1. Transit Bus Safety Oversight Program Federal Transit Administration Orientation Seminar April 2, 2014 Presenter: Ream Lazaro

2. Seminar Agenda Welcome and Introductions FTA Bus Safety Program Background, Mission, & Elements MAP-21 and Safety Management System (SMS) Overview Voluntary Bus Safety Guidance Part I Voluntary Bus Safety Guidance Part II Demonstration of Bus Program website Closing Remarks Slide 2

3. Seminar Overview An effective mechanism to Present background of Bus Safety Oversight Program Explain Safety Management System (SMS) objectives Provide SMS based safety guidance ­address needs of transit bus agencies regardless of size, level of funding, or service characteristics Demonstrate and stimulate use of Bus Safety Program website Presents opportunity for face-to-face dialog on safety challenges Slide 3

4. Bus Safety Oversight Program Overview Slide 4

5. Bus Program Background Voluntary oversight program Developed in collaboration with industry partners Objective – improve safety for passengers, employees, and all that share roadways with transit buses Initial focus on small urban and rural bus transit systems Now includes large urban bus transit systems and bus rapid transit (BRT) Slide 5

6. Bus Program Origins NTSB recommendations ­NTSB investigations determined there were substantial safety deficiencies and insufficient oversight in bus transit industry ­Issued recommendations in 1998 to encourage creation of safety standards and practices ­FTA responded with “Model Program” Slide 6

7. Bus Program Partners MOU signed by Bus Program Partners in 2003 ­Federal Transit Administration (FTA) ­American Assoc. of State Highway and Transportation Officials (AASHTO) ­American Public Transportation Assoc. (APTA) ­Community Transportation Assoc. of America (CTAA) MOU defined core and enhanced elements of “model program” Slide 7

8. Major Bus Program Elements Resource website Voluntary onsite reviews Orientation seminars Ongoing outreach Slide 8 Voluntary Onsite Reviews State DOT Orientation Seminars Bus Safety Program Website Industry Coordination and Outreach

9. Resource Website Library of 1300 resources Self-assessment tool – Helps transit agencies identify safety gaps Case studies – Support emergency planning and decision- making Safety news and events Registering gets you more Currently in redesign – E-learning modules Slide 9 http://bussafety.fta.dot.gov/

10. Voluntary Onsite Reviews Scheduled by requests from transit agencies, state DOTs, FTA regions Onsite for 1 – 3 days Voluntary in nature and designed to provide safety guidance Post site visit report and technical assistance safety materials ­Also shared with key FTA regional or DOT stakeholders Slide 10

11. Orientation Seminars Co-sponsored by state DOTs / state transit associations Publicizes Bus Program / encourages attendees to use Program resources Provides safety training, guidance, technical assistance Demonstrates Bus Program website Allows dialogue on transit safety needs Slide 11

12. Program Outreach Initiatives include: ­Presentations o CTAA EXPOs o FTA regional conferences o National Rural Conferences o MTAP/SCOPT annual meetings o Tribal transit conferences o State transit association conferences ­Blast emails ­Panels at conferences ­Outreach to transit associations Slide 12

13. Beneficiaries of FTA Bus Safety Program Individual transit agencies Program provides mechanism to: –evaluate current safety activities –Identify strengths / needs –assist in SMS implementation Transit employees Resources to enhance individual technical skill sets and safety professionalism Transit passengers Assists in decreasing operational safety risks to passengers Communities transit serves Emphasizes importance of transportation readiness to respond to community emergencies; provides tools for carrying out response Slide 13

14. Beneficiaries of FTA Bus Safety Program FTA and US Dept. of Transportation Meets NTSB recommendations Encourages achieving safety excellence within SMS guidelines Department of Homeland Security (DHS) and other Federal agencies Mechanism for FTA to partner with other federal agencies State DOTs Provides guidance/support on SMS implementation Transit associations Template for designing safety conference / workshop presentations and technical assistance activities Slide 14

15. MAP-21 and SMS Slide 15

16. MAP-21 Moving Ahead for Progress in the 21 st Century Act signed into law July 2012 Includes Section 5329 – Public Transportation Safety Program Creates a national safety program ₋National Safety Plan ₋Transit Agency Safety Plan ₋Safety Certification Training Program ₋State Safety Oversight (SSO) Program (rail) Slide 16

17. The National Safety Program National Safety Plan 49 U.S.C. 5329(b) Establishes SMS as foundation for FTA’s safety regulatory framework Includes the definition of State of Good Repair and safety performance criteria Transit Agency Safety Plan 49 U.S.C 5329(d) Introduces SMS into practice Provides agencies with authority to set performance targets for safety and SGR based on requirements set out in the National Safety Plan Safety Certification Training Program 49 U.S.C. 5329(c) Introduces SMS concepts Improves technical competencies of safety oversight professionals The National Safety Program includes four distinct components, three of which are: Slide 17

18. National Safety Plan At a minimum, the National Safety Plan will include: – Safety performance criteria – Definition of State of Good Repair – A public transportation safety certification program – Minimum vehicle standards Data analysis will be used to identify national trends that suggest: – gaps in safety performance – common hazards – leading practices for risk control Slide 18

19. Safety Performance Criteria FTA will set safety performance criteria for all modes Criteria will support analysis and risk evaluation As a result, transit agencies will become more proactive in safety risk management Slide 19

20. Minimum Vehicle Safety Standards FTA’s priority is to issue a proposed rule to establish a bus testing pass/fail standard – Rule will determine usage of FTA funds for bus purchase Performance standards define an end result, but allow flexibility on how that result is achieved – Congress did not intend FTA to replicate a regulatory model, with highly prescriptive regulations – FTA will consider leading industry practices and National Transit – Safety Board (NTSB) recommendations Slide 20

21. Transit Agency Safety Plan The Transit Agency Safety Plan will demonstrate: – Compliance with the National Safety Plan – Implementation of SMS; scalable and flexible Agencies must establish and certify this comprehensive plan within a year of the final rule States may draft and certify Agency Safety Plans for rural areas and for small public transportation providers in urban areas Slide 21

22. Safety Certification Training Program The Safety Certification Training Program focuses on: – Competencies and training outcomes – Certification training for those responsible for the safety oversight of rail transit, as an initial effort Interim Provisions will soon be published in Federal Register Slide 22

23. Safety Management Systems (SMS) Published policy to adopt SMS in May 2013 – Essential building blocks of a successful SMS already exist – Each transit agency to develop processes to implement SMS Safety Management System is: – Scalable and flexible to support transit systems of all sizes – Proactive method for managing system safety – A way to ensure data-driven safety decision making – Focused on the overall safety performance, not compliance with regulation and requirements Slide 23

24. SMS Framework 1.Safety Management Policy 2.Safety Risk Management 3.Safety Assurance 4.Safety Promotion Slide 24

25. Safety Management Policy Accountable Executive Roles and responsibilities Management commitment Integration with existing programs Documentation Slide 25

26. Safety Risk Management Hazard identification and analysis Risk assessment and mitigation Slide 26

27. Safety Assurance Safety performance monitoring Management of change Continuous SMS improvement Slide 27

28. Safety Promotion Competencies and training Safety communication Slide 28

29. SMS Summary SMS is scalable and flexible and recognizes that one size does not fit all All transit agencies, regardless of mode, size or operating characteristics will be required to develop Transit Agency Safety Plans States may help develop and certify Transit Agency Safety Plans for Small Providers FTA is developing bus testing pass/fail standards Slide 29

30. 4 questions that SMS will facilitate answering What is most likely to be the cause of your next accident or serious incident? How do you know that? What are you doing about it? Is it working? Slide 30

31. The Bus Program and MAP-21 Bus Program enters into transition period Moving from totally voluntary guidance and technical assistance program to include safety oversight Provide information on and guide transit industry through SMS implementation process Continue orientation seminars / presentations Continue onsite safety reviews Redesigned website Slide 31

32. Voluntary Safety Guidance Slide 32

33. Voluntary Guidance Elements 1.Safety Program Management 2.Operations Management 3.Maintenance Management 4.Human Resource Management 5.Public Safety Management 6.Emergency Response Management 7.Safety Hazard Management 8.Safety Performance Management Slide 33

34. 1. Safety Management A.Management Commitment and Responsibility B.Safety Leadership Accountability C.Key Safety Personnel D.Safety Culture E.Safety Plan and Safety Documentation Slide 34

35. 1A - Management Commitment and Responsibility Safety policy Safety objectives Communication of safety objectives Commitment of resources to mitigate hazards Slide 35

36. 1B - Safety Leadership Accountability CEO safety accountability Safety as top priority Management roles and responsibilities Chain of command Reporting of safety issues Slide 36

37. 1C - Key Safety Personnel Individual responsible for safety / Safety Officer −Reports directly to CEO −Qualified / trained for job −Advises staff on safety issues −Promotes safety awareness −Oversees accident / incident handling and investigation −Develops safety reports −Makes preventable / non- preventable determinations −Manages hazard identification / mitigation process −Identifies safety training requirements −Holds safety meetings and briefings −Documents / analyzes safety data for trends Slide 37

38. 1D - Safety Culture Employee orientations on safety responsibilities Safety incentive or award programs Safety information dissemination Employee input on safety concerns Transit “just culture” and non-punitive reporting Slide 38

39. 1E - Safety Plan and Safety Documentation Safety Plan consistent with Safety Policy – Authorized by oversight authority and transit CEO – States agency’s safety mission, values, goals – States employee safety responsibilities /accountabilities – Addresses coordination with security & emergency preparedness plans – Communicated to employees – Reviewed annually Slide 39

40. 1E - Safety Plan and Safety Documentation Safety Plan should address: Safe delivery of transit services Transit vehicle maintenance requirements Transit facility maintenance requirements Safety data acquisition & analysis Safety hazard identification, reporting, analysis, mitigation Accident & incident emergency response Accident & incident investigation Change management / system modification Safety related training Safety related communication Employee safety performance monitoring Slide 40

41. 2. Operations Management A.Service design B.Service delivery C.Customer service D.Vehicle size & configuration E.Vehicle inspection F.Onboard safety equipment Slide 41

42. 2A - Service Design Fixed route evaluations Bus stop safety evaluations Evaluation of demand response / paratransit pick-up and drop-off times Operator / driver relief time Slide 42

43. 2B - Service Delivery Radio coverage within service area Radio protocol Child safety seats Transporting unaccompanied children Slide 43

44. 2C - Customer Service Passenger assistance policy Customer service policy includes – restrictions on carry-on items – restrictions on onboard activities – right to refuse service based on unsafe behavior Slide 44

45. 2D - Vehicle Size & Configuration Vehicle procurement ­Consider safety records of vehicle prototypes ­Consider safety related vehicle configuration / specification issues seating configuration lift placement exit points fire suppression systems Slide 45

46. 2E - Vehicle Inspection Pre- and post-trip vehicle inspections ­formal policy ­standardized form ­time allotted Slide 46

47. 2F - Onboard Safety Equipment Fire extinguisher First aid kit Biohazard kit Web cutter Reflective triangles Flashlight Reflective vest Listed on pre-trip form Slide 47

48. 3. Maintenance Management A.Vehicle maintenance planning B.Vehicle preventive & corrective maintenance C.Alternative fuel vehicles D.Maintenance shop safety E.Facility maintenance F.Hazardous materials Slide 48

49. 3A – Vehicle Maintenance Planning Formal maintenance plan Manufacturers warranty requirements Preventative maintenance scheduling / tracking Slide 49

50. 3B – Vehicle Preventive / Corrective Maintenance Preventive maintenance checklists Vehicle defect documentation Wheelchair lift maintenance Individual vehicle maintenance files Inspect vehicles after outsourced maintenance Slide 50

51. 3C – Alternative Fuel Vehicles Training −standard operating procedures −emergency procedures Onsite fuel storage and delivery system design meets all codes / regulations Slide 51

52. 3D – Maintenance Shop Safety Shop safety program Pit protection Lifts / jacks standards Non-walk areas clearly marked Shop safety equipment – Safety goggles – Eye wash stations – First aid kits – Biohazard kits – Fire extinguishers Slide 52

53. 3E – Facility Maintenance Formal maintenance plan Evacuation plans posted Exists marked Facility maintenance activities documented Onsite underground fuel storage tanks −compliance with regulations Slide 53

54. 3F – Hazardous Materials Hazardous material management program policy Storage / disposal of hazardous waste Employee hazard communication and training Emergency spill response procedures Material Safety Data Sheets (MSDS) Slide 54

55. 4. Human Resource Management A.Safety related personnel management B.Safety training management C.Bus operator/driver training D.Supervisor / dispatcher training E.Vehicle / facility maintenance training F.Safety communication and reporting Slide 55

56. 4A – Safety Related Personnel Management Employment history and reference checks Criminal background checks Driver license checks CDL requirements Medical examinations −at hire −periodically −based on fitness for duty Drug & alcohol program reviews Employee access to counseling Workplace violence training Bio-hazard exposure control plan Cell phone policy Slide 56

57. 4B – Safety Training Management Needs analysis Job specific safety training plans Train-the-trainer instruction Monitor trainer skills Document classroom and OJT training Periodically evaluate safety-training initiatives Slide 57

58. 4C – Bus Operator / Driver Training Defensive driving Passenger assistance and securement On-vehicle emergency response Vehicle inspection Hazardous driving conditions Radio communication Hands-on vehicle orientations Refresher training / re-training Slide 58

59. 4D – Supervisor / Dispatcher Training Dispatchers −scheduling /dispatching standard operating procedures −on-vehicle emergency response procedures Supervisors −standard operating procedures −on-vehicle / facility emergency response procedures −accident / incident handling and investigation −performing formal safety performance evaluations −providing coaching, counseling, discipline Slide 59

60. 4E – Vehicle / Facility Maintenance Training Vehicle preventive maintenance Vehicle defect/corrective maintenance Safe use of tools and equipment Shop safety practices Facility maintenance Slide 60

61. 4F – Safety Communication and Reporting Safety meetings −communicate safety issues/concerns −elicit employee feedback on unsafe conditions Non-punitive employee safety reporting Safety related communications −convey relevant safety information −explain reason for particular safety actions −explain reasons for new/changed safety procedures Slide 61

62. 5. Public Safety Management A.Public safety planning B.Assaults C.Revenue security D.Facility security E.Response to suspicious or dangerous behavior Slide 62

63. 5A – Public Safety Planning Formal security plan Threat & vulnerability assessment (TVA) Critical asset analysis Share TVA information with emergency management / first responders Slide 63

64. 5B – Assaults S trategies for reducing vulnerability to assaults for: ­bus operators / drivers ­passengers Strategies for reducing risk of assaults at transit facilities / bus stops Slide 64

65. 5C – Revenue Security Protocols for managing and securing fare revenue ­handling ­counting ­transferring Slide 65

66. 5D – Facility Security Controlled access Surveillance equipment Transit vehicle storage area Employee ID badges Bomb threat protocols and checklist Suspicious mail protocols Slide 66

67. 5E – Response to Suspicious/Dangerous Behavior Employee orientations on recognition, reaction, and reporting Active shooter protocols IED protocols Driver/operator emergency code Slide 67

68. 6. Emergency Response Management A.External emergency preparedness B.Emergency response C.Recovery Slide 68

69. 6A – External Emergency Preparedness Working relationship with Emergency Management Local emergency planning committee (LEPC) meetings Transit role in Emergency Operations Plan (EOP) Transit internal emergency preparedness procedures Essential transit staff policy Continuity of Operations Plan (COOP) Slide 69

70. 6A – External Emergency Preparedness Contractor’s role Location of individuals requiring transportation assistance Fuel / essential materials access Transit employee relief and backup for surge capacity Community emergency drills, simulations, exercises Slide 70

71. 6B – Emergency Response Employee notification protocol −emergency call down lists Emergency shut down and start up procedures Strategies to communicate with customers / community Back up power source Pet transport policy Slide 71

72. 6B – Emergency Response Emergency information dissemination policy National Incident Management System certification Relationship with law enforcement / fire Interoperable communication equipment First responders / local law enforcement trained on transit vehicle prototypes Slide 72

73. 6C – Recovery Sustaining essential life supporting transit services Safe re-entry of individuals with access/functional needs Employee post-crisis counseling Recordkeeping for reimbursement of transit services Transit vehicle insurance coverage during community emergency response Slide 73

74. 7. Safety Hazard Management A.Safety hazard identification B.Safety risk assessment C.Safety risk mitigation D.Accident / incident reporting E.Accident / incident investigation F.Managing human error G.Fatigue management Slide 74

75. 7A – Safety Hazard Identification Documenting safety related customer complaints Safety committee input and recommendations for controls Safety hazard and trending analysis of accident / incident data Near miss reporting and analysis −accidents / incidents −security information Slide 75

76. 7B – Safety Risk Assessment Evaluation of safety hazards based on probability / severity Prioritization of safety hazards based on probability / severity Documenting hazard identification / analysis information Slide 76

77. 7C – Safety Risk Mitigation Acceptable vs unacceptable level of risk Risk mitigation strategies Risk avoidance, transfer, control Monitoring risk mitigation effectiveness Slide 77

78. 7D – Accident / Incident Reporting Formal reporting protocols Specific forms for documenting accidents / incidents Slide 78

79. 7E – Accident / Incident Investigation Formal investigation protocols Forms / checklists to document investigations Managers / Supervisors trained Identify and address contributing and causal factors Slide 79

80. 7F – Managing Human Error Error management strategies Intentional vs unintentional safety violations Contributing factors to safety violations ­poor safety planning ­insufficient allocation of resources Non-technical skill training ­decision making ­communication ­interaction Slide 80

81. 7G – Fatigue Management Operator/driver on-duty and behind-the-wheel hours ­tracked / documented ­limits to mitigate safety risk Operator/ driver outside employment Fatigue management training Slide 81

82. 8. Safety Performance Management A.Safety performance monitoring B.Safety performance measurement C.Internal emergency response procedures D.Change management E.Safety audits / reviews F.Corrective action plans G.Contractor safety Slide 82

83. 8A – Safety Performance Monitoring Supervisors monitor −pre-trip inspection performance −behind-the-wheel and passenger assistance performance −quality of preventive & corrective maintenance activities Dispatcher and/or supervisor on duty all service hours Set individual safety performance goals and objectives Formal employee performance appraisal process – includes safety related issues Slide 83

84. 8B – Safety Performance Measurement Establish agency safety performance targets and timeline Safety measurement tools to monitor safety performance Safety performance data collection and analysis Report data to external stakeholders Determine gap causes −internal or external factors Safety performance results integrated into organizational decision making processes Slide 84

85. 8C – Internal Emergency Response Procedures Formal protocols for −Transit vehicle accidents −Transit vehicle fires −Employee injuries −Passenger falls / injuries −Transit facility fires −Transit HAZMAT release −Pedestrian strikes −Dangerous passengers −Dangerous items Handbooks −Operator/driver −Dispatcher −Manager/supervisor Internal emergency response exercises Slide 85

86. 8D – Change Management Documented change management processes Strategies to reduce safety risk associated with changes Agency / employee safety performance monitored after changes Slide 86

87. 8E – Safety Audits / Reviews Safety audits / reviews conducted of: −transit operations −vehicle maintenance activities −transit facilities −facility maintenance activities Management safety reviews to ensure: −agency core safety objectives are met −safety performance monitored against objectives −timely addressing of identified safety hazards Other reviews as needed Slide 87

88. 8F – Corrective Action Plans Formal safety corrective action plans −to reduce likelihood of future accident/incidents −to limit consequences of contributing factors Immediate corrective actions after accidents, incidents, near misses Monitor effectiveness of actions taken Slide 88

89. 8G – Contractor Safety Evaluate previous safety performance before procuring services Ensure contractors: −hold all appropriate qualifications and credentials −demonstrate ability to provide trained/competent employees −have compliant drug & alcohol program Ensure written contract: −clearly specifies safety standards −details how noted safety hazards/deficiencies will be addressed Including timeframe and penalties Periodically audit contractor safety performance Slide 89

90. FTA Bus Safety Oversight Program Website Slide 90

91. Resource Website Demonstration Slide 91 http://bussafety.fta.dot.gov/