1. APTA Safety Management Systems
Safety Mid Year Meeting December 2012
Linda Meadow Davis

2. 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

3. SMS Public Transportation Systems
Rail
Light rail
Heavy rail
Streetcar
Commuter rail
High speed rail
Monorail
Automated Guideways, Ropeways & People Movers
Bus
Demand Response
Commuter Bus
Bus Rapid Transit
Ferry
Water Taxi
Funicular & Inclined Planes

4. 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

5. 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

6. 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 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

7. SMS Elements US 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

8. SMS Elements The National Safety Council Policy on SMS
9 elements - 3 performance areas:
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
Cultural - Behavioral
Worker and Management involvement
Motivation, behavior and attitudes
Training and orientation

9. SMS Elements FTA 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

10. SMS Elements FAA SMS and ANSI Z 10: Safety Management System Overview
Safety Policy
Safety Risk Management
Safety Assurance
Safety Promotion

11. SMS Elements
ILO concept

12. SMS Elements
UK ORR concept

13. SMS Elements
TRACS concept

14. 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

15. 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

16. 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

17. 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

18. 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.

19. 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

20. 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

21. Performance Metrics
Number: 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

22. 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

23. Leading Indicators
Input based measures with a relationship to an end product or goal
Measure and track performance before a problem occurs
Running red signals
No stop at broken gates
Doors open on the wrong side
Railway worker protection violation
Use of cell phones while operating vehicles or machinery
Complaints per 100,000 passengers

24. Lagging Indicators
Outcome based measures that are directly related to an end product or goal
Measure performance against prior goals
Number of preventable accidents per 100,000 miles
Number and type of pedestrian and motorist fatalities at grade crossings per month
Number of broken mirrors on buses

25. 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

26. Passenger Safety
Number 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

27. Workplace Safety
Employee 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

28. 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

29. 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)

30. Other Maintenance Miles between traffic accidents
Percent of preventive maintenance inspections completed within 10% of scheduled mileage
Miles between traffic accidents
Accidents per 100,000 vehicle-hours

31. Passenger Security Number of crimes committed on transit property
Crime rate
Level of security provided
Ratio of transit police officers to transit vehicles
Number (percent) of vehicles with specified safety devices
Customer perceptions of safety and security of the transit system
Customer satisfaction
Incidents of vandalism