2Get Educated Find opportunities to enhance knowledge and skills: Take TSI’s Rail System Safety Training CourseParticipate in training at the rail transit agencyRead and understand the rail transit agency’s rulebookShadow key rail transit agency positionsLook for additional training opportunitiesGet Educated – Find opportunities to enhance knowledge and skills.Take TSI’s Rail System Safety Training Course and training at the rail transit agency.Read and understand the rail transit agency’s rulebook.Shadow key positions, such as an operator, operations supervisor, track inspector and vehicle maintainer, for a day or two – observe how they perform their jobs.Look for additional training opportunities to support better understanding of the agency’s track, switch, signal, and vehicle systems.
3Formalize the SOA RoleRequire monthly or quarterly reports or meetingsDocument processes in the Program StandardEnsure the SSPP and related procedures also document these processesMonitor corrective action plansFormalize SOA Role – Require monthly or quarterly reports and in-person meetings. Make sure that the process is documented in the Program Standard, SSPP, and any related procedures. In many cases, monthly reporting from the rail agency and quarterly meetings, if possible, at the rail agency, provide ample opportunity for the SOA to review hazard management activities and key issues. Monthly reports provide a mechanism to capture and track identified hazards through analysis and resolution. Corrective action plans (CAPs) and their status can also be assessed and monitored.
4Meet with RTA Executive Leadership Explain program requirements and solicit support for implementationEducate top management on the purpose of the programExplain the SOA’s role in the hazard management process and Part 659 requirementsDiscuss and assess upper management’s commitment to the hazard management processMeet with Rail Transit Agency Executive Leadership – Explain the program’s requirements and solicit executive support in implementation.Educate top management on the purpose of hazard management programExplain the SOA’s role in the hazard management process and Part 659 requirementsDiscuss and assess upper management’s commitment to the hazard management process
5Assess and Clarify the Hazard Management Process with the RTA Hold a meeting with key players from:SafetyOperationsEngineeringQuality AssuranceMaintenancePlanning and DevelopmentConstruction ServicesExecutive ManagementContractor RepresentativesAssess and Clarify Process with RTA – Conduct a meeting with Safety, Operations (include Engineering and Quality Assurance), Maintenance, and Planning and Development (or Construction Services or other department responsible for project development and construction):
6Assess and Clarify the Hazard Management Process with the RTA Collect each department’s understanding of the RTA’s hazard management process and identifyRoles and responsibilitiesKey procedures and protocolsResource commitmentsAssess and Clarify Process with RTA – Conduct a meeting with Safety, Operations (include Engineering and Quality Assurance), Maintenance, and Planning and Development (or Construction Services or other department responsible for project development and construction):Go around the table to collect each department’s understanding of the rail agency’s hazard management process, including roles and responsibilities, procedures and protocols, and commitment of resourcesWalk through the hazard management process requirements as detailed in the Program Standard and SSPP and accompanying procedures
7Assess and Clarify the Hazard Management Process with the RTA Review hazard management process requirements as documented in the Program StandardIdentify the “Who” in the process:Who is responsible to identify and report hazardsWho is responsible to analyze hazardsWho is responsible for determining the actions to be takenWho is responsible to implement these actionsWho will track hazard mitigation and elimination effortsWho will verify hazard resolutionWho will communicate results back to the original reporterAssess and Clarify Process with RTADiscuss the “who:” who is responsible to identify and report hazards; who is responsible for analyzing the reported hazard; who is responsible deciding the action to be taken; who is responsible to act on the reported hazard; who will track hazard mitigation or elimination efforts; who will verify hazard resolution; who will communicate back to the original reporter of the hazard.
8Assess and Clarify the Hazard Management Process with the RTA Review hazard management process requirements as documented in the Program StandardIdentify the “What” in the process:What are the methods for identifying hazardsWhat protocols and procedures are in place for reportingWhat tools will be used to analyze hazardsWhat tool will be used to track hazards through resolutionAssess and Clarify Process with RTADiscuss the “what:” what are the methods for identifying hazards; what protocols and procedures are in place for reporting hazards; what tools will be used to analyze hazards; what tool will be used to track hazards through resolution.
9Assess and Clarify the Hazard Management Process with the RTA Review hazard management process requirements as documented in the Program StandardDiscuss the “When” and the “How”:When are hazards reported to the Safety DepartmentWhen are hazards reported to the SOAHow does the RTA encourage employee participationHow does the RTA treat employees that report hazardsHow are employees trained in hazard managementRevise procedures and protocols as necessary to gain buy-inAssess and Clarify Process with RTADiscuss the “when:” when are hazards reported to the Safety Department; when are hazards reported to the SOADiscuss the “how:” how does the rail agency encourage employee participation in the hazard resolution process; how does the rail agency treat employees who report hazards; how are employees trained in hazard reporting/mitigationRevise procedures and protocols if necessary and get “buy-in” from department heads
10Participate In Safety Committee Meetings where hazard are discussed In Rule Committees where rule changes are discussedRequest to be carbon copied on special orders and operating bulletinsProvide available resources to the RTAAssist RTA in evaluating potential safety issues and concerns in developing rule revisionsParticipate – Request to participate in safety committee meetings where hazards will be discussed. Also ask to participate in the rules committee and to be carbon copied on special orders and operating bulletins.Take advantage of safety and rules meetings to 1) keep involved in the process, 2) learn about hazard analysis and mitigation efforts and 3) observe and evaluate the effectiveness of the process.During meetings, make sure you understand how hazards identified in/by other departments (maintenance, operations, engineering, etc.) are assessed, tracked and resolved.If you have resources available to support the rail transit agency, offer them. In some cases, access to an expert or consultant can make a big difference in successfully resolving a hazard.Discuss how hazards are addressed in rules, special orders and operating bulletins. What is the process for evaluating potential safety issues and concerns in developing and issuing these documents?
11Spend Time Onsite Become familiar with the RTA and its employees Observe activities in shops and yards, on the right of way, in the control center, and other work sitesObserve in the field trainingWhen a hazard is identified, actively follow-up to ensure the RTA is following proceduresObserver how the RTA conducts accident investigationsWalk around – Become familiar with the rail transit agency and its employees.Visit the rail agency and observe activities in the – shops, yard, right-of-way, work sites, control center, and training in the field. If a specific hazard is identified, actively follow-up to ensure that the rail agency is following its procedures and protocol. If a hazardous condition requires a lengthy investigation or assessment – arrange to observe the hazard or inspect the site/vehicle where the hazard may occur.
12Use Every Available Source Ensure the RTA is using all available sources to identify hazardsPassenger reports and complaintsData mining of control center logs and maintenance management systemsSpecial orders and speed restrictionsEmployee reportsReview of unusual occurrence reportsSafety statistics reportsRTA internal audit reportsFacility inspection reportsEfficiency/proficiency testing resultsAccident investigation resultsUse Every Available Source – Ensure that RTA is using all sources available to identify hazards, including:Reports and complaints from passengers through contact with customer service, field personnel, or management personnel;Data mining of agency control center logs and maintenance management information systems;Monitoring of special orders and speed restrictions;Reports from operators and supervisors;Review of Unusual Occurrence Reports;Monthly or quarterly safety statistics reports;Internal audits performed by the Safety Department personnel and others;Facility inspections conducted by the Safety Department and others;Rules Compliance Program, including results from efficiency/proficiency testing;Results from the SSO agency Three-Year Safety Review; andResults from accident investigations and trend analysis of minor incidents and near-misses.
13Formal AnalysesFormal Analyses can identify hazards that are not visible to the naked eye. Examples include:Job Safety / Hazard Analysis (JSA / JHA)Preliminary Hazard Analysis (PHA)Workplace Risk Assessment and Control (PHA/WRAC)Hazard and Operability Study (HAZOP)Fault Tree Analysis (FTA)Event Tree Analysis (ETA)Level of Protection Analysis (LOPA)Failure Modes, Effects and Criticality Analysis (FMECA)Human Error Analysis (HEA)Request Formal Analysis – Many hazardous conditions may be identified after the rail transit agency is in revenue service, as a result of changing conditions, aging infrastructure, or accident investigation, inspections, or audits.Typically, hazards identified during operations are handled “at the lowest possible level” of the agency and seldom rise to concern of an executive or safety committee. However, occasionally, challenging situations will arise and it is important to ensure that the issue is fully investigated.While formal hazard analysis is frequently used during engineering activities during design and construction, other types of analysis can be helpful during operations, including:Job Safety / Hazard Analysis (JSA / JHA)Preliminary Hazard Analysis/Workplace Risk Assessment and Control (PHA/WRAC)Hazard and Operability Study (HAZOP)Fault Tree Analysis (FTA)Event Tree Analysis (ETA)Level of Protection Analysis (LOPA)Failure Modes, Effects and Criticality Analysis (FMECA)Human Error Analysis (HEA)
14Trust Through Verification Verify key elements that ensure effectiveness of the hazard management program. Verify:Safety Department and Safety Committee are performing hazard evaluation and categorization activitiesCAPs are developed to address identified hazards and identify individuals responsible for implementationSafety Department follows-up on outstanding CAPSTrust but Verify – Verify those key elements that ultimately ensure the effectiveness of the hazard management program:Verify that the appropriate entities are performing hazard evaluation and categorization activities (Safety Committee, Director of Safety, etc.). This can be done while onsite or remotely.Verify that CAPs are being developed to address identified hazards and that the CAPs include the individual or department responsible for implementation and a schedule for completion. While onsite, sample a few corrective actions that the rail agency has reported as closed.Verify that the Safety Department follows-up on outstanding CAPs developed to mitigate or resolve hazards. This can be done using a sampling method while onsite as well as through ongoing reporting.
15Develop ToolsUse technology to support the tracking of hazards and to help in their identification and management, websites,1-800 servicesExcel spreadsheetsIntranet-based systemsAccess databasesDevelop Tools – Use technology to support the tracking of hazards and to help in their identification and management. , websites and services can facilitate the reporting of hazards by employees and customers. Excel spreadsheets, Intranet- and Internet-based systems, and even Access databases can help with the tracking and resolution of hazards – ensuring a responsible party is identified and action is taken as required.