System Safety Regulation FRA Outreach October 25 thru October 26, 2016 Newark, NJ System Safety Implementation Team

Safety Briefing

Welcome Why are we here? Understand of the System Safety Regulation 49CFR Part 270 Assist railroads with the implementation process How we can apply System Safety into our job function Assess the implementation progress

Goal To provide railroads with the knowledge base to understand the required elements necessary to implement the FRA System Safety Final Rule 49 CFR Part 270 System Safety/Rick Reduction strategies are designed to be proactive by identifying hazards before accidents or incidents occur, ensure programs and procedures are in place and focus on organizational management, implementation and promotion of safety culture

Topics that we will be Discussing What is the FRA System Safety Program (SSP) A new approach Proactive Systematic Actively promoting continuous safety improvement Directly affecting safety culture 20 Elements of the SSP LOTS OF DISCUSSION AND INTERACTION

Introductions Who are you? How many if you were at the RSAC meetings? What passenger railroad are you associated with? What is your Function? What are your responsibilities?

Key Dates Rule Effective Date October 10, 2016 Initial Consultation Meeting with Directly Affected Employees No later than April 10, 2017 Notice of Preliminary Meeting at least 60 days before meeting Plan Submission No later than February 8, 2018

Concerns and Issues Lets hear from you!

Consultation A railroad must consult in good faith and use best efforts to reach agreement with all directly affected employees on the contents of the SSP plan and amendments to the plan.

Consultation with Employees/Labor 270.107 Consultation Requirements Each railroad required to establish an SSP shall in good faith consult with, and use its best efforts to reach agreement with, all of its directly affected employees, including any non-profit labor organization representing a class or craft of directly affected employees, on the contents of the SSP plan.

Consultation with Employees/Labor Appendix B to Part 270 – FRA Guidance on the System Safety Program Plan Consultation Process Meaning of “good faith” and “best efforts” Guidance on how a railroad may consult with directly affected employees

Information Protections 270.105: Certain information a railroad compiles or collects for the SSP is protected from discovery, admission into evidence, or use for any other purpose in a Federal or State Court proceeding for damages involving personal injury, wrongful death, or property damage. Generally: Information is compiled or collected solely for SSP Not required by another law or regulation Non-SSP use of the information is unprotected If information was not protected prior to SSP rule, it remains unprotected

Information Protections - FOIA 49 U.S.C. 20118 (RSIA) specifies that certain risk reduction records (including SSP records) obtained by FRA are exempt from the public disclosure requirements of the Freedom of Information Act (FOIA). Two exceptions to this exemption: Disclosure is necessary to enforce or carry out any Federal law, or Disclosure is permitted when a record is comprised of facts otherwise available to the public and FRA has determined that disclosure would be consistent with the confidentiality needed for SSPs. Unless one of the two exceptions provided by section 20118 would apply, FRA would withhold disclosing any such records in response to a FOIA request. See 5 U.S.C. 552(b)(3) and 49 CFR 7.23(c)(3).

Concerns and Issues Lets hear from you!

So Lets talk about System Safety How will it affect what we do? What does it mean for FRA? Section elements of the SSP What they mean? How should they be applied to the the work environment

Summary of Final SSP Rule This rule mandates that commuter and intercity passenger railroads develop and implement a system safety program (SSP) to improve the safety of their operations. Rule Takes effect October 11, 2016

So, What is an SSP? An SSP is a structured program: With proactive processes and procedures Developed and implemented by commuter and intercity passenger railroads To identify and mitigate or eliminate hazards and the resulting risks on each railroad’s system.

Management of System Safety How you manage the System Safety process (SMS) will be a key component to the successful implementation and maturity of your system safety program

Flexibility and Implementation A railroad has the flexibility to tailor a SSP to its specific operations. An SSP will be implemented after receiving approval by FRA FRA will audit a railroad’s compliance with its SSP.

SSP Provisions An SSP is implemented by a written SSP plan. The SSP regulation sets forth various elements that a railroad’s SSP plan is required to include to properly implement a SSP. The main components of a SSP are: risk-based hazard management program risk-based hazard analysis

Promotes Safety Culture SSP encourages a railroad and its employees to work together to proactively identify hazards and to jointly determine what, if any, action to take to mitigate or eliminate the resulting risks.

SSP Provisions As part of its SSP plan, a railroad will also be required to describe the various procedures, processes, and programs it has in place that support the goals of the SSP.

SSP Provisions These procedures, processes, and programs include, but are not limited to, the following: Maintenance, inspection, and repair program; Rules compliance and procedures review(s); SSP employee/contractor training; and a public safety outreach program.

SSP Time Line to Plan Submittal

FRA Plan Review Within 90 days of receipt of the SSP plan, FRA will review the plan and determine if it meets all the requirements in the regulation.

FRA Technical Assistance FRA will work with the railroad and other necessary stakeholders throughout the development of its SSP to help the railroad properly tailor the program to its specific operation.

What are we doing now to prepare? Guidance Documents Conduct internal training Conduct external outreach Hire Staff Process for reviews and audits

So What is FRA doing to Roll Out this Regulation Implementation Guide Sample SSP plans Process for electronic plan submittal Consistent process for FRA reviewing plans Internal Audit process review External Audits (Focused and Full)

Training Training Face to Face Training Web Type of training Live session On demand session Type of training Principles of System Safety for Executives Principles of System Safety and Management of Safety for FRA HQ Develop FRA System Safety Comprehensive Training System Safety Internal Assessment and External Reviews FRA System Safety Internal Assessment and External Reviews Hazard Management

FRA System Safety Team Communication System Safety Team Dan Knote daniel.knote@dot.gov 631-965-1827 Bob Adduci robert.adduci@dot.gov 781-447-0017 Larry Day larry.day@dot.gov 909 782-0613 Mike Ramsey michael.ramsey@dot.gov 303-670-7103

Questions?