1. ASLRRA Short Line Safety Institute Mission: Enhance safety culture and safety compliance of short line and regional railroads through voluntary, non-punitive partnerships. Presentation to AASHTO Standing Committee On Rail Transportation September 8, 2014

2. Short Line Safety Institute Background 4/2013 ASLRRA Chairman McKechnie announces a new focus on safety culture at 100 th ASLRRA Annual Meeting 1/2014 Secretary Foxx asks ASLRRA for ideas for enhancing safe operations on short line and regional railroads 2/2014 ASLRRA President Timmons responds with proposal for a Short Line Safety Institute and corresponding pilot project 2/2014 ASLRRA begins collaborating with FRA R&D: FRA Research Results paper, and research and evaluation mechanisms to implement Short Line Safety Institute 8/2014 FRA announces a $250K grant for ASLRRA, $100K for UCONN, and $100K for Volpe to begin work 2

3. Short Line Safety Institute Vision, Mission, and Strategic Goals Vision: for the short line and regional railroad industry to be recognized as one of the safest in the world Mission: to enhance safety culture and safety compliance of short line and regional railroads through voluntary, non-punitive partnerships Strategic Goals:  to enhance and improve safety practices  to increase the short line and regional railroad industry’s culture of commitment to safety

4. Why Now? Our Railroads – Our Destiny Rather than the government telling us how to conduct safe operations – we need to lead It is time to take control of our own destiny We must show we are the world class leader in safety performance Taking the initiative will be critical to our success in the upcoming Congressional debate 4

6. Pilot Project Launch Communication Process Safety Assessment Team Pre-Launch Planning with Management Team Management Team Expectation setting and planning with employees SAT + Organization Stakeholders Run pilot with candor and commitment

7. Short Line Safety Institute Project Timeline Mission: Enhance safety culture and safety compliance of short line and regional railroads through voluntary, non-punitive partnerships. 7 Ongoing Implementation and Impact Evaluation Pilot: Sample of RRs hauling crude Jan–June 2015 Expansion: Additional RRs hauling crude June 2015– Jan 2016 Roll-out: RRs handling other hazardous materials Post-Jan 2016

8. TeamLead(s)Role ASLRRA Keith Borman, J.D. Counsel Program Development Stakeholder Engagement Mike Ogborn, J.D. Team Leader Program Development Stakeholder Engagement Liaison With ASLRRA Jo Strang, M.S. Program Development Subject Matter Expert Stakeholder Engagement Tom Streicher Program Development. Subject Matter Expert Stakeholder Engagement FRA R&D Michael Coplen, M.A. Industrial/Organizational Development Behavioral and Safety Culture Change Program Evaluation Starr Kidda, Ph.D. Job Analysis Grants Management Project Evaluation Volpe Nicole Boyko, M.A. Safety Culture Measurement Stakeholder Engagement Juna Snow, Ph.D. Program Evaluation Educational Evaluation UCONN Janet Barnes-Farrell, Ph.D. Safety Culture Measurement Job Analysis 8 Short Line Safety Institute Development Team

9. Implementation of the Pilot Project Assemble the data and analyze to determine elements to communicate back to railroad Provide senior management with verbal report on findings and observations Meet with senior management and their designees in working session to determine next steps Meeting with employees as appropriate After the visit, provide senior management with written report on findings and observations Work with senior management on implementation plan 9 American Short Line and Regional Railroad Association

10. Assessment and Transition ASLRRA and R&D will assess the effectiveness of the Pilot Project and make adjustments as needed to ensure achievement of the goals set forth above The goal - create a Short Line Safety Institute dedicated to enhancing a strong and enduring safety culture Pilot Project will transition to a permanent expanded program to include an increasing number of short line assessments Over time the Institute will not only direct and manage field initiatives but will become an educational source for short lines The Institute will also develop a data analysis capability for better assessments and a greater understanding of the Short Line industry 10 American Short Line and Regional Railroad Association

11. Short Line Safety Institute  The Institute will heighten the intensity of the safety focus and involvement of short line and regional railroads and their management  The goal of the Institute is to facilitate a strong safety culture in all short line and regional railroads 11 American Short Line and Regional Railroad Association