National RTAP 101 Webinar Series: FTA Bus Safety Program and SMS for Small Agencies December 1, 2015 U.S. Department of Transportation Federal Transit Administration

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National RTAP 101 Webinar Series: FTA Bus Safety Program and SMS for Small Agencies December 1, 2015 U.S. Department of Transportation Federal Transit Administration

Webinar Presenters: Moderated by Joseph Powell FTA’s Bus Safety Program Manager Presentations by: Erik Larson and Ream Lazaro Boyd, Caton & Grant Transportation Group, Inc (BCG).

National RTAP Webinar December 1, 2015 FTA Bus Safety Program and Safety Management Systems

Introductory remarks – Joseph Powell, FTA FTA Bus Safety Program Overview – Erik Larson, BCG Safety Management Systems (SMS) – Ream Lazaro, BCG Question and Answer period Webinar Agenda Slide 9

Erik Larson Boyd, Caton & Grant Transportation Group, Inc (BCG). Serves as the contractor project manager for FTA’s Bus Safety Oversight Program and manages projects for FTA’s State Safety Oversight Program and FTA’s Safety Management Systems (SMS) effort. Worked as a fixed route bus driver, a bus operator trainer, and was the Safety and Training Manager for a paratransit agency in Virginia. He is a Certified Community Transportation Manager (CCTM) and certified PASS Trainer. Erik has assisted in the creation and delivery of many of FTA’s SMS Training Courses including SMS Awareness, SMS Principles for Rail Transit Agencies, and SMS Principles for Bus Transit Agencies. Supports the development of FTA’s web-based e-Learning modules and FTA’s new Transit Safety & Oversight website.

Ream Lazaro Boyd, Caton & Grant Transportation Group, Inc (BCG). Actively involved with the development and delivery of the Federal Transit Administration Transit Bus Safety Program and FTA’s Safety Management System initiatives. 38 years of experience working on safety, security and training in urban and rural transit systems. Managed safety and training in bus and rail public transit operations located in Washington D.C. (WMATA), New Jersey (NJ Transit) and Utah (Utah Transit Authority). Provided support for the safety and security initiatives of the Community Transportation Association of America (CTAA) and the National Transit Institute (NTI).

FTA Bus Safety Program Overview Slide 12

Voluntary program but moving to an oversight role Developed in collaboration with industry partners (APTA, CTAA, AASHTO) Objective – improve safety for passengers, employees, and all that share roadways with transit buses Initial focus on small urban / rural bus transit systems – Now includes large urban bus transit systems FTA Bus Safety Program Background Slide 13

Safety and training resource website Voluntary onsite reviews Orientation seminars Ongoing outreach Major Bus Program Elements Voluntary Onsite Reviews State DOT Orientation Seminars Safety & Training Resource Website Industry Coordination and Outreach Slide 14

FTA SMS Framework Resources Training Events SMS Information Blast s to registered users FTA’s Safety and Training Resource Website Slide 15

Safety Management Systems (SMS) Slide 16

Make a safe industry even safer Foster sound safety policy Develop and share efficient practices for risk management and safety assurance Help grow a strong safety culture within every transit system What FTA wants…from a safety perspective Slide 17

Accountability is properly placed Agency-wide reporting and communication of safety issues Proactive investigation of hazards Tools to monitor safety performance Effective and efficient assurance activities Balanced decision-making regarding safety risk within operations and planning What should change look like? Slide 18

What are our most serious safety concerns? How do we know this? What are we doing about it? Is what we are doing working? How do we know what we are doing is working? Questions we need to ask that SMS helps answer Slide 19

Two critical safety related concerns that demonstrate the need for SMS: – The Organizational Accident – Practical Drift Critical Concerns Slide 20

The Organizational Accident Slide 21

Individual accidents – those resulting from the actions or inactions of people Organizational accidents – those resulting from actions or inactions of organizations Two Types of Accidents Slide 22

“Organizational accidents have multiple causes involving many people operating at different levels of their respective companies.” – James Reason, Managing the Risks of Organizational Accidents Organizational Accidents Slide 23

A critical tool in the transit risk management process is identifying and analyzing organizational factors that may contribute to accidents and incidents. Organizational Accident and SMS Slide 24

Human Error Individuals do not cause organizational accidents Individuals trigger conditions leading to organizational accidents Organizational accidents have deeper and broader roots “The discovery of human error should be considered the starting point of the investigation, not the ending point.” - ISASI Forum Module 2 - Slide 20

Practical Drift Slide 26

Practical Drift System and Tasks as designed and engineered Local Reality Why? What happened? Service delivery pressures Procedure no longer practical Short cuts are more efficient Supervisor allows it Informal processes Training inadequately conveyed risk “Work as imagined” “Work as actually done ” “ Uncoupling of practice from procedure” Practice Procedure Over Time Imperfect Systems – The Practical Drift Start of Operations Slide 27

Practical Drift Operational Performance Baseline Performance Organization The difference between “where we are” and “where we thought we were” Slide 28 Navigating the Drift – The Need for Data

Monitoring individual and organizational safety performance allows a transit agency to identify if, how, and why practical drift has occurred and assists in assuring safe operations. Practical Drift and SMS Slide 29

SMS Overview Slide 30

SMS is the formal, top-down, organization-wide, data-driven approach to managing safety risk and assuring the effectiveness of safety risk mitigations. It includes systematic policies, procedures, and practices for the management of safety risk. What is SMS? Slide 31

1.Safety Management Policy 2.Safety Risk Management 3.Safety Assurance 4.Safety Promotion SMS Framework Components Slide 32

Safety Management Policy Slide 33

Safety Management Policy Component and its Subcomponents Slide 34 Safety Management Policy Establishes necessary organizational structures, roles, and responsibilities Ensures safety is addressed with the same priority as other critical organizational functions Provides direction for effective:  Safety Risk Management  Safety Assurance  Safety Promotion Helps ensure sufficient resources are provided to meet safety objectives Safety Management Policy Statement Safety Accountabilities & Responsibilities Integration with Public Safety & Emergency Management SMS Documentation & Records

The Safety Management Policy Statement Subcomponent Slide 35 Safety Management Policy The safety management policy statement is the charter of an SMS It must clearly and succinctly frame the fundamentals upon which the transit agency SMS will operate A safety management policy statement may not exceed a page or two Safety Management Policy Statement Safety Accountabilities & Responsibilities Integration with Public Safety & Emergency Management SMS Documentation & Records

Safety Accountabilities & Responsibilities Subcomponent Slide 36 Safety Management Policy Safety is not the sole responsibility of any single person This is where transit agency organizational structure is defined Critical to detail safety accountabilities and responsibilities for:  Accountable Executive/Transit Manager  Person responsible for safety  Supervisors  Front line employees Safety Management Policy Statement Safety Accountabilities & Responsibilities Integration with Public Safety & Emergency Management SMS Documentation & Records

Integration with Public Safety & Emergency Management Subcomponent Slide 37 Safety Management Policy Ensures integration of programs that have input into, or output from, the SMS Identifies and describes the interface with external organizations including law enforcement and emergency management Ensures coordination in planning for and responding to transit related security events and community emergencies Safety Management Policy Statement Safety Accountabilities & Responsibilities Integration with Public Safety & Emergency Management SMS Documentation & Records

SMS Documentation & Records Subcomponent Slide 38 Safety Management Policy Agency ensures that it formalizes and documents key elements of SMS such as:  Safety Management Policy Statement  SMS requirements  SMS processes and procedures  SMS Accountabilities, responsibilities, and authorities  Documentation is scalable for smaller transit agencies, but must be sufficient to support the processes within SMS Safety Management Policy Statement Safety Accountabilities & Responsibilities Integration with Public Safety & Emergency Management SMS Documentation & Records

Safety Risk Management Slide 39

SRM Component and its Subcomponents Slide 40 Vital to the success of SMS Before an SMS can be effectively built or improved, safety hazards must be identified in your operation and mitigations need to be in place to manage the safety risk Safety risk management is a continuous process Hazard Identification & Analysis Safety Risk Evaluation & Mitigation Safety Risk Management

Hazard Identification & Analysis Subcomponent Slide 41 Hazard Identification & Analysis Safety Risk Evaluation and Mitigation Safety Risk Management The only way to know safety risk prior to an accident Provides foundation for safety risk evaluation activities Must be agency-wide and fully supported and promoted

Safety Risk Evaluation & Mitigation Subcomponent Slide 42 Safety Risk Evaluation and Mitigation Safety Risk Management Hazard Identification & Analysis Safety Risk Evaluation Provides a way to measure potential consequences of identified hazards Evaluates how existing defenses could mitigate the consequences Helps determine whether certain safety risk is acceptable, while others require risk mitigation Data driven - safety resource allocations are more logical Safety Risk Mitigation Enables us to “manage” safety risk Aim is to reduce safety risks to an acceptable level Provides course of action that is monitored by the Safety Assurance function

Safety Assurance Slide 43

Safety Assurance Component and its Subcomponents Slide 44 Safety performance monitoring & measurement Management of change Continuous improvement Safety Assurance A continuous process, constantly interacting with Safety Risk Management Where safety performance data is collected and analyzed Systematic and ongoing monitoring and recording of an agency’s safety performance Helps verify an agency’s safety performance is in line with safety objectives and targets

Safety Performance Monitoring & Measurement Subcomponent Slide 45 Safety performance monitoring & measurement Management of change Continuous improvement Safety Assurance Safety management requires feedback on safety performance to complete the safety management cycle Safety performance monitoring and measurement provides that feedback

Management of Change Subcomponent Slide 46 Safety performance monitoring & measurement Management of change Continuous improvement Safety Assurance  Change may inadvertently introduce hazards  Ensures that operational changes or proposed changes do not introduce new hazards  Changes can affect appropriateness of existing safety risk mitigations  ALL changes need to be evaluated

Continuous Improvement Subcomponent Slide 47 Safety performance monitoring & measurement Management of change Safety Assurance Continuous improvement Performance measures are established to monitor various components of SMS This helps ensure safety risk mitigations are working and agency safety performance objectives are being met

Safety Promotion Slide 48

Safety Promotion Component and its Subcomponents Slide 49 Safety Promotion Competencies and Training Safety Communication

Safety Communication Subcomponent Slide 50 Safety Promotion Competencies and Training Safety Communication SMS relies on continuous management commitment to communication One of management’s most important responsibilities under SMS is to encourage and motivate others to want to communicate openly, authentically, and without concern for reprisal

Competencies & Training Subcomponent Slide 51 Safety Promotion Competencies and Training Safety Communication Executive management responsibility because of allocation of resources to training Safety training development process Relationship between safety training and Safety Risk Management and Safety Assurance

Employee Safety Reporting Slide 52

Slide 53 SMS and Safety Reporting: Facts SMS does not work without data Nobody knows actual system performance better than the employees delivering the service Power of safety reporting – Safety data capture on previously unanticipated safety deficiencies – Safety data to confirm the effectiveness of existing safety risk mitigations

Slide 54 Effective Safety Reporting - Attributes Training the messengers – People are not “natural messengers” Ease of reporting – Simple requisites Timely, accessible, and informative feedback – Feedback is motivational tool Protection – Information only used for the purposes it was collected Vehicle for change – Issues reported are solved; validates employee reporting

SMS at Small Bus Agencies Slide 55

High levels of communication Culture of trust Decision making process Cross functional understanding of jobs Ability to quickly make changes Employee concern for passenger well-being Limited accidents, incidents and safety hazards Scaled down implementation plan FTA will provide guidance and templates Small Bus Transit Agency Advantages Slide 56

Staff, time and resources Enhanced documentation Root cause analysis Performance monitoring Added training needs Formalizing employee safety reporting Small Bus Transit Agency Challenges Slide 57

Questions & Answers Slide 58

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