APTA Safety Management Systems

1. APTA Safety Management Systems Safety Mid Year Meeting December 2012 Linda Meadow Davis Linda@lindatom.com

2. Purpose of APTA SMS Guidelines • Provide a set of organizational values, management principles and safety philosophies that address the specialized operational needs of the passenger transportation industry to move people safely. • Assist public transportation agencies in achieving their desired safety objectives by providing them choices on optimizing their resources at the systems level to achieve positive outcomes. • Utilize a performance based approach to identify and control risk • Promote sustainability of safety through continuous improvement

3. SMS Public Transportation Systems • Rail • Light rail • Heavy rail • Streetcar • Commuter rail • High speed rail • Monorail • Automated Guideways, Ropeways & People Movers • Bus • Bus • Demand Response • Commuter Bus • Bus Rapid Transit • Ferry • Water Taxi • Funicular & Inclined Planes

4. What is a Safety Management System? • Safety: condition to which risks of harm arising out of agency’s decisions and operations are managed to acceptable levels • Management: the allocation of resources to achieve specific goals (leading/directing, planning, organizing, controlling, improving, performance measurement • System: organized set of programs, processes and procedures used to deliver service

5. Safety Management System • An organized set of programs, principles, processes and procedures for the allocation of resources to achieve the condition where risks are managed to acceptable levels

6. SMS Examples • TRACS: Implementing Safety Management Systems in Transit Agencies • FTA: Transit Safety Management and Performance Measurement Guidebook • Transport Canada: Guide for Developing, Implementing and Enhancing Railway Safety Management Systems • International Helicopter Safety Team: Safety Management System Toolkit • OHSAS 18000.1 Standard • ANSI/ASSE Z10- Occupational Health and Safety Management System • Australia: National Rail Safety Guideline: Preparation of a Rail Safety Management System • New South Wales: Safety Management System Guidelines for Bus and Coach Operators • UK Office of Rail Regulation: Railways and other Guided Transport Systems (Safety) Regulations – TEMS • DOE: Integrated Safety Management Manual

7. SMS Elements • US Helicopter Assn Concept: • SMS Plan • Safety Promotion/Safety Culture • Data Management and Documents • Hazard Identification and Risk Management • Occurrence and Hazard Reporting • Safety Assurance Oversight Programs • Safety Management Training Requirements • Management of Changes • Emergency Preparedness and Response • Performance Measurement

8. SMS Elements The National Safety Council Policy on SMS 9 elements - 3 performance areas: Cultural - Behavioral Worker and Management involvement Motivation, behavior and attitudes Training and orientation • Leadership – Management • Management leadership and commitment • System management and communications • Assessments, audits and performance measurements • Technical – Operational • Hazard identification and risk reduction • Workplace design and engineering • Operational process and procedures

9. SMS Elements FTA SMS/Guidebook Safety Documentation and Information Management Emergency Preparedness and Response Safety Assurance Management of Change • Planning • Safety Policy • Organizational Structure • Hazard Identification and Risk Management • Occurrence Investigation and Analysis

10. SMS Elements • FAA SMS and ANSI Z 10: • Safety Management System Overview • Safety Policy • Safety Risk Management • Safety Assurance • Safety Promotion

11. SMS Elements • ILO concept

12. SMS Elements • UK ORR concept

13. SMS Elements • TRACS concept

14. Indicators of Effective Safety Management • Policies clearly describe the responsibilities for safety in all functions throughout the organization • Safety goals in the strategic plan are measured and assessed along with the other strategic goals • Competing pressures to safety are discussed openly • Safety performance measures (leading indicators) are part of everyone’s performance management plan and evaluation • Safety performance measures and priorities are clearly communicated and understood • Employee retention rates and absentee rates are evaluated for any issues with regard to safety

15. Indicators of Effective Safety Management • The CEO or GM discusses and assists in resolving safety issues with members of the executive team. Safety issues are discussed openly at executive meetings. There is an executive-level safety meeting • The executive team implements corrective actions when safety issues are raised • The CEO or GM has his/her team participate at quarterly meetings with the State Safety Oversight agency • Employees assess their supervisor’s concern about safety • Employees are regularly surveyed regarding their perspective on the organization’s safety climate • A joint union-management committee identifies and resolves safety issues

16. Indicators of Effective Safety Management • Supervisors’ safety attitudes are assessed and corrective actions taken • Front-line supervisors have performance measures associated with safety responsibilities • Supervisors conduct safety inspections and monitor the work that employees are doing • There is a process for the signing of safety briefing sheets • Front-line employees are involved in developing safety policies and procedures (hazard analysis) • Front-line employees are empowered to restrict or stop operations based on unsafe conditions

17. Indicators of Effective Safety Management • Good faith challenge processes (safety dispute resolutions) are available to workers • There is interdepartmental involvement in developing safety policies and procedures (hazard analysis) • Involved departments conduct hazard analysis when new systems or changes are introduced. They use engineering solutions as the first method of solving problems (hierarchy of control) • A hazard tracking system is in place. Corrective actions are taken and the results of countermeasures are evaluated and published • The organization has a non-punitive near-miss policy and a reporting, analysis, and correction system that is regularly used and trusted

18. Indicators of Effective Safety Management • There is a safety hotline set up to report issues, conditions and behavioral problems • Safety bulletins or newsletters are communicated across the organization. There are methods for taking in information and recommendations from workers • There is a board-level safety committee, and it discusses safety issues on a regular basis • An analysis of the board or executive team agenda shows that safety issues are given prominence • If there is an injury, managers or executives get involved • Leadership’s safety rhetoric matches reality.

19. Developing Safety Performance Measures • Conduct readiness assessment • Agree on outcomes and activities to monitor • Select key metrics • Identify data needs • Pilot test and collection of baseline data on metrics • Set targets • Monitor performance and evaluate results • Report findings • Integrate findings into agency decision-making • Sustain the performance measurement system

20. Sample Performance Outcomes • Reduce transit-related fatalities • Reduce transit-related injuries • Reduce risks of injuries to employees • Accelerate development of safety culture • Improve workforce core competency skills

21. Performance Metrics • Number: total number of collisions, total number of fatal accidents, average time to implement findings of safety inspections • Rate: fatalities per 100 million passenger miles traveled, crashes per 100 million vehicle-miles • Ratio or percentage: ratio of fatal to non fatal collisions, preventable accidents to non-preventable accidents, percent of collisions occurring at grade crossings

22. How to Develop Performance Metrics • Start with the outcome. List 2-3 metrics that best describe progress toward achieving the outcome. Include number and rate/ratio forms of metrics • Identify 5-10 programs and processes that are absolutely vital to ensure safety of customers, employees and the public • Disaggregate metrics. Provide breakouts of performance metrics by key classes or categories. Limit the number of classes to 2-3 most important • Include forward-looking metrics that capture accident precursors • Consider availability and reliability of data

23. Leading Indicators • Input based measures with a relationship to an end product or goal • Measure and track performance before a problem occurs • Running red signals • No stop at broken gates • Doors open on the wrong side • Railway worker protection violation • Use of cell phones while operating vehicles or machinery • Complaints per 100,000 passengers

24. Lagging Indicators • Outcome based measures that are directly related to an end product or goal • Measure performance against prior goals • Number of preventable accidents per 100,000 miles • Number and type of pedestrian and motorist fatalities at grade crossings per month • Number of broken mirrors on buses

25. Safety and Security Performance Measures • Accident/Incidents • Close calls • Safety inspections • Customer satisfaction • Vehicle and property damage • Accident rate • Number of fires • Workplace safety • Employee work days lost to injury • Passenger security

26. Passenger Safety • Number of fatalities and fatality crashes per specified time period • Number of injuries and injury crashes per specified time period • Fatal accidents per million passenger-miles/vehicle-miles traveled • Injury accidents per million passenger-miles/vehicle-miles traveled

27. Workplace Safety • Employee work days lost of injuries (by injury type) per specified time period • Work-related fatalities per specified time period • Workers compensation payments per specified time period

28. Accident Potential • Percent of positive drug/alcohol tests per specified time period • Number of traffic tickets issued to bus (or paratransit vehicle) operators per specified time period • Percent of buses (or paratransit vehicles) exceeding the speed limit per specified time period • Number of rail station overruns per specified distance or time period • Number of red light violations per time period • Number of unplanned revenue service road calls per specified distance or time period

29. System Safety • Number of vehicle defects reported by operators per specified time period • Number of infrastructure defects reported by operators per specified time period • Number of fires per specified time period (measured by location: stations, vehicles or guideways; by cause: faulty electrical wiring, arson, etc.; and in terms of severity) • Liability losses (by category of loss) per specified time period • Customer satisfaction ratings (measured through surveys)

30. Other • Maintenance • Percent of preventive maintenance inspections completed within 10% of scheduled mileage • Miles between traffic accidents • Accidents per 100,000 vehicle-hours

31. Passenger Security • Number of crimes committed on transit property • Crime rate • Level of security provided • Ratio of transit police officers to transit vehicles • Number (percent) of vehicles with specified safety devices • Customer perceptions of safety and security of the transit system • Customer satisfaction • Incidents of vandalism