APTA Safety Management
Systems
Safety Mid Year Meeting December 2012
Linda Meadow Davis
Linda@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
 Rail
 Light rail
 Heavy rail
 Streetcar
 Commuter rail
 High speed rail
 Monorail
 Bus
 Bus
 Demand Response
 Commuter Bus
 Bus Rapid Transit
 Ferry
 Water Taxi
 Automated Guideways,
Ropeways & People Movers
 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 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
SMS Elements
The 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 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
SMS Elements
 FAA SMS and ANSI Z 10:





Safety Management System Overview
Safety Policy
Safety Risk Management
Safety Assurance
Safety 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 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
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 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
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
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 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/vehiclemiles traveled
 Injury accidents per million passenger-miles/vehiclemiles traveled
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
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)
Other
 Maintenance
 Percent of preventive maintenance inspections completed
within 10% of scheduled mileage
 Miles between traffic accidents
 Accidents per 100,000 vehicle-hours
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