Ways to Improve the Hazard Management Process

Get Educated Find opportunities to enhance knowledge and skills: Take TSI’s Rail System Safety Training Course Participate in training at the rail transit agency Read and understand the rail transit agency’s rulebook Shadow key rail transit agency positions Look for additional training opportunities Get Educated – Find opportunities to enhance knowledge and skills. Take TSI’s Rail System Safety Training Course and training at the rail transit agency. Read and understand the rail transit agency’s rulebook. Shadow key positions, such as an operator, operations supervisor, track inspector and vehicle maintainer, for a day or two – observe how they perform their jobs. Look for additional training opportunities to support better understanding of the agency’s track, switch, signal, and vehicle systems.

Formalize the SOA Role Require monthly or quarterly reports or meetings Document processes in the Program Standard Ensure the SSPP and related procedures also document these processes Monitor corrective action plans Formalize SOA Role – Require monthly or quarterly reports and in-person meetings. Make sure that the process is documented in the Program Standard, SSPP, and any related procedures. In many cases, monthly reporting from the rail agency and quarterly meetings, if possible, at the rail agency, provide ample opportunity for the SOA to review hazard management activities and key issues. Monthly reports provide a mechanism to capture and track identified hazards through analysis and resolution. Corrective action plans (CAPs) and their status can also be assessed and monitored.

Meet with RTA Executive Leadership Explain program requirements and solicit support for implementation Educate top management on the purpose of the program Explain the SOA’s role in the hazard management process and Part 659 requirements Discuss and assess upper management’s commitment to the hazard management process Meet with Rail Transit Agency Executive Leadership – Explain the program’s requirements and solicit executive support in implementation. Educate top management on the purpose of hazard management program Explain the SOA’s role in the hazard management process and Part 659 requirements Discuss and assess upper management’s commitment to the hazard management process

Assess and Clarify the Hazard Management Process with the RTA Hold a meeting with key players from: Safety Operations Engineering Quality Assurance Maintenance Planning and Development Construction Services Executive Management Contractor Representatives Assess and Clarify Process with RTA – Conduct a meeting with Safety, Operations (include Engineering and Quality Assurance), Maintenance, and Planning and Development (or Construction Services or other department responsible for project development and construction):

Assess and Clarify the Hazard Management Process with the RTA Collect each department’s understanding of the RTA’s hazard management process and identify Roles and responsibilities Key procedures and protocols Resource commitments Assess and Clarify Process with RTA – Conduct a meeting with Safety, Operations (include Engineering and Quality Assurance), Maintenance, and Planning and Development (or Construction Services or other department responsible for project development and construction): Go around the table to collect each department’s understanding of the rail agency’s hazard management process, including roles and responsibilities, procedures and protocols, and commitment of resources Walk through the hazard management process requirements as detailed in the Program Standard and SSPP and accompanying procedures

Assess and Clarify the Hazard Management Process with the RTA Review hazard management process requirements as documented in the Program Standard Identify the “Who” in the process: Who is responsible to identify and report hazards Who is responsible to analyze hazards Who is responsible for determining the actions to be taken Who is responsible to implement these actions Who will track hazard mitigation and elimination efforts Who will verify hazard resolution Who will communicate results back to the original reporter Assess and Clarify Process with RTA Discuss the “who:” who is responsible to identify and report hazards; who is responsible for analyzing the reported hazard; who is responsible deciding the action to be taken; who is responsible to act on the reported hazard; who will track hazard mitigation or elimination efforts; who will verify hazard resolution; who will communicate back to the original reporter of the hazard.

Assess and Clarify the Hazard Management Process with the RTA Review hazard management process requirements as documented in the Program Standard Identify the “What” in the process: What are the methods for identifying hazards What protocols and procedures are in place for reporting What tools will be used to analyze hazards What tool will be used to track hazards through resolution Assess and Clarify Process with RTA Discuss the “what:” what are the methods for identifying hazards; what protocols and procedures are in place for reporting hazards; what tools will be used to analyze hazards; what tool will be used to track hazards through resolution.

Assess and Clarify the Hazard Management Process with the RTA Review hazard management process requirements as documented in the Program Standard Discuss the “When” and the “How”: When are hazards reported to the Safety Department When are hazards reported to the SOA How does the RTA encourage employee participation How does the RTA treat employees that report hazards How are employees trained in hazard management Revise procedures and protocols as necessary to gain buy-in Assess and Clarify Process with RTA Discuss the “when:” when are hazards reported to the Safety Department; when are hazards reported to the SOA Discuss the “how:” how does the rail agency encourage employee participation in the hazard resolution process; how does the rail agency treat employees who report hazards; how are employees trained in hazard reporting/mitigation Revise procedures and protocols if necessary and get “buy-in” from department heads

Participate In Safety Committee Meetings where hazard are discussed In Rule Committees where rule changes are discussed Request to be carbon copied on special orders and operating bulletins Provide available resources to the RTA Assist RTA in evaluating potential safety issues and concerns in developing rule revisions Participate – Request to participate in safety committee meetings where hazards will be discussed. Also ask to participate in the rules committee and to be carbon copied on special orders and operating bulletins. Take advantage of safety and rules meetings to 1) keep involved in the process, 2) learn about hazard analysis and mitigation efforts and 3) observe and evaluate the effectiveness of the process. During meetings, make sure you understand how hazards identified in/by other departments (maintenance, operations, engineering, etc.) are assessed, tracked and resolved. If you have resources available to support the rail transit agency, offer them. In some cases, access to an expert or consultant can make a big difference in successfully resolving a hazard. Discuss how hazards are addressed in rules, special orders and operating bulletins. What is the process for evaluating potential safety issues and concerns in developing and issuing these documents?  

Spend Time Onsite Become familiar with the RTA and its employees Observe activities in shops and yards, on the right of way, in the control center, and other work sites Observe in the field training When a hazard is identified, actively follow-up to ensure the RTA is following procedures Observer how the RTA conducts accident investigations Walk around – Become familiar with the rail transit agency and its employees. Visit the rail agency and observe activities in the – shops, yard, right-of-way, work sites, control center, and training in the field. If a specific hazard is identified, actively follow-up to ensure that the rail agency is following its procedures and protocol. If a hazardous condition requires a lengthy investigation or assessment – arrange to observe the hazard or inspect the site/vehicle where the hazard may occur.  

Use Every Available Source Ensure the RTA is using all available sources to identify hazards Passenger reports and complaints Data mining of control center logs and maintenance management systems Special orders and speed restrictions Employee reports Review of unusual occurrence reports Safety statistics reports RTA internal audit reports Facility inspection reports Efficiency/proficiency testing results Accident investigation results Use Every Available Source – Ensure that RTA is using all sources available to identify hazards, including: Reports and complaints from passengers through contact with customer service, field personnel, or management personnel; Data mining of agency control center logs and maintenance management information systems; Monitoring of special orders and speed restrictions; Reports from operators and supervisors; Review of Unusual Occurrence Reports; Monthly or quarterly safety statistics reports; Internal audits performed by the Safety Department personnel and others; Facility inspections conducted by the Safety Department and others; Rules Compliance Program, including results from efficiency/proficiency testing; Results from the SSO agency Three-Year Safety Review; and Results from accident investigations and trend analysis of minor incidents and near-misses.

Formal Analyses Formal Analyses can identify hazards that are not visible to the naked eye. Examples include: Job Safety / Hazard Analysis (JSA / JHA) Preliminary Hazard Analysis (PHA) Workplace Risk Assessment and Control (PHA/WRAC) Hazard and Operability Study (HAZOP) Fault Tree Analysis (FTA) Event Tree Analysis (ETA) Level of Protection Analysis (LOPA) Failure Modes, Effects and Criticality Analysis (FMECA) Human Error Analysis (HEA) Request Formal Analysis – Many hazardous conditions may be identified after the rail transit agency is in revenue service, as a result of changing conditions, aging infrastructure, or accident investigation, inspections, or audits. Typically, hazards identified during operations are handled “at the lowest possible level” of the agency and seldom rise to concern of an executive or safety committee. However, occasionally, challenging situations will arise and it is important to ensure that the issue is fully investigated. While formal hazard analysis is frequently used during engineering activities during design and construction, other types of analysis can be helpful during operations, including: Job Safety / Hazard Analysis (JSA / JHA) Preliminary Hazard Analysis/Workplace Risk Assessment and Control (PHA/WRAC) Hazard and Operability Study (HAZOP) Fault Tree Analysis (FTA) Event Tree Analysis (ETA) Level of Protection Analysis (LOPA) Failure Modes, Effects and Criticality Analysis (FMECA) Human Error Analysis (HEA)

Trust Through Verification Verify key elements that ensure effectiveness of the hazard management program. Verify: Safety Department and Safety Committee are performing hazard evaluation and categorization activities CAPs are developed to address identified hazards and identify individuals responsible for implementation Safety Department follows-up on outstanding CAPS Trust but Verify – Verify those key elements that ultimately ensure the effectiveness of the hazard management program: Verify that the appropriate entities are performing hazard evaluation and categorization activities (Safety Committee, Director of Safety, etc.). This can be done while onsite or remotely. Verify that CAPs are being developed to address identified hazards and that the CAPs include the individual or department responsible for implementation and a schedule for completion. While onsite, sample a few corrective actions that the rail agency has reported as closed. Verify that the Safety Department follows-up on outstanding CAPs developed to mitigate or resolve hazards. This can be done using a sampling method while onsite as well as through ongoing reporting.

Develop Tools Use technology to support the tracking of hazards and to help in their identification and management Email, websites,1-800 services Excel spreadsheets Intranet-based systems Access databases Develop Tools – Use technology to support the tracking of hazards and to help in their identification and management. Email, websites and 1-800 services can facilitate the reporting of hazards by employees and customers. Excel spreadsheets, Intranet- and Internet-based systems, and even Access databases can help with the tracking and resolution of hazards – ensuring a responsible party is identified and action is taken as required.