Biennial State Program Meeting FTA Safety Update August 12-13, 2015

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1 Biennial State Program Meeting FTA Safety Update August 12-13, 2015

2 Lynn Everett FTA Safety Policy Analyst August 12-13, 2015

3 FTA s Safety Program Update MAP-21 Implementation Progress Safety Management Systems Why Data Analysis is Important

4 Safety Regulatory Authority FTA has or will issue four separate NPRMs and a guidance document to implement the requirements of MAP-21: Public Transportation Safety Program Public Transportation Agency Safety Plan Public Transportation Safety Certification Training Program State Safety Oversight (SSO) Program

5 Safety Management Systems (SMS) Provides context for FTA s safety rulemaking activities Creates clear accountability and from the top policy for approaching safety performance Establishes a well thought-out process for assessing safety risk, managing the risk and monitoring outcomes Builds a communication network around safety that includes training, outreach, and shared experiences SMS is a systematic approach to improving safety outcomes

6 SMS answers these critical questions SMS provides the process to assist a transit agency to answer the following five fundamental questions: 1. What will likely be the cause of the transit agency s next accident? 2. How does the transit agency know the likely cause of the next accident? 3. What is the transit agency doing to mitigate the risk? 4. Is the strategy or action working? 5. How do you know it is working?

7 Safety Management Systems (SMS) Requires Senior Leadership commitment Establishes accountabilities throughout the organization Requires building trust at all levels Scalable to work for agencies of all sizes What it is NOT A quick fix to ongoing issues A completely new concept - in place for a number of years in multiple industries

8 Organizational Accidents Safety Breakdown Hazards Some holes due to latent conditions Some holes due to active failures

9 How Does SMS Work? Establishing clear accountabilities and communication processes for collecting, analyzing and sharing information about safety that will be used to: Identify hazards Assess consequences of those hazards Assess risk (severity and likelihood) Determine mitigations Assess performance of the mitigations

10 How Will We Know? Measuring performance is the cornerstone upon which improvements can be determined Data analysis is the key to determining if safety mitigations are working, if investments in safety outcomes are effective. Leads to asking the question Why? What can we do to effectively change the outcome?

11 Data Analysis Is ongoing Is essential Is the most quantifiable part of SMS Helps prioritize and assess investments in safety improvements

12 Why is This Important? States have a significant role in facilitating and coordinating transit safety planning and investment SMS is the framework for everyone to improve safety outcomes States have enhanced responsibility in overseeing transit agency safety performance Performance management is understanding the safety performance indicators and asking Why? Most importantly, it s about connecting the Why? to What are you doing to improve?

13 Questions? FTA Office of Safety & Oversight Lynn Everett, Policy Analyst Phone: (202) Website:

14 Dakisha Spratling

15 MAP-21: Public Transportation Safety Certification Training Program FTA must establish a public transportation safety certification training program for: Federal and State designate personnel, who conduct safety audits and examinations of public transportation systems (required) Designated employees of rail transit systems subject to Part 659 who are directly responsible for safety oversight (required) Personnel employed by recipients (includes State DOTs) who are directly responsible for safety oversight at non-rail transit systems (voluntary) 15

16 MAP-21: Public Transportation Safety Certification Training Program Also required FTA to: Establish Interim Provisions for the certification and training of the personnel described in the previous slide. The Interim Provisions became effective on May 28, Link to Federal Register Notice:

17 Overview of Interim Provisions for Covered and Designated Personnel A required training curriculum that includes: Courses promoting the adoption of Safety Management System (SMS) Courses that meet TSI s Transit Safety and Security Program (TSSP) Certificate Note: Currently nearly 80% of SSOA Primary Contacts have their TSSP Certificate A required technical training program component (for Feds, SSOAs and their contractors only)

18 The Interim Provision Courses SMS Awareness E-Learning course SMS Safety Assurance E-Learning course SMS Principles for TSSP Certificate Bridge course E-Learning course SMS Principles for Transit SMS Principles for State Safety Oversight Transit Rail System Safety - TSSP Effectively Managing Transit Emergencies - TSSP Transit System Security - TSSP Transit Rail Incident Investigation - TSSP

19 What Do Covered Personnel Need to Do? Register with FTA s Safety Resource and Training website at Request an ITP Register for courses With TSI for TSSP courses E-Learning Request equivalencies for courses as applicable

20 Technical Training Plan (TTP) An SSOA develops and submits its TTP to FTA Each agency (not each individual) will have to account for and demonstrate the competencies This is the beginning, not ending, of the conversation FTA and each SSOA will work together to review the TTP and each iteration as it s updated

21 Meeting the Technical Competencies the who SSOAs can use a variety of options to meet technical competencies It s own staff Qualified staff from other agency departments (e.g., FRA State Participation Program) Contractors The list of competencies can be found in the Federal Register Notice at the following URL:

22 Meeting the Technical Competencies the what Because rail transit systems can vary greatly, FTA prefers the use of rail transit agency training, however, it is up to each SSOA to establish its means to address competency areas SSOAs can address each competency area through (or a combination of): Rail system training Equivalencies Experience/existing qualifications and/or certifications E.g., the FRA Certified Track Inspector Contractors SSOAs must just ensure contractor is qualified to address competency area Each SSOA develops a single Technical Training Plan (TTP)

23 Upload a Technical Training Plan Available to agency point of contact (e.g. SSOA Program Manager) Upload the TTP to TSO Safety and Resource Training website Once approved, TTP appears on Training Dashboard for all agency users Agency point of contact can update TTP

24 Questions??

25 Questions and Follow Up For program questions or comments, please contact Ruth Lyons at: / For Legal questions or comments, please contact Bruce Walker at: / Link to Federal Register Notice:

26 Iyon Rosario FTA Drug and Alcohol Program Manager August 12-13, 2015

27 Drug and Alcohol Program Background 49 CFR Part 655 (Prevention of Alcohol Misuse and Prohibited Drug Use in Transit Operations) Drug and alcohol testing regulation for approximately 3500 employers (urban grantees, states and their non-urban sub-recipients and contractors) Drug and alcohol testing impacts 290,765 employees in transit 27

28 Drug and Alcohol Program Grantee Compliance Audits audits/year (~6 state audits) 90-day response period Clandestine Collection Site Inspections Approximately 120 inspections/year Prescription/Over-the-Counter Guidance Tools D&A MIS 100% response requirement Due March 15 of each calendar year Annual D&A Program National Conference and Trainings

29 D&A Recent Events eccf, OMB approved the 2014 use of an electronic form of the Federal Custody and Control Form State Medical/Recreational Marijuana Laws FTA , Policy builder at uilder/createpolicy.aspx HHS issued two Notices for Comments Urine Mandatory Guidelines and Oral Fluids Testing

30 State Program Preparedness Be cognizant of recent and upcoming changes Part 655 Part 40 DHHS/SAHMSA Have a monitoring/management plan in place Ensure, at a minimum, sub-recipients have solid FTA testing policies Identify and take advantage of FTA, state, and industry resources

31 State Management Models Procurement, Management, and Maintenance of Consortium/Third- Party Administrator contract Connecticut New Mexico Florida RTAP/State/other Association Arkansas On-demand assistance/continual oversight Minnesota Most states provide technical assistance and some monitoring; some states only provide MIS certification

32 Resources DOT Office of Drug & Alcohol Policy & Compliance (ODAPC) Phone: (202) FTA Office of Safety & Oversight Acting, DAPM: Iyon Rosario Phone: (202) FTA DAMIS and D&A Hotline (617)

33 Questions??

34 Bus Safety and Security Program Overview Joseph W. Powell

35 Bus Safety & Security Program Overview Joseph W. Powell

36 Bus Program Background 1998 NTSB investigation report 2003 MOU AASHTO, CTAA, APTA 2008 Roadmap to Excellence

37 Bus Program Features Voluntary Onsite Reviews + SMS Gap Analysis State DOT Orientation Seminars Web-base resources Voluntary Onsite Reviews State DOT Orientation Seminars Presentations and Outreach Bus Safety Program Website Industry Coordination and Outreach

38 Key Principles Coordination and Partnership Lessons learned Voluntary Participation One Size does NOT fit all Collaboration to ensure sharing of practical and effective technical assistance Communication and Outreach

39 Voluntary Onsite Bus Reviews Includes an SMS Gap Analysis Coordinated with the State DOT Collaborative 3-5 days on-site

40 State DOT Orientation Seminars State DOT and FTA regional office participation Attendees represent small urban 5307, rural 5311, and 5310 transit agencies Provide voluntary safety guidance and technical assistance on SMS implementation Provide take away materials and information

41 Web-Based Resources Resource Library Industry events Case studies

42 Presentations MOU Partner coordination Rulemaking Timeline SMS awareness Self-promotion

Guide to Meeting FTA s Technical Training Plan Requirements. June 10, 2015

Guide to Meeting FTA s Technical Training Plan Requirements June 10, 2015 Agenda # Topic Presenter Time 1. Opening Remarks Ruth Lyons 11:30 AM 2. Introduction & Overview Ruth Lyons 11:35 AM 3. Demo Register