Transit Bus Safety Oversight ProgramFederal Transit Administration

Orientation SeminarApril 2, 2014

Presenter: Ream Lazaro

Seminar Agenda

• Welcome and Introductions

• FTA Bus Safety Program Background, Mission, & Elements

• MAP-21 and Safety Management System (SMS) Overview

• Voluntary Bus Safety Guidance Part I

• Voluntary Bus Safety Guidance Part II

• Demonstration of Bus Program website

• Closing Remarks

Slide 2

Seminar Overview

An effective mechanism to• Present background of Bus Safety Oversight Program

• Explain Safety Management System (SMS) objectives

• Provide SMS based safety guidance­ address needs of transit bus agencies regardless of size, level of

funding, or service characteristics

• Demonstrate and stimulate use of Bus Safety Program website

• Presents opportunity for face-to-face dialog on safety challenges

Slide 3

Bus Safety Oversight Program Overview

Slide 4

Bus Program Background

• Voluntary oversight program• Developed in collaboration with

industry partners• Objective – improve safety for passengers,

employees, and all that share roadways with transit buses

• Initial focus on small urban and rural bus transit systems

• Now includes large urban bus transit systems and bus rapid transit (BRT)

Slide 5

Bus Program Origins

• NTSB recommendations­ NTSB investigations determined

there were substantial safety deficiencies and insufficient oversight in bus transit industry

­ Issued recommendations in 1998 to encourage creation of safety standards and practices

­ FTA responded with “Model Program”

Slide 6

Bus Program Partners

• MOU signed by Bus Program Partners in 2003­ Federal Transit Administration (FTA)­ American Assoc. of State Highway and Transportation

Officials (AASHTO)­ American Public Transportation Assoc. (APTA)­ Community Transportation Assoc. of America (CTAA)

• MOU defined core and enhanced elements of “model program”

Slide 7

Major Bus Program Elements

• Resource website

• Voluntary onsite reviews

• Orientation seminars

• Ongoing outreach

Slide 8

Voluntary Onsite

Reviews

State DOT Orientation

Seminars

Bus Safety Program Website

Industry Coordination

and Outreach

Resource Website

• Library of 1300 resources

• Self-assessment tool– Helps transit agencies identify safety gaps

• Case studies– Support emergency planning and decision-

making

• Safety news and events

• Registering gets you more

• Currently in redesign– E-learning modules

Slide 9

http://bussafety.fta.dot.gov/

Voluntary Onsite Reviews

• Scheduled by requests from transit agencies, state DOTs, FTA regions

• Onsite for 1 – 3 days

• Voluntary in nature and designed to provide safety guidance

• Post site visit report and technical assistance safety materials

­ Also shared with key FTA regional or DOT stakeholders

Slide 10

Orientation Seminars

• Co-sponsored by state DOTs / state transit associations

• Publicizes Bus Program / encourages attendees to use Program resources

• Provides safety training, guidance, technical assistance

• Demonstrates Bus Program website

• Allows dialogue on transit safety needs

Slide 11

Program Outreach

• Initiatives include:­ Presentations

o CTAA EXPOso FTA regional conferenceso National Rural

Conferenceso MTAP/SCOPT annual

meetingso Tribal transit conferenceso State transit association

conferences

­ Blast emails­ Panels at conferences­ Outreach to transit

associations

Slide 12

Beneficiaries of FTA Bus Safety ProgramIndividual transit agencies

• Program provides mechanism to:– evaluate current safety activities– Identify strengths / needs– assist in SMS implementation

Transit employees• Resources to enhance individual technical skill sets and safety

professionalism

Transit passengers• Assists in decreasing operational safety risks to passengers

Communities transit serves• Emphasizes importance of transportation readiness to respond to

community emergencies; provides tools for carrying out response

Slide 13

Beneficiaries of FTA Bus Safety Program

FTA and US Dept. of Transportation• Meets NTSB recommendations • Encourages achieving safety excellence within SMS guidelines

Department of Homeland Security (DHS) and other Federal agencies

• Mechanism for FTA to partner with other federal agencies

State DOTs• Provides guidance/support on SMS implementation

Transit associations• Template for designing safety conference / workshop presentations

and technical assistance activities

Slide 14

MAP-21 and SMS

Slide 15

MAP-21• Moving Ahead for Progress in the 21st Century Act signed

into law July 2012

• Includes Section 5329 – Public Transportation Safety Program

• Creates a national safety program₋ National Safety Plan₋ Transit Agency Safety Plan₋ Safety Certification Training Program₋ State Safety Oversight (SSO) Program (rail)

Slide 16

The National Safety Program

National Safety Plan49 U.S.C. 5329(b)

• Establishes SMS as foundation for FTA’s safety regulatory framework

• Includes the definition of State of Good Repair and safety performance criteria

Transit Agency Safety Plan

49 U.S.C 5329(d)

• Introduces SMS into practice

• Provides agencies with authority to set performance targets for safety and SGR based on requirements set out in the National Safety Plan

Safety Certification Training Program49 U.S.C. 5329(c)

• Introduces SMS concepts

• Improves technical competencies of safety oversight professionals

The National Safety Program includes four distinct components, three of which are:

Slide 17

National Safety Plan• At a minimum, the National Safety Plan will include:– Safety performance criteria– Definition of State of Good Repair– A public transportation safety certification program– Minimum vehicle standards

• Data analysis will be used to identify national trends that suggest: – gaps in safety performance – common hazards– leading practices for risk control

Slide 18

Safety Performance Criteria

• FTA will set safety performance criteria for all modes• Criteria will support analysis and risk evaluation• As a result, transit agencies will become more

proactive in safety risk management

Slide 19

Minimum Vehicle Safety Standards

• FTA’s priority is to issue a proposed rule to establish a bus testing pass/fail standard – Rule will determine usage of FTA funds for bus purchase

• Performance standards define an end result, but allow flexibility on how that result is achieved – Congress did not intend FTA to replicate a regulatory model,

with highly prescriptive regulations – FTA will consider leading industry practices and National

Transit – Safety Board (NTSB) recommendations

Slide 20

Transit Agency Safety Plan

• The Transit Agency Safety Plan will demonstrate: – Compliance with the National Safety Plan

– Implementation of SMS; scalable and flexible

• Agencies must establish and certify this comprehensive plan within a year of the final rule

• States may draft and certify Agency Safety Plans for rural areas and for small public transportation providers in urban areas

Slide 21

Safety Certification Training Program

• The Safety Certification Training Program focuses on: – Competencies and training outcomes – Certification training for those responsible for the

safety oversight of rail transit, as an initial effort • Interim Provisions will soon be published in

Federal Register

Slide 22

Safety Management Systems (SMS)

• Published policy to adopt SMS in May 2013

– Essential building blocks of a successful SMS already exist

– Each transit agency to develop processes to implement SMS

• Safety Management System is:

– Scalable and flexible to support transit systems of all sizes

– Proactive method for managing system safety

– A way to ensure data-driven safety decision making

– Focused on the overall safety performance, not compliance with regulation and requirements

Slide 23

SMS Framework

1. Safety Management Policy

2. Safety Risk Management

3. Safety Assurance

4. Safety Promotion

Slide 24

Safety Management Policy

• Accountable Executive• Roles and responsibilities• Management commitment• Integration with existing programs• Documentation

Slide 25

Safety Risk Management

• Hazard identification and analysis• Risk assessment and mitigation

Slide 26

Safety Assurance

• Safety performance monitoring• Management of change• Continuous SMS improvement

Slide 27

Safety Promotion

• Competencies and training• Safety communication

Slide 28

SMS Summary

• SMS is scalable and flexible and recognizes that one size does not fit all

• All transit agencies, regardless of mode, size or operating characteristics will be required to develop Transit Agency Safety Plans

• States may help develop and certify Transit Agency Safety Plans for Small Providers

• FTA is developing bus testing pass/fail standards Slide 29

4 questions that SMS will facilitate answering

• What is most likely to be the cause of your next accident or serious incident?

• How do you know that?• What are you doing about it?• Is it working?

Slide 30

The Bus Program and MAP-21

• Bus Program enters into transition period

• Moving from totally voluntary guidance and technical assistance program to include safety oversight

• Provide information on and guide transit industry through SMS implementation process

• Continue orientation seminars / presentations

• Continue onsite safety reviews

• Redesigned website

Slide 31

Voluntary Safety Guidance

Slide 32

Voluntary Guidance Elements

1. Safety Program Management

2. Operations Management

3. Maintenance Management

4. Human Resource Management

5. Public Safety Management

6. Emergency Response Management

7. Safety Hazard Management

8. Safety Performance Management

Slide 33

1. Safety Management

A. Management Commitment and Responsibility

B. Safety Leadership Accountability

C. Key Safety Personnel

D. Safety Culture

E. Safety Plan and Safety Documentation

Slide 34

1A - Management Commitment and Responsibility

• Safety policy

• Safety objectives

• Communication of safety objectives

• Commitment of resources to mitigate hazards

Slide 35

1B - Safety Leadership Accountability

• CEO safety accountability

• Safety as top priority

• Management roles and responsibilities

• Chain of command

• Reporting of safety issues

Slide 36

1C - Key Safety Personnel

Individual responsible for safety / Safety Officer

− Reports directly to CEO− Qualified / trained for job− Advises staff on safety

issues− Promotes safety awareness− Oversees accident / incident

handling and investigation− Develops safety reports

− Makes preventable / non-preventable determinations

− Manages hazard identification / mitigation process

− Identifies safety training requirements

− Holds safety meetings and briefings

− Documents / analyzes safety data for trends

Slide 37

1D - Safety Culture

• Employee orientations on safety responsibilities

• Safety incentive or award programs

• Safety information dissemination

• Employee input on safety concerns

• Transit “just culture” and non-punitive reporting

Slide 38

1E - Safety Plan and Safety Documentation

• Safety Plan consistent with Safety Policy– Authorized by oversight authority and transit CEO– States agency’s safety mission, values, goals– States employee safety responsibilities

/accountabilities– Addresses coordination with security & emergency

preparedness plans– Communicated to employees– Reviewed annually

Slide 39

1E - Safety Plan and Safety Documentation

Safety Plan should address:

• Safe delivery of transit services

• Transit vehicle maintenance requirements

• Transit facility maintenance requirements

• Safety data acquisition & analysis

• Safety hazard identification, reporting, analysis, mitigation

• Accident & incident emergency response

• Accident & incident investigation

• Change management / system modification

• Safety related training• Safety related

communication• Employee safety

performance monitoringSlide 40

2. Operations Management

A. Service design

B. Service delivery

C. Customer service

D. Vehicle size & configuration

E. Vehicle inspection

F. Onboard safety equipment

Slide 41

2A - Service Design

• Fixed route evaluations

• Bus stop safety evaluations

• Evaluation of demand response / paratransit pick-up and drop-off times

• Operator / driver relief time

Slide 42

2B - Service Delivery

• Radio coverage within service area

• Radio protocol

• Child safety seats

• Transporting unaccompanied children

Slide 43

2C - Customer Service

• Passenger assistance policy

• Customer service policy includes– restrictions on carry-on items– restrictions on onboard activities– right to refuse service based on

unsafe behavior

Slide 44

2D - Vehicle Size & Configuration

• Vehicle procurement

­ Consider safety records of vehicle prototypes­ Consider safety related vehicle configuration /

specification issues• seating configuration• lift placement• exit points• fire suppression systems

Slide 45

2E - Vehicle Inspection

• Pre- and post-trip vehicle inspections­ formal policy ­ standardized form­ time allotted

Slide 46

2F - Onboard Safety Equipment

• Fire extinguisher

• First aid kit

• Biohazard kit

• Web cutter

• Reflective triangles

• Flashlight

• Reflective vest

• Listed on pre-trip form

Slide 47

3. Maintenance Management

A. Vehicle maintenance planning

B. Vehicle preventive & corrective maintenance

C. Alternative fuel vehicles

D. Maintenance shop safety

E. Facility maintenance

F. Hazardous materials

Slide 48

3A – Vehicle Maintenance Planning

• Formal maintenance plan

• Manufacturers warranty requirements

• Preventative maintenance scheduling / tracking

Slide 49

3B – Vehicle Preventive / Corrective Maintenance

• Preventive maintenance checklists

• Vehicle defect documentation

• Wheelchair lift maintenance

• Individual vehicle maintenance files

• Inspect vehicles after outsourced maintenance

Slide 50

3C – Alternative Fuel Vehicles

• Training − standard operating procedures− emergency procedures

• Onsite fuel storage and delivery system design meets all codes / regulations

Slide 51

3D – Maintenance Shop Safety

• Shop safety program

• Pit protection

• Lifts / jacks standards

• Non-walk areas clearly marked

• Shop safety equipment– Safety goggles– Eye wash stations– First aid kits– Biohazard kits– Fire extinguishers

Slide 52

3E – Facility Maintenance

• Formal maintenance plan

• Evacuation plans posted

• Exists marked

• Facility maintenance activities documented

• Onsite underground fuel storage tanks − compliance with regulations

Slide 53

3F – Hazardous Materials

• Hazardous material management program policy

• Storage / disposal of hazardous waste

• Employee hazard communication and training

• Emergency spill response procedures

• Material Safety Data Sheets (MSDS)

Slide 54

4. Human Resource Management

A. Safety related personnel management

B. Safety training management

C. Bus operator/driver training

D. Supervisor / dispatcher training

E. Vehicle / facility maintenance training

F. Safety communication and reporting

Slide 55

4A – Safety Related Personnel Management

• Employment history and reference checks

• Criminal background checks

• Driver license checks

• CDL requirements

• Medical examinations− at hire− periodically− based on fitness for duty

• Drug & alcohol program reviews

• Employee access to counseling

• Workplace violence training

• Bio-hazard exposure control plan

• Cell phone policy

Slide 56

4B – Safety Training Management

• Needs analysis

• Job specific safety training plans

• Train-the-trainer instruction

• Monitor trainer skills

• Document classroom and OJT training

• Periodically evaluate safety-training initiatives

Slide 57

4C – Bus Operator / Driver Training

• Defensive driving• Passenger assistance

and securement• On-vehicle emergency

response• Vehicle inspection

• Hazardous driving conditions

• Radio communication• Hands-on vehicle

orientations• Refresher training /

re-training

Slide 58

4D – Supervisor / Dispatcher Training

• Dispatchers

− scheduling /dispatching standard operating procedures

− on-vehicle emergency response procedures

• Supervisors

− standard operating procedures

− on-vehicle / facility emergency response procedures

− accident / incident handling and investigation

− performing formal safety performance evaluations

− providing coaching, counseling, discipline

Slide 59

4E – Vehicle / Facility Maintenance Training

• Vehicle preventive maintenance

• Vehicle defect/corrective maintenance

• Safe use of tools and equipment

• Shop safety practices

• Facility maintenance

Slide 60

4F – Safety Communication and Reporting

• Safety meetings− communicate safety issues/concerns− elicit employee feedback on unsafe conditions

• Non-punitive employee safety reporting

• Safety related communications− convey relevant safety information − explain reason for particular safety actions− explain reasons for new/changed safety procedures

Slide 61

5. Public Safety Management

A. Public safety planning

B. Assaults

C. Revenue security

D. Facility security

E. Response to suspicious or dangerous behavior

Slide 62

5A – Public Safety Planning

• Formal security plan

• Threat & vulnerability assessment (TVA)

• Critical asset analysis

• Share TVA information with emergency management / first responders

Slide 63

5B – Assaults

• Strategies for reducing vulnerability to assaults for:­ bus operators / drivers

­ passengers

• Strategies for reducing risk of assaults at transit facilities / bus stops

Slide 64

5C – Revenue Security

• Protocols for managing and securing fare revenue­ handling­ counting ­ transferring

Slide 65

5D – Facility Security

• Controlled access

• Surveillance equipment

• Transit vehicle storage area

• Employee ID badges

• Bomb threat protocols and checklist

• Suspicious mail protocols

Slide 66

5E – Response to Suspicious/Dangerous Behavior

• Employee orientations on recognition, reaction, and reporting

• Active shooter protocols

• IED protocols

• Driver/operator emergency code

Slide 67

6. Emergency Response Management

A. External emergency preparedness

B. Emergency response

C. Recovery

Slide 68

6A – External Emergency Preparedness

• Working relationship with Emergency Management

• Local emergency planning committee (LEPC) meetings

• Transit role in Emergency Operations Plan (EOP)

• Transit internal emergency preparedness procedures

• Essential transit staff policy

• Continuity of Operations Plan (COOP)

Slide 69

6A – External Emergency Preparedness

• Contractor’s role

• Location of individuals requiring transportation assistance

• Fuel / essential materials access

• Transit employee relief and backup for surge capacity

• Community emergency drills, simulations, exercises

Slide 70

6B – Emergency Response

• Employee notification protocol− emergency call down lists

• Emergency shut down and start up procedures

• Strategies to communicate with customers / community

• Back up power source

• Pet transport policy

Slide 71

6B – Emergency Response

• Emergency information dissemination policy

• National Incident Management System certification

• Relationship with law enforcement / fire

• Interoperable communication equipment

• First responders / local law enforcement trained on transit vehicle prototypes

Slide 72

6C – Recovery

• Sustaining essential life supporting transit services

• Safe re-entry of individuals with access/functional needs

• Employee post-crisis counseling

• Recordkeeping for reimbursement of transit services

• Transit vehicle insurance coverageduring community emergency response

Slide 73

7. Safety Hazard Management

A. Safety hazard identification

B. Safety risk assessment

C. Safety risk mitigation

D. Accident / incident reporting

E. Accident / incident investigation

F. Managing human error

G. Fatigue management

Slide 74

7A – Safety Hazard Identification

• Documenting safety related customer complaints

• Safety committee input and recommendations for controls

• Safety hazard and trending analysis of accident / incident data

• Near miss reporting and analysis− accidents / incidents− security information

Slide 75

7B – Safety Risk Assessment

• Evaluation of safety hazards based on probability / severity

• Prioritization of safety hazards based on probability / severity

• Documenting hazard identification / analysis information

Slide 76

7C – Safety Risk Mitigation

• Acceptable vs unacceptable level of risk

• Risk mitigation strategies

• Risk avoidance, transfer, control

• Monitoring risk mitigation effectiveness

Slide 77

7D – Accident / Incident Reporting

• Formal reporting protocols

• Specific forms for documenting accidents / incidents

Slide 78

7E – Accident / Incident Investigation

• Formal investigation protocols

• Forms / checklists to document investigations

• Managers / Supervisors trained

• Identify and address contributing and causal factors

Slide 79

7F – Managing Human Error

• Error management strategies

• Intentional vs unintentional safety violations

• Contributing factors to safety violations­ poor safety planning ­ insufficient allocation of resources

• Non-technical skill training ­ decision making ­ communication­ interaction

Slide 80

7G – Fatigue Management

• Operator/driver on-duty and behind-the-wheel hours­ tracked / documented ­ limits to mitigate safety risk

• Operator/ driver outside employment

• Fatigue management training

Slide 81

8. Safety Performance Management

A. Safety performance monitoring

B. Safety performance measurement

C. Internal emergency response procedures

D. Change management

E. Safety audits / reviews

F. Corrective action plans

G. Contractor safety

Slide 82

8A – Safety Performance Monitoring

• Supervisors monitor − pre-trip inspection performance− behind-the-wheel and passenger assistance performance− quality of preventive & corrective maintenance activities

• Dispatcher and/or supervisor on duty all service hours

• Set individual safety performance goals and objectives

• Formal employee performance appraisal process – includes safety related issues

Slide 83

8B – Safety Performance Measurement

• Establish agency safety performance targets and timeline

• Safety measurement tools to monitor safety performance

• Safety performance data collection and analysis• Report data to external stakeholders• Determine gap causes

− internal or external factors

• Safety performance results integrated into organizational decision making processes

Slide 84

8C – Internal Emergency Response Procedures

• Formal protocols for− Transit vehicle accidents− Transit vehicle fires− Employee injuries− Passenger falls / injuries− Transit facility fires− Transit HAZMAT release− Pedestrian strikes− Dangerous passengers− Dangerous items

• Handbooks− Operator/driver − Dispatcher − Manager/supervisor

• Internal emergency response exercises

Slide 85

8D – Change Management

• Documented change management processes

• Strategies to reduce safety risk associated with changes

• Agency / employee safety performance monitored after changes

Slide 86

8E – Safety Audits / Reviews

• Safety audits / reviews conducted of:− transit operations− vehicle maintenance activities− transit facilities− facility maintenance activities

• Management safety reviews to ensure:− agency core safety objectives are met− safety performance monitored against objectives− timely addressing of identified safety hazards

• Other reviews as needed

Slide 87

8F – Corrective Action Plans

• Formal safety corrective action plans− to reduce likelihood of

future accident/incidents− to limit consequences of

contributing factors

• Immediate corrective actions after accidents, incidents, near misses

• Monitor effectiveness of actions taken

Slide 88

8G – Contractor Safety

• Evaluate previous safety performance before procuring services

• Ensure contractors:− hold all appropriate qualifications and credentials− demonstrate ability to provide trained/competent employees− have compliant drug & alcohol program

• Ensure written contract:− clearly specifies safety standards− details how noted safety hazards/deficiencies will be addressed

• Including timeframe and penalties

• Periodically audit contractor safety performance

Slide 89

FTA Bus Safety Oversight Program Website

Slide 90

Resource Website Demonstration

Slide 91

http://bussafety.fta.dot.gov/