1. FPTA/CTD Annual Conference October 2015 FTA Bus Safety Oversight Program

2. 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 and rural bus transit systems Now includes large urban bus transit systems FTA Bus Safety Program Background Slide 2

3. Resource website Voluntary onsite reviews Orientation seminars Ongoing outreach Major Bus Program Elements Voluntary Onsite Reviews State DOT Orientation Seminars Bus Safety Program Website Industry Coordination and Outreach Slide 3

4. Safety Management Systems (SMS) Slide 4

5. 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 5

6. 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 6

7. At the transit agency, state and federal levels – What are our most serious safety concerns? – How do we know this? – What are we doing about it? – Is what we are doing working? … and importantly…how do we know what we are doing is working? Questions we all need to ask that SMS helps answer Slide 7

8. Ensures timely information about safety risks so executives can make informed decisions about allocating resources to prioritized risk Actively seeks to identify and mitigate hazards so we can prevent accidents and manage change Fosters system-wide communication about safety issues up, down and across the agency Improves safety culture by empowering employees and involving them in decision-making What SMS does Slide 8

9. Two critical safety related concerns that demonstrate the need for SMS are: – The Organizational Accident – Practical Drift Critical Concerns Slide 9

10. The Organizational Accident Slide 10

11. 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 11

12. “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 12

13. Organizational Accidents Involve Active and Latent Factors Slide 13 Safety Breakdown Some holes due to latent conditions Hazard s Some holes due to active failures

14. Identifying and analyzing latent organizational factors that may contribute to accidents and incidents is a critical tool in the transit risk management process. Organizational Accident and SMS Slide 14

15. “The discovery of human error should be considered the starting point of the investigation, and not the ending point.” - ISASI Forum Slide 15

16. Practical Drift Slide 16

17. 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 17

18. Practical Drift Operational Performance Baseline Performance Organization The difference between “where we are” and “where we thought we were” Slide 18 Navigating the Drift – The Need for Data

19. Individual and organizational safety performance monitoring 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 19

20. SMS Overview Slide 20

21. 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 21

22. 1.Safety Management Policy 2.Safety Risk Management 3.Safety Assurance 4.Safety Promotion SMS Framework Components or Pillars Slide 22

23. How the Pillars Interact Slide 23

24. Safety Management Policy Slide 24

25. Safety Management Policy Pillar and its Subcomponents Slide 25 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

26. The Safety Management Policy Subcomponent Slide 26 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

27. Safety Accountabilities & Responsibilities Subcomponent Slide 27 Safety Management Policy Safety is not the sole responsibility of the Safety Manager or the Safety Department Critical to detail the safety accountabilities and responsibilities for:  Accountable Executive  Safety/SMS Manager  Managers and supervisors  Front line employees This is where organizational structure and arrangements are defined Safety Management Policy Statement Safety Accountabilities & Responsibilities Integration with Public Safety & Emergency Management SMS Documentation & Records

28. Integration with Public Safety & Emergency Management Subcomponent Slide 28 Safety Management Policy Ensures integration of programs that have input into, or output from, the SMS Identifies and describes the interface with external organizations Ensures coordination in plans for dealing with emergencies and abnormal operations and the return to normal operations Safety Management Policy Statement Safety Accountabilities & Responsibilities Integration with Public Safety & Emergency Management SMS Documentation & Records

29. SMS Documentation & Records Subcomponent Slide 29 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  Accountabilities, responsibilities, and authorities for processes and procedures Documentation is scalable, but must be sufficient to help institutionalize the processes within SMS Safety Management Policy Statement Safety Accountabilities & Responsibilities Integration with Public Safety & Emergency Management SMS Documentation & Records

30. Safety Risk Management Slide 30

31. SRM Pillar and its Subcomponents Slide 31 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

32. Hazard Identification & Analysis Subcomponent Slide 32 Hazard Identification & Analysis Safety Risk Evaluation and Mitigation Safety Risk Management

33. Hazard Identification & Analysis Slide 33 Safety Risk Mitigation Safety Risk Evaluation Operational System Description Hazard Identification Hazard Analysis Hazard Identification & Analysis State the generic hazard(s) Identify hazard components Identify specific consequences Collect data / info 1 2 Hazard Identification & Analysis The only way to know your safety risk prior to an accident Provides the foundation for your safety risk evaluation activities Must be agency-wide and fully supported and promoted

34. Safety Risk Evaluation & Mitigation Subcomponent Slide 34 Safety Risk Evaluation and Mitigation Safety Risk Management Hazard Identification & Analysis

35. Safety Risk Evaluation Process Slide 35 Safety Risk Mitigation Index safety risk Evaluate current mitigations Evaluate the Safety Risk Safety Risk Evaluation Express probability of consequence Express severity of consequence 3 Hazard Identification & Analysis Safety Risk Evaluation Provides a way to measure the potential consequence 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 Acceptable level of mitigations?

36. Safety Risk Mitigation Process Slide 36 Safety Risk Mitigation Safety Risk Evaluation Hazard Identification & Analysis Safety Risk Mitigation Enables us to “manage” our safety risk Our aim is to reduce safety risks to an acceptable level Provides our course of action to be monitored by Safety Assurance function Mitigate Safety Risk 4

37. Safety Assurance Slide 37

38. Safety Assurance Pillar and its Subcomponents Slide 38 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

39. Safety Performance Monitoring & Measurement Subcomponent Slide 39 Safety performance monitoring & measurement Management of change Continuous improvement Safety Assurance Safety management requires feedback on safety performance to complete the safety management cycle

40. Management of Change Subcomponent Slide 40 Safety performance monitoring & measurement Management of change Continuous improvement Safety Assurance

41. Continuous Improvement Subcomponent Slide 41 Safety performance monitoring & measurement Management of change Safety Assurance Continuous improvement

42. Safety Promotion Slide 42

43. Safety Promotion Pillar and its Subcomponents Slide 43 Safety Promotion Competencies and Training Safety Communication

44. Safety Communication Subcomponent Slide 44 Safety Promotion Competencies and Training Safety Communication SMS is dependent upon ongoing 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

45. Competencies & Training Subcomponent Slide 45 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

46. Employee Safety Reporting Slide 46

47. Slide 47 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

48. Slide 48 Effective Safety Reporting - Attributes Training the messengers – People are not “natural messengers” Ease of reporting – Simple requisites Timely, accessible, and informative feedback – No feedback; program crumbles Protection – Information only used for the purposes it was collected Vehicle for change – Issues reported are solved

49. FTA SMS Framework Resources Training Events SMS Information Blast emails to registered users FTA’s Safety Training and Resource Website http://safety.fta.dot.gov/ Slide 49