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Transcript of National RTAP 101 Webinar Series: FTA Bus Safety Program and SMS for Small Agencies December 1, 2015...
![Page 1: National RTAP 101 Webinar Series: FTA Bus Safety Program and SMS for Small Agencies December 1, 2015 U.S. Department of Transportation Federal Transit.](https://reader031.fdocuments.in/reader031/viewer/2022020111/5697bfba1a28abf838ca0458/html5/thumbnails/1.jpg)
National RTAP 101 Webinar Series: FTA Bus Safety Program and SMS for Small Agencies
December 1, 2015
U.S. Department of TransportationFederal Transit Administration
![Page 2: National RTAP 101 Webinar Series: FTA Bus Safety Program and SMS for Small Agencies December 1, 2015 U.S. Department of Transportation Federal Transit.](https://reader031.fdocuments.in/reader031/viewer/2022020111/5697bfba1a28abf838ca0458/html5/thumbnails/2.jpg)
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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 TransportationFederal Transit Administration
![Page 7: National RTAP 101 Webinar Series: FTA Bus Safety Program and SMS for Small Agencies December 1, 2015 U.S. Department of Transportation Federal Transit.](https://reader031.fdocuments.in/reader031/viewer/2022020111/5697bfba1a28abf838ca0458/html5/thumbnails/7.jpg)
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).
![Page 8: National RTAP 101 Webinar Series: FTA Bus Safety Program and SMS for Small Agencies December 1, 2015 U.S. Department of Transportation Federal Transit.](https://reader031.fdocuments.in/reader031/viewer/2022020111/5697bfba1a28abf838ca0458/html5/thumbnails/8.jpg)
National RTAP WebinarDecember 1, 2015
FTA Bus Safety Programand
Safety Management Systems
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• 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
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Erik LarsonBoyd, 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.
![Page 11: National RTAP 101 Webinar Series: FTA Bus Safety Program and SMS for Small Agencies December 1, 2015 U.S. Department of Transportation Federal Transit.](https://reader031.fdocuments.in/reader031/viewer/2022020111/5697bfba1a28abf838ca0458/html5/thumbnails/11.jpg)
Ream LazaroBoyd, 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).
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FTA Bus Safety Program Overview
Slide 12
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• 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
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• 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
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FTA SMS Framework
Resources
Training
Events
SMS Information
Blast emails to registered users
FTA’sSafety and Training Resource Website
http://safety.fta.dot.gov/
Slide 15
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Safety Management Systems (SMS)
Slide 16
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• 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
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• 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
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• 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
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• Two critical safety related concerns that demonstrate the need for SMS:
– The Organizational Accident – Practical Drift
Critical Concerns
Slide 20
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The Organizational Accident
Slide 21
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• 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
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“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
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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
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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
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Practical Drift
Slide 26
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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
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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
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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
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SMS Overview
Slide 30
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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
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1. Safety Management Policy
2. Safety Risk Management
3. Safety Assurance
4. Safety Promotion
SMS Framework Components
Slide 32
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Safety Management Policy
Slide 33
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Safety Management Policy Component
and its Subcomponents
Slide 34
SafetyManagement
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
![Page 35: National RTAP 101 Webinar Series: FTA Bus Safety Program and SMS for Small Agencies December 1, 2015 U.S. Department of Transportation Federal Transit.](https://reader031.fdocuments.in/reader031/viewer/2022020111/5697bfba1a28abf838ca0458/html5/thumbnails/35.jpg)
The Safety Management Policy Statement Subcomponent
Slide 35
SafetyManagement
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
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Safety Accountabilities & Responsibilities Subcomponent
Slide 36
SafetyManagement
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
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Integration with Public Safety & Emergency Management Subcomponent
Slide 37
SafetyManagement
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
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SMS Documentation & Records Subcomponent
Slide 38
SafetyManagement
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
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Safety Risk Management
Slide 39
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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
SafetyRisk
Management
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Hazard Identification & Analysis Subcomponent
Slide 41
Hazard Identification &
Analysis
Safety Risk Evaluation and
Mitigation
SafetyRisk
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
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Safety Risk Evaluation & Mitigation Subcomponent
Slide 42
Safety Risk Evaluation and
Mitigation
SafetyRisk
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
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Safety Assurance
Slide 43
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Safety Assurance Component and its Subcomponents
Slide 44
Safety performance monitoring & measurement
Managementof
change
Continuous improvement
SafetyAssurance
• 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
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Safety Performance Monitoring & Measurement Subcomponent
Slide 45
Safety performance monitoring & measurement
Managementof
change
Continuous improvement
SafetyAssurance
• Safety management requires feedback on safety performance to complete the safety management cycle
• Safety performance monitoring and measurement provides that feedback
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Management of Change Subcomponent
Slide 46
Safety performance monitoring & measurement
Managementof
change
Continuous improvement
SafetyAssurance
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
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Continuous Improvement Subcomponent
Slide 47
Safety performance monitoring & measurement
Managementof
change
SafetyAssurance
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
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Safety Promotion
Slide 48
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Safety Promotion Component and its Subcomponents
Slide 49
SafetyPromotion
Competencies and Training
Safety Communication
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Safety Communication Subcomponent
Slide 50
SafetyPromotion
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
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Competencies & Training Subcomponent
Slide 51
SafetyPromotion
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
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Employee Safety Reporting
Slide 52
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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
![Page 54: National RTAP 101 Webinar Series: FTA Bus Safety Program and SMS for Small Agencies December 1, 2015 U.S. Department of Transportation Federal Transit.](https://reader031.fdocuments.in/reader031/viewer/2022020111/5697bfba1a28abf838ca0458/html5/thumbnails/54.jpg)
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
![Page 55: National RTAP 101 Webinar Series: FTA Bus Safety Program and SMS for Small Agencies December 1, 2015 U.S. Department of Transportation Federal Transit.](https://reader031.fdocuments.in/reader031/viewer/2022020111/5697bfba1a28abf838ca0458/html5/thumbnails/55.jpg)
SMS at Small Bus Agencies
Slide 55
![Page 56: National RTAP 101 Webinar Series: FTA Bus Safety Program and SMS for Small Agencies December 1, 2015 U.S. Department of Transportation Federal Transit.](https://reader031.fdocuments.in/reader031/viewer/2022020111/5697bfba1a28abf838ca0458/html5/thumbnails/56.jpg)
• 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
![Page 57: National RTAP 101 Webinar Series: FTA Bus Safety Program and SMS for Small Agencies December 1, 2015 U.S. Department of Transportation Federal Transit.](https://reader031.fdocuments.in/reader031/viewer/2022020111/5697bfba1a28abf838ca0458/html5/thumbnails/57.jpg)
• 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
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Questions & Answers
Slide 58
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National RTAP5 Wheeling Avenue, Unit BWoburn, MA 01801
[email protected] www.nationalrtap.org
NOTE: these slides and a recording of this webinar will be posted soon on the Webinars page of our website.