APTA Safety Management Systems

Safety Mid Year Meeting December 2012Linda Meadow DavisLinda@lindatom.com

Purpose of APTA SMS Guidelines

Provide a set of organizational values, management principles and safety philosophies that address the specialized operational needs of the passenger transportation industry to move people safely.

Assist public transportation agencies in achieving their desired safety objectives by providing them choices on optimizing their resources at the systems level to achieve positive outcomes.

Utilize a performance based approach to identify and control risk

Promote sustainability of safety through continuous improvement

SMS Public Transportation Systems

RailLight railHeavy railStreetcarCommuter railHigh speed railMonorail

Automated Guideways, Ropeways & People Movers

BusBusDemand ResponseCommuter BusBus Rapid Transit

Ferry Water Taxi

Funicular & Inclined Planes

What is a Safety Management System?

Safety: condition to which risks of harm arising out of agency’s decisions and operations are managed to acceptable levels

Management: the allocation of resources to achieve specific goals (leading/directing, planning, organizing, controlling, improving, performance measurement

System: organized set of programs, processes and procedures used to deliver service

Safety Management System

An organized set of programs, principles, processes and procedures for the allocation of resources to achieve the condition where risks are managed to acceptable levels

SMS Examples TRACS: Implementing Safety Management Systems in Transit Agencies

FTA: Transit Safety Management and Performance Measurement Guidebook

Transport Canada: Guide for Developing, Implementing and Enhancing Railway Safety Management Systems

International Helicopter Safety Team: Safety Management System Toolkit

OHSAS 18000.1 Standard

ANSI/ASSE Z10- Occupational Health and Safety Management System

Australia: National Rail Safety Guideline: Preparation of a Rail Safety Management System

New South Wales: Safety Management System Guidelines for Bus and Coach Operators

UK Office of Rail Regulation: Railways and other Guided Transport Systems (Safety) Regulations – TEMS

DOE: Integrated Safety Management Manual

SMS ElementsUS Helicopter Assn

Concept: SMS Plan

Safety Promotion/Safety Culture

Data Management and Documents

Hazard Identification and Risk Management

Occurrence and Hazard Reporting

Safety Assurance Oversight Programs

Safety Management Training Requirements

Management of Changes

Emergency Preparedness and Response

Performance Measurement

SMS ElementsThe National Safety

Council Policy on SMS

Leadership – Management Management leadership and

commitment System management and

communications Assessments, audits and

performance measurements

Technical – Operational Hazard identification and

risk reduction Workplace design and

engineering Operational process and

procedures

9 elements - 3 performance areas:

Cultural - Behavioral Worker and Management

involvement Motivation, behavior and

attitudes Training and orientation

SMS ElementsFTA SMS/Guidebook Planning

Safety Policy

Organizational Structure

Hazard Identification and Risk Management

Occurrence Investigation and Analysis

Safety Documentation and Information Management

Emergency Preparedness and Response

Safety Assurance

Management of Change

SMS ElementsFAA SMS and ANSI Z 10:

Safety Management System OverviewSafety PolicySafety Risk ManagementSafety AssuranceSafety Promotion

SMS Elements ILO concept

SMS Elements UK ORR

concept

SMS Elements TRACS

concept

Indicators of Effective Safety Management

Policies clearly describe the responsibilities for safety in all functions throughout the organization

Safety goals in the strategic plan are measured and assessed along with the other strategic goals

Competing pressures to safety are discussed openly

Safety performance measures (leading indicators) are part of everyone’s performance management plan and evaluation

Safety performance measures and priorities are clearly communicated and understood

Employee retention rates and absentee rates are evaluated for any issues with regard to safety

Indicators of Effective Safety Management

The CEO or GM discusses and assists in resolving safety issues with members of the executive team. Safety issues are discussed openly at executive meetings. There is an executive-level safety meeting

The executive team implements corrective actions when safety issues are raised

The CEO or GM has his/her team participate at quarterly meetings with the State Safety Oversight agency

Employees assess their supervisor’s concern about safety

Employees are regularly surveyed regarding their perspective on the organization’s safety climate

A joint union-management committee identifies and resolves safety issues

Indicators of Effective Safety Management

Supervisors’ safety attitudes are assessed and corrective actions taken

Front-line supervisors have performance measures associated with safety responsibilities

Supervisors conduct safety inspections and monitor the work that employees are doing

There is a process for the signing of safety briefing sheets

Front-line employees are involved in developing safety policies and procedures (hazard analysis)

Front-line employees are empowered to restrict or stop operations based on unsafe conditions

Indicators of Effective Safety Management

Good faith challenge processes (safety dispute resolutions) are available to workers

There is interdepartmental involvement in developing safety policies and procedures (hazard analysis)

Involved departments conduct hazard analysis when new systems or changes are introduced. They use engineering solutions as the first method of solving problems (hierarchy of control)

A hazard tracking system is in place. Corrective actions are taken and the results of countermeasures are evaluated and published

The organization has a non-punitive near-miss policy and a reporting, analysis, and correction system that is regularly used and trusted

Indicators of Effective Safety Management

There is a safety hotline set up to report issues, conditions and behavioral problems

Safety bulletins or newsletters are communicated across the organization. There are methods for taking in information and recommendations from workers

There is a board-level safety committee, and it discusses safety issues on a regular basis

An analysis of the board or executive team agenda shows that safety issues are given prominence

If there is an injury, managers or executives get involved

Leadership’s safety rhetoric matches reality.

Developing Safety Performance Measures

Conduct readiness assessment

Agree on outcomes and activities to monitor

Select key metrics

Identify data needs

Pilot test and collection of baseline data on metrics

Set targets

Monitor performance and evaluate results

Report findings

Integrate findings into agency decision-making

Sustain the performance measurement system

Sample Performance Outcomes

Reduce transit-related fatalities

Reduce transit-related injuries

Reduce risks of injuries to employees

Accelerate development of safety culture

Improve workforce core competency skills

Performance MetricsNumber: total number of collisions, total

number of fatal accidents, average time to implement findings of safety inspections

Rate: fatalities per 100 million passenger miles traveled, crashes per 100 million vehicle-miles

Ratio or percentage: ratio of fatal to non fatal collisions, preventable accidents to non-preventable accidents, percent of collisions occurring at grade crossings

How to Develop Performance Metrics

Start with the outcome. List 2-3 metrics that best describe progress toward achieving the outcome. Include number and rate/ratio forms of metrics

Identify 5-10 programs and processes that are absolutely vital to ensure safety of customers, employees and the public

Disaggregate metrics. Provide breakouts of performance metrics by key classes or categories. Limit the number of classes to 2-3 most important

Include forward-looking metrics that capture accident precursors

Consider availability and reliability of data

Leading IndicatorsInput based measures with a relationship to an

end product or goal

Measure and track performance before a problem occursRunning red signalsNo stop at broken gatesDoors open on the wrong sideRailway worker protection violationUse of cell phones while operating vehicles or

machineryComplaints per 100,000 passengers

Lagging IndicatorsOutcome based measures that are directly

related to an end product or goal

Measure performance against prior goalsNumber of preventable accidents per 100,000

milesNumber and type of pedestrian and motorist

fatalities at grade crossings per monthNumber of broken mirrors on buses

Safety and Security Performance Measures

Accident/Incidents

Close calls

Safety inspections

Customer satisfaction

Vehicle and property damage Accident rate Number of fires

Workplace safety Employee work days lost to injury

Passenger security

Passenger SafetyNumber of fatalities and fatality crashes per

specified time period

Number of injuries and injury crashes per specified time period

Fatal accidents per million passenger-miles/vehicle-miles traveled

Injury accidents per million passenger-miles/vehicle-miles traveled

Workplace SafetyEmployee work days lost of injuries (by injury

type) per specified time period

Work-related fatalities per specified time period

Workers compensation payments per specified time period

Accident Potential Percent of positive drug/alcohol tests per specified time period

Number of traffic tickets issued to bus (or paratransit vehicle) operators per specified time period

Percent of buses (or paratransit vehicles) exceeding the speed limit per specified time period

Number of rail station overruns per specified distance or time period

Number of red light violations per time period

Number of unplanned revenue service road calls per specified distance or time period

System Safety Number of vehicle defects reported by operators per specified

time period

Number of infrastructure defects reported by operators per specified time period

Number of fires per specified time period (measured by location: stations, vehicles or guideways; by cause: faulty electrical wiring, arson, etc.; and in terms of severity)

Liability losses (by category of loss) per specified time period

Customer satisfaction ratings (measured through surveys)

OtherMaintenance

Percent of preventive maintenance inspections completed within 10% of scheduled mileage

Miles between traffic accidents

Accidents per 100,000 vehicle-hours

Passenger SecurityNumber of crimes committed on transit property

Crime rate

Level of security providedRatio of transit police officers to transit vehiclesNumber (percent) of vehicles with specified safety

devices

Customer perceptions of safety and security of the transit systemCustomer satisfaction Incidents of vandalism