinomaki Station on the Senseki Line: Flooding Tsugaruishi Station on the Yamada Line: Derailment Between Tomei and Nobiru on the Senseki Line: Derailment Onagawa Station on the Ishinomaki Line: Overturning Sendai Shinko: Derailment and flooding Nagacho Station on the Tohoku Line: Derailment Sendai Station on the Tohoku Shinkansen Line: Derailment Hamayoshida Station on the Joban Line: 　Flooding and overturning 25 Shinchi Station on the Joban Line: Overturning 25 25

Damage caused by the Great East Japan Earthquake (ground equipment) 2017/3/25 Damage caused by the Great East Japan Earthquake (ground equipment) Between Sendai and Shinkansen General Railyard Center on the Tohoku Shinkansen Line: Electric pole breakage Between Sakunami and Yatsumori on the Senzan Line: Embankment runoff Between Shin-Hanamaki and Morioka on the Tohoku Shinkansen Line: Elevated bridge pillar damage (reinforcements exposed) Between Nagacho and Miyagino on the Tohoku Freight Line: Retaining wall landslide and embankment runoff Between Niwasaka and Akaiwa on the Ou Line: Retaining wall tilting and track bed runoff Hitachitaga Station on the Joban Line: Platform retaining wall collapsed Between Fukushima and Higashifukushima on the Tohoku Line: Bridge girder angle portion damage Slippage Between Nobukata and Kashimajingu on the Kashima Line: Bridge girder slippage Between Yabuki and Izumisawa on the Tohoku Line:　Embankment sinking 26 26 26

(1) Structural reinforcements Existing countermeasures against earthquake (1) Structural reinforcements Seismic reinforcement of elevated bridges (2) Emergency train stops Improvements in the Shinkansen early 　　　　　　 earthquake detection system Installation of train stop detection equipment in train cars (3) Measures that keep trains close to the track when there is a deralment L-shaped car guide Countermeasures against rail rollover 27 27

Expanding countermeasures against earthquake Further strengthening through anti-seismic reinforcement measures ・ Preparations for an earthquake directly under the Tokyo Metropolitan Area Countermeasures for earthquake directly beneath the Tokyo metropolitan area (Viaduct columns, embankments and bridges, etc.) ・ Expansion of countermeasures based on experience of Great East Japan Earthquake Decreasing damage after the occurrence of an earthquake 　 ・ Expanding the installation of seismometers ・ Strengthening communication functions, enhancing capacity of batteries at communications offices, etc. ・ Speedy search and rescue after the occurrence of an earthquake and measures to ensure the maintenance of the functions of the Countermeasures Headquarters. Tsunami countermeasures ・ re-examination of the way how our manuals and training should be, establishment of a disaster message board and emergency evacuation routes, etc. 28 28

Thank you for your attention