September 2015 C 3 RS User Group Linda Connell, NASA ASRS & C 3 RS Program Director Leslie E. Savoye, NASA C 3 RS Project Manager (BAH)

Program Overview

Booz Allen Program Manager Travis Trotter Booz Allen Program Manager Travis Trotter IT Manager Business Analyst Elisa Marfise Business Analyst Elisa Marfise Expert Analysts Expert Analysts IT Developers Database Administrator Database Administrator ASRS Project Manager ASRS Project Manager Report Processing Administrator Report Processing Administrator Business Manager Business Manager Technical Editor Technical Editor Research Coordinator Research Coordinator Graphics Webmaster Graphics Webmaster IT Sys Admin Organization and Roles Ernest Montgomery NASA ASRS Program Director Linda Connell NASA ASRS Program Director Linda Connell Legend C 3 RS Dedicated StaffASRS Dedicated StaffShared Resources NASA Funded Administrative Professional Administrative Professional Gary Hopson Frank Simmer Larry Valenzin Ben Burns Keith May Report Processing Administrator Yeraldin Sierra Report Processing Administrator Yeraldin Sierra C 3 RS Project Manager Leslie Savoye C 3 RS Project Manager Leslie Savoye Michael Ballard

Programmatic Growth REPORTING VOLUME Volume is increasing rapidly and new carriers will also increase intake numbers IT ENHANCEMENTS Enhancements, such as specific report forms for crafts and PRT web portal, Analyst Workbench, and database development EXPANSION More rail carriers and crafts are on the horizon with advocacy from highest levels of FRA and industry. Additional products such as newsletter, special studies, and alerts

Interagency Agreement Signed Carrier 3 Carrier 1 Carrier 4 Carrier 5 Rail Carrier Timeline Carrier 6 Carrier 7 Carrier 2

NASA’s C 3 RS Role Defined Intergovernmental Partnership Interagency Agreement between FRA and NASA –Utilize NASA’s knowledge and experience  To maximize the underlying trust of people working in rail industry to report safety events  Confidentiality, and ultimately anonymity, will result in improved reporting  Provide external and independent reporting avenue Public/Private Partnership IMOU between FRA and Carriers –NASA shall act as owner of the data reported by employees –NASA shall protect the confidentiality of this information through its own governance –NASA will de-identify data so that employee’s identity, any third party reference, can no longer be determined through direct or indirect means.

Governing Documents and Data Protections

What is Confidential Data Protection? Promises of “confidentiality” are taken seriously in reporting systems Protections need to manage access through two potential paths: –Freedom of Information Act (FOIA) –Legal Discovery/Subpoena

Personally Identified Information (PII) Not Available for Release Under Penalty of Law Privacy Act (PA), 5 USC 552a NASA Human Experimental and Research Data and System of Records (NASA 10HERD and SORN) As required by law, NASA must respond to the Freedom of Information Act (FOIA), 5 USC 552, -UNLESS the data falls within one or more of nine exemptions. Exemption 6, the privacy exemption, would cover the data on individuals. -Other exemptions can be considered in relation to each specific request Federal Government and NASA Confidentiality Statutes No Breach of Confidentiality has occurred in 39 year history of ASRS and over 1.2M reports

(i)(1) Criminal penalties Any officer or employee of an agency, who by virtue of his employment or official position, has possession of, or access to, agency records which contain individually identifiable information the disclosure of which is prohibited by this section or by rules or regulations established thereunder, and who knowing that disclosure of the specific material is so prohibited, willfully discloses the material in any manner to any person or agency not entitled to receive it, shall be guilty of a misdemeanor and fined.... THE PRIVACY ACT OF U.S.C. § 552a

De-identification Occurs Rapidly to Protect Data All reports read and reviewed by rail expert analyst(s). Reports de-identified for direct and indirect information related to person who submitted report Reports de-identified concerning third-party references (e.g. company, names, numbers etc.) De-identified reports are captured in on-site, restricted database De-identified reports are shared with company PRT’s following telephone callback by C 3 RS Analyst or time limit for return phone call expires De-Identification Protections

Physical Protections NASA ASRS and C3RS office is located in a secure, coded-access facility All electronic reports are encrypted and received through secure IT process All paper reports stored in locked file cabinets with strict access procedures enforced Original reports are not retained after safety information has been captured All staff work under signed Non-Disclosure Agreements

Aviation Safety Reporting System 13 Aviation Safety Reporting System 13 Korea KAIRS (2000) United States ASRS (1976) United Kingdom CHIRP (1982) Canada CASRP (1985) SECURITAS (1995) Australia CAIR (1988) REPCON (2007) Russia VASRP Brazil RCSV (1997) Japan ASI-NET (1999) Taiwan TACARE (2000) Singapore SINCAIR (2004) France REC (2000) REX (2011) China SCASS (2004) New Zealand ICARUS South Africa CAHRS (2013) Germany EUCARE ASRS Model Applied to International Aviation Community International Confidential Aviation Safety Systems (ICASS) Spain SNS/SRS (2007)

Report Processing

Since the Go Live Date of February 1, 2011 the total number of NASA C 3 RS reports received is: Report Intake 2097 * *As of August 31, 2015

Year over Year Volume Comparison *Report Intake for 2015 thru August 31, 2015.

NASA C 3 RS Report Process

How to Submit a Report – NASA C 3 RS Website

How to Submit a Report – NASA C 3 RS Website Engineering MechanicalTransportation

How to Submit a Report to NASA 1.Submit report form on C 3 RS website (secure transmission) or 2.Fill out form on C 3 RS website, print and mail to NASA or 3.Locate form at designated carrier locations, Fill out and mail Paper Form (postage free) EngineeringMechanicalTransportation

NASA C 3 RS ERS As of August 31, % of reports have been received through Electronic Report Submission (ERS)  In August 2015, 93% of reports were ERS

Report Processing

Report Process - Multiple Reports Single ReportersMultiple Reporters 89%11%

Report Process Monitoring

Report Process - Callbacks Callback Success Rate 87%

Report Processing Timeline ScreeningInitial Screening and Secondary Screening by 2 Expert Analysts within 3 Working Days from Date of Receipt Return ID Strips30 – 90 Working Days from Date of Receipt Accident / Criminal Reports Provided to NASA Director Transfer to PRT Portal No later than 90 Calendar Days from Date of Receipt

Data Overview

Craft * Categories are mutually exclusive from 1,475 incidents. Data thru August 31, n = 1,706 reports*

Incident Reporter Distribution *Reports available in 1,475 records. Data thru August 31, Categories are not mutually exclusive. Therefore, a single incident may be coded by C3RS analysts as involving more than reporter function. n = 1,706*

Reporter Location *Reports available in 1,475 records. Data thru August 31, Categories are not mutually exclusive. Therefore, a single incident may be coded by C3RS analysts as involving more than reporter location. n = 1,706*

Train Location *Categories are not mutually exclusive. Therefore, a single incident may be coded by C3RS analysts as involving more than train location. Data thru August 31, n=1.475 incidents*

Event Outcome *Categories are not mutually exclusive. Therefore, a single incident may be coded by C3RS analysts as involving more than one event outcome/result. Data thru August 31, n=1475 incidents*

Contributing Factors n=1475 incidents* *Categories are not mutually exclusive. Therefore, a single incident may be coded by C3RS analysts as involving more than one anomaly. Data thru August 31, 2015.

Human Factors n=1402* *Reporter Human Factor counts are for all persons in a report record. Data thru August 31, Categories are not mutually exclusive. Therefore, a single incident may be coded by C3RS analysts as involving more than reporter human factor.

Top 10 Event Counts *Categories are not mutually exclusive. Therefore, a single incident may be coded by C3RS analysts as involving more than one anomaly. Data thru August 31, n=1475 incidents*

Speed Deviation Counts *Categories are not mutually exclusive. Therefore, a single incident may be coded by C3RS analysts as involving more than one anomaly. Data thru August 31, n=594*

C 3 RS Initial Analysis - Over Speed

Top 10 Event Counts *Categories are not mutually exclusive. Therefore, a single incident may be coded by C3RS analysts as involving more than one anomaly. Data thru August 31, n=1475*

Filename/RPS Number Key data fields have been selected for the data analysis There are over 400 fields of data collected with each over speed report The analysis is focused on specific fields based on our understanding of strong factors DATA GROUPS Time of Day Environment (14 types) Train track authority (dispatcher, etc.) Communications (radio, signals, etc.) Operating Rules (GCOR, NORAC, etc.) Track configuration (single, multiple) Train Rules / Train Type Train Speed Restrictions (5 types) Train Activity Person Location / Organization / Shift / Craft / Function / Qualification / Certification / Experience Safety Briefings Human Factors (13 types) Events Anomaly (43 types) Events Detector (13 types) Passengers involved (Yes/No) Event Results (40 types) Contributing Factors (21 types with multi-values) Primary Problem (21 types) DATA GROUPS Time of Day Environment (14 types) Train track authority (dispatcher, etc.) Communications (radio, signals, etc.) Operating Rules (GCOR, NORAC, etc.) Track configuration (single, multiple) Train Rules / Train Type Train Speed Restrictions (5 types) Train Activity Person Location / Organization / Shift / Craft / Function / Qualification / Certification / Experience Safety Briefings Human Factors (13 types) Events Anomaly (43 types) Events Detector (13 types) Passengers involved (Yes/No) Event Results (40 types) Contributing Factors (21 types with multi-values) Primary Problem (21 types) Time of Day Environment (14 types) Person - Shift Duration Person - Years of Experience (Total and In Craft) Train Speed Restrictions (5 types) Events Anomaly (43 types w/ 4 Speed Deviations) Human Factors (13 types) Event Results (40 types) Events Detector (13 types) Time of Day Environment (14 types) Person - Shift Duration Person - Years of Experience (Total and In Craft) Train Speed Restrictions (5 types) Events Anomaly (43 types w/ 4 Speed Deviations) Human Factors (13 types) Event Results (40 types) Events Detector (13 types)

Speed Deviations Independent Occurrences Speed Deviation: At Or Above 10MPH Deviation Speed Deviation: Equipment Based Speed Restriction Speed Deviation: Maximum Authorized Speed Speed Deviation: Temporary Speed Restriction %9%37%54% Overall Occurrences Type Speed Deviation: At Or Above 10MPH Deviation Speed Deviation: Equipment Based Speed Restriction Speed Deviation: Maximum Authorized Speed Speed Deviation: Temporary Speed Restriction Count% 2 ComboYes 9231% SingleYes6321% SingleYes6121% 2 ComboYes 3713% 2 ComboYes 124% SingleYes114% SingleYes93% 3 ComboYes 41% 3 ComboYes 31% 2 ComboYes 21% 2 ComboYes 21% 2 ComboYes 00% 3 ComboYes 00% 3 ComboYes 00% 4 ComboYes 00% Total296100%

Speed Deviation – Time of Day n=296 Independent OccurrencesTime of Day Count% Unknown Speed Deviation: At Or Above 10MPH Deviation 15954% Speed Deviation: Equipment Based Speed Restriction 279% Speed Deviation: Maximum Authorized Speed 10937% Speed Deviation: Temporary Speed Restriction 16054% %34%26% 4%

Speed – Weather Conditions A strong majority (~65%) of incidents occurred under clear weather conditions n=296

Speed – Human Factors The top 4 Human Factors make up 77% of all reported contributing Human Factors (more than 1 may apply to each incident) n=296

PRT Interaction

PRT/NASA Synergy Data Access Through Portal –Continuous Coordination Telecons –Proposal for Scheduled Check-ins on Quarterly Basis with Each PRT Feedback –Integration of PRT Feedback in Report Processing

Future Developments Newsletter –First Draft Issue Under Review and Naming Search Request of Database –Initially Direct Request to C 3 RS Office –Planning for Password Protected Search Capabilities Alert Messages and Scheduled Telecons –TBD Special Studies & Data Analyses

DRAFT Newsletter

Potential Newsletter Names Track Bulletin Highball The Line Up Clear Block First Out Lantern Signal Timetable Milepost Job Briefing Train Orders Synergy Daily Journal Points All-Points Bulletin Hot Journal Inside the Rail From the Cab

Questions? Linda Connell, NASA ASRS/C 3 RS Program Director (408) Leslie Savoye, Booz Allen Hamilton C 3 RS Project Manager (408) Travis Trotter, Booz Allen Hamilton ASRS/C3RS Program Manager (408)