Safety Management System (SMS) Workshop• ODOT Central Office, May 7, 2019 Welcome and intro

Transit’s Safety Management System (SMS) – Overview ODOT SMS Workshop, May 7, 2019

Transit’s Safety Management System (SMS) Safety Management System (SMS) means the formal, top-down, organization-wide approach to managing safety risk and assuring the effectiveness of a transit agency’s safety risk mitigation. SMS includes systematic procedures, practices, and policies for managing risks and hazards. ODOT SMS Workshop, May 7, 2019

Safety Risk Management SMS Components Safety Management Policy Safety Risk Management Safety Assurance Safety Promotion ODOT SMS Workshop, May 7, 2019

SMS Components Safety Management Policy means a transit agency’s documented commitment to safety, which defines the transit agency’s safety objectives and the accountabilities and responsibilities of its employees in regard to safety. [673.23] ODOT SMS Workshop, May 7, 2019

SMS Components Safety Risk Management means a process within a transit agency’s Public Transportation Agency Safety Plan for identifying hazards and analyzing, assessing, and mitigating safety risk. [673.25] ODOT SMS Workshop, May 7, 2019

SMS Components Safety Assurance means processes within a transit agency’s Safety Management System that functions to ensure the implementation and effectiveness of safety risk mitigation, and to ensure that the transit agency meets or exceeds its safety objectives through the collection, analysis, and assessment of information. [673.27] ODOT SMS Workshop, May 7, 2019

SMS Components Safety Promotion means a combination of training and communication of safety information to support SMS as applied to the transit agency’s public transportation system. [673.29] ODOT SMS Workshop, May 7, 2019

Safety Performance in Transit ODOT SMS Workshop, May 7, 2019

Current approach has taken us as far as it can Change is Necessary Current approach has taken us as far as it can “If you keep doing what you’re doing…you’re going to keep getting what you got?” Yogi Berra ODOT SMS Workshop, May 7, 2019

What Started this Safety Program Change? May 8, 2009 MBTA collision of two Green line trains 68 injuries, $9.6M damage ODOT SMS Workshop, May 7, 2019

34 Days Later… June 22, 2009 WMATA collision of two Red line trains 9 fatalities, 52 injuries, $12M damage ODOT SMS Workshop, May 7, 2019

Need for Change July 18, 2009 SF Muni collision of L and K line trains 48 injuries, $4.5M damage ODOT SMS Workshop, May 7, 2019

A Safety Management System (SMS) ODOT SMS Workshop, May 7, 2019

Design, engineer and build the “perfect” system Historical Approach Design, engineer and build the “perfect” system Can prevention techniques stop all failures? Can human-made and operated systems be completely free of factors that could be detrimental to safety? ODOT SMS Workshop, May 7, 2019

Traditional Safety Thinking Identifies WHAT? WHO? HOW? But not always determines WHY? ODOT SMS Workshop, May 7, 2019

Need to examine safety concepts Expanding on the Why? Need to examine safety concepts Role of the organization Human Performance Practical Drift – the slow and inconspicuous, yet steady, uncoupling between written procedures and actual practices during provision of services. Responsibility of all, not just Safety ODOT SMS Workshop, May 7, 2019

We need to broaden our understanding of what causes accidents. Developing the SMS We need to broaden our understanding of what causes accidents. Accidents are not just caused by individuals We need to understand the transit agency’s role to correct system-wide deficiencies Safety is not the absence of accidents Safety is the presence of defenses (mitigations) So, our role is to… Keep failure from being successful ODOT SMS Workshop, May 7, 2019

Human activity is never free from risk. Key Take-Aways Human activity is never free from risk. “Human error” is the beginning of an investigation, not the end! Organizational failure should be considered for any incident. SMS evaluates processes to correct systematic deficiencies. ODOT SMS Workshop, May 7, 2019

Safety management Policy ODOT SMS Workshop, May 7, 2019

Safety Management Policy Safety Management Policy Statement – A transit agency must establish its organizational accountabilities and responsibilities and have a written statement of safety management policy that includes the agency’s safety objectives. [673.23(a)] ODOT SMS Workshop, May 7, 2019

Safety Management Policy Employee Safety Reporting Program – A transit agency must establish and implement a process that allows employees to report safety conditions to senior management, protections for employees who report safety conditions to senior management, and a description of employee behaviors that may result in disciplinary action. [673.23(b)] ODOT SMS Workshop, May 7, 2019

Safety Management Policy Safety Management Policy Communication – The safety management policy must be communicated throughout the agency’s organization. [673.23(c)] ODOT SMS Workshop, May 7, 2019

Safety Management Policy SMS Authorities, Accountabilities, and Responsibilities – The transit agency must establish the necessary authorities, accountabilities, and responsibilities for the management of safety amongst the following individuals within its organization as they relate to the development and management of the transit agency’s Safety Management System (SMS). [673.23(d)] ODOT SMS Workshop, May 7, 2019

Safety Management Policy Accountable Executive means a single, identifiable person who has ultimate responsibility for carrying out the Public Transportation Agency Safety Plan of a public transportation agency; responsibility for carrying out the agency’s Transit Asset Management Plan; and control or direction over the human and capital resources needed to develop and maintain both plans. ODOT SMS Workshop, May 7, 2019

Safety Management Policy The transit agency must identify an Accountable Executive. The Accountable Executive is accountable for ensuring that the agency’s SMS is effectively implemented throughout the agency’s public transportation system. The Accountable Executive is accountable for ensuring action is taken, as necessary, to address substandard performance in the agency’s SMS. The Accountable Executive may delegate specific responsibilities, but the ultimate accountability for the transit agency’s safety performance cannot be delegated and always rests with the Accountable Executive. [673.23(d)(1)] ODOT SMS Workshop, May 7, 2019

Safety Management Policy Chief Safety Officer means an adequately trained individual who has responsibility for safety and reports directly to a transit agency’s chief executive officer, general manager, president, or equivalent officer. A Chief Safety Officer may not serve in other operational or maintenance capacities, unless the Chief Safety Officer is employed by a transit agency that is a small public transportation provider as defined in this part, or a public transportation provider that does not operate a rail fixed guideway public transportation system. ODOT SMS Workshop, May 7, 2019

Safety Management Policy SMS Executive means a Chief Safety Officer or an equivalent. The Accountable Executive must designate a Chief Safety Officer or SMS Executive who has the authority and responsibility for day-to-day implementation and operation of an agency’s SMS. The Chief Safety Officer or SMS Executive must hold a direct line of reporting to the Accountable Executive. A transit agency may allow the Accountable Executive to also serve as the Chief Safety Officer or SMS Executive. [673.23(d)(2)] ODOT SMS Workshop, May 7, 2019

Safety Management Policy Agency Leadership and Executive Management A transit agency must identify those members of its leadership or executive management, other than an Accountable Executive, Chief Safety Officer, or SMS Executive, who have authorities or responsibilities for day-to-day implementation and operation of an agency’s SMS. [673.23(d)(3)] ODOT SMS Workshop, May 7, 2019

Safety Management Policy Key Staff A transit agency may designate key staff, groups of staff, or committees to support the Accountable Executive, Chief Safety Officer, or SMS Executive in developing, implementing, and operating the agency’s SMS. [673.23(d)(4)] ODOT SMS Workshop, May 7, 2019

Safety Risk Management (SRM) ODOT SMS Workshop, May 7, 2019

Safety Risk Management (SRM) A transit agency must develop and implement a Safety Risk Management process for all elements of its public transportation system. The Safety Risk Management process must be comprised of the following activities: safety hazard identification, safety risk assessment, and safety risk mitigation. [673.25(a)] ODOT SMS Workshop, May 7, 2019

Safety Risk Management (SRM) Safety Hazard Identification A transit agency must establish methods or processes to identify hazards and consequences of the hazards. [673.25(b)(1)] A transit agency must consider, as a source for hazard identification, data and information provided by an oversight authority and the FTA. [673.25(b)(2)] ODOT SMS Workshop, May 7, 2019

Safety Risk Management (SRM) Examples of Safety Hazard Identification Activities Safety data analysis Safety focus groups Reviews of safety reporting trends For smaller bus systems, it could mean holding a meeting with a few bus drivers and discussing hazards in the system. Nexus to Transit Asset Management (TAM) A transit agency should consider the results of its asset condition assessments when performing safety hazard identification activities through its SMS. ODOT SMS Workshop, May 7, 2019

Safety Risk Management (SRM) Safety Risk Assessment A transit agency must establish methods or processes to assess the safety risks associated with identified safety hazards. [673.25(c)(1)] A safety risk assessment includes an assessment of the likelihood and severity of the consequences of the hazards, including existing mitigations and prioritization of the hazards based on the safety risk. [673.25(c)(2)] ODOT SMS Workshop, May 7, 2019

Safety Risk Management (SRM) Hazards versus Consequences Hazard means any real or potential condition that can cause injury, illness or death; damage to or loss of the facilities, equipment, rolling stock, or infrastructure of a public transportation system; or damage to the environment. Hazards are conditions, while consequences are outcomes of what those conditions can cause. Transit agencies should assess the likelihood and severity of the consequences of a hazard, not of the hazard itself. ODOT SMS Workshop, May 7, 2019

Safety Risk Management (SRM) Safety Risk Mitigation A transit agency must establish methods or processes to identify mitigations or strategies necessary as a result of the agency’s safety risk assessment to reduce the likelihood and severity of the consequences. [673.25(d)] ODOT SMS Workshop, May 7, 2019

Safety Risk Management (SRM) Identify Hazards What Can Go Wrong? System Failures Procedural Failures Adverse Ambient Environment Lighting Thunderstorms Electro-Magnetic Effects Icing Adverse Operational Environment Traffic Density Communications Human Failures Analyze and Assess Risk How Big is the Risk? Severity Worst Credible Likelihood of Outcome Identify the Risk from the Risk Matrix Determine Risk Resolution Date Describe the System Treat the Risk How Can You Reduce the Risk? Avoid by eliminating the risk cause and consequences Control the causes of system states Transfer the risk Assume the risk level and continue current plan Write mitigation plan Implement Risk Management Strategy Does the Program Include Mitigation? Change requirements to include mitigation activity Change budget to include mitigation activity Change planning to include mitigation events Communicate changes to stakeholders Continuous Monitoring How are things going? Communicate Hazards and their risk to all stakeholders Review mitigation actions for compliance to plan regularly Assess effectiveness of mitigation strategies Watch for new hazards through safety data New or Modified System, Operation or Procedure Verify Strategy and Track Hazards with High or Medium Risk ODOT SMS Workshop, May 7, 2019

Safety Assurance ODOT SMS Workshop, May 7, 2019

Safety Assurance A transit agency must develop and implement a safety assurance process, consistent with this subpart. A rail fixed guideway public transportation system, and a recipient or subrecipient of Federal financial assistance under 49 U.S.C. Chapter 53 that operates more than one hundred vehicles in peak revenue service, must include in its safety assurance process each of the requirements in (b), (c), and (d) of this section. A small public transportation provider only must include in its safety assurance process the requirements in (b) of this section. [673.27(a)] ODOT SMS Workshop, May 7, 2019

Safety Performance Monitoring and Measurement Safety Assurance Safety Performance Monitoring and Measurement A transit agency must establish activities to: Monitor its system for compliance with, and sufficiency of, the agency’s procedures for operations and maintenance. Monitor its operations to identify any safety risk mitigations that may be ineffective, inappropriate, or were not implemented as intended. Conduct investigations of safety events to identify causal factors. Monitor information reported through any internal safety reporting programs. [673.27(b)] ODOT SMS Workshop, May 7, 2019

Measuring Safety Performance Safety Assurance Measuring Safety Performance To enable safety performance monitoring and measurement activities, a transit agency should establish safety performance indicators (SPIs) and safety performance targets (SPTs) based on its safety objectives. Safety Objective: Minimize passenger slip and fall events in buses. SPI: The number of passenger slip and fall events on a vehicle per [number] of vehicle revenue miles. SPT: Reduce the number of passenger slip and fall events on a vehicle by [percent] per [number] of vehicle revenue miles over the next [time period]. ODOT SMS Workshop, May 7, 2019

Safety Assurance Management of Change – Not required for small public transportation providers A transit agency must establish a process for identifying and assessing changes that may introduce new hazards or impact the transit agency’s safety performance. [673.27(c)(1)] If a transit agency determines that a change may impact its safety performance, then the transit agency must evaluate the proposed change through its Safety Risk Management process. [673.27(b)(2)] ODOT SMS Workshop, May 7, 2019

Safety Assurance Examples of Changes – changes with safety performance impacts can come from many sources and may include: Regulatory requirements Audit results City or regional planning Service environment New technology New processes or procedures Switching to new products (parts or chemicals) New employee contracts ODOT SMS Workshop, May 7, 2019

Safety Assurance Continuous Improvement – Not required for small public transportation providers A transit agency must establish a process to assess its safety performance. [673.27(d)(1)] If a transit agency identifies any deficiencies as a part of its safety performance assessment, then the transit agency must develop and carry out, under the direction of the Accountable Executive, a plan to address the identified safety deficiencies. [673.27(d)(2)] ODOT SMS Workshop, May 7, 2019

Safety Promotion ODOT SMS Workshop, May 7, 2019

Competencies and Training Safety Promotion Competencies and Training A transit agency must establish and implement a comprehensive safety training program for all agency employees and contractors directly responsible for safety in the agency’s public transportation system. The training program must include refresher training, as necessary. [673.29(a)] ODOT SMS Workshop, May 7, 2019

Training documentation may include: Safety Promotion Training documentation may include: Records of training needs analysis for curriculum development Curricula for initial and refresher training Training schedules and records of all completed training Procedures for revising training materials ODOT SMS Workshop, May 7, 2019

Safety Promotion Safety Communication A transit agency must communicate safety and safety performance information throughout the agency’s organization that, at a minimum, conveys information on hazards and safety risks relevant to employees’ roles and responsibilities and informs employees of safety actions taken in response to reports submitted through an employee safety reporting program. [673.29(b)] ODOT SMS Workshop, May 7, 2019

Documentation of safety communication may include details about: Safety Promotion Documentation of safety communication may include details about: Objectives of the communication Content Target audience Format Frequency of the communication Ways to ensure communication was understood. ODOT SMS Workshop, May 7, 2019

SMS Implementation ODOT SMS Workshop, May 7, 2019

Establish your SMS Implementation planning group How Do We get Started? Establish your SMS Implementation planning group FTA clearly focused on Safety Management Policy. There is a significant amount of guidance for the Safety Management Policy Statement. Define Accountable Executive, Chief Safety Officer (or SMS Executive), Agency Leadership and Executive Management, and Key Staff ODOT SMS Workshop, May 7, 2019

Collect safety performance history and work on establishing targets. How do we get Started? Define the Board of Directors or Equivalent Authority – communicate with the Board about the ASP and SMS. Build plans for establishing each SMS component, subcomponent, and expected activities. Develop a gap analysis, prioritize. Work with peer transit agencies and others who may be further along in the process of establishing their SMS. Collect safety performance history and work on establishing targets. ODOT SMS Workshop, May 7, 2019

SMS is a journey, not the destination! A Mature SMS has: Maturing the SMS SMS is a journey, not the destination! A Mature SMS has: Policies that are forward-thinking, achievable and consistent. Leaders that communicate clear and consistent direction, values, ethics, and culture. Competent employees that have knowledge, skills, and abilities needed to work safely. Actively involved employees in safety process development. Systematic implementation of processes to achieve safety objectives. ODOT SMS Workshop, May 7, 2019

Questions ? Last updated 8/4/2019 ODOT SMS Workshop, May 7, 2019