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B-1 Interview Script Description of Nonpunitive Reporting System 1. Please describe your agencyâs nonpunitive reporting system, including the method(s) by which reporting can occur. 2. How long has your system been in place? Has the level of reporting increased as the system matured? 3. Do you use a third party to manage the system and collect data? 4. Describe the role of your labor union in the development and implementation of the system. 5. How do you define the areas of risk, including near misses or close calls that may be/could be reported? 6. Do you limit what can/should be reported or do you take any input related to areas of risk/ risky behaviors or other elements that introduce hazards in the system? 7. Can nonagency employees, including contractors or the general public, report areas of risk? 8. How do they report? 9. Is reporting considered confidential? If yes, please define confidential reporting as reflected in your policies. 10. Can safety reports be made anonymously? 11. Have you encountered any circumstances where safety reporting system data were requested through the legal discovery process or via an open records requests? Stakeholder Input During the Design and Implementation Phases 1. Describe the role of your collective bargaining unit or transit agency personnel in the original design and implementation phases of your system. 2. Do you use employee surveys in an effort to improve the effectiveness of the system? 3. Have you used surveys or other methods to determine the overall acceptance of the program by your employees? If so, is the reporting system favorably viewed? Training 1. Describe the training provided to transit agency personnel for reporting. 2. Do supervisors and frontline employees receive the same training, or is training tailored by employment position? 3. Do you provide any training to others, in addition to agency personnel (e.g., contractors)? A P P E N D I X B
B-2 Characteristics and Elements of Nonpunitive Employee Safety Reporting Systems for Public Transportation Policies and/or Procedures Established by the Transit Agency 1. What policies and/or procedures have been established that address reporting, follow-up, data collection, punitive policies, areas of immediate safety risks, etc.? 2. Do your policies include a distinction between what is reportable through nonpunitive reporting and what are considered negligent or illegal actions requiring discipline (e.g., alcohol consumption prior to shift)? 3. May the research team have a copy of any related policies and/or procedures? Reporting Practices 1. How do transit employees, contractors, and the general public (as applicable) report areas of risk, including near misses and close calls? 2. How are agency leaders (operations, maintenance, safety, human resources, agency manage- ment) notified that a report has been made? 3. Who has access to the reports that have been submitted? 4. Who is responsible for reviewing and taking action based on the information provided? 5. After a report has been made, what are the steps that follow? 6. Is there a preestablished review team, inclusive of all departments (i.e., planning, main- tenance, etc.), that reviews the data? State or Local Guidance or Regulations Related to Nonpunitive Safety Reporting 1. Are there any recommended practices, guidance documents, laws, or regulations that you have used in the development, establishment, and management of your reporting system? 2. Do you have any state or local regulations/laws that limit what can be requested through an open records request? 3. Are you familiar with, and have you used as a resource, FTAâs ongoing SMS Pilot Program in the development, implementation, and management of your system? 4. What specific policies, procedures, or practices did you adopt that are being used by FTAâs SMS pilot locations? 5. Did you find the resources from these FTA pilot locations to be helpful in the implemen- tation of your system? If yes, please describe. Cost Information 1. Please describe any costs that are directly associated with the system. This could include the costs of a third-party management resource, any internal personnel that have been assigned to manage the program, including the third-party administrator (if applicable), training, or other expenses that are associated with the ongoing management and operation of the system. 2. Have you calculated or estimated a return on investment (ROI) associated with the system? If so, please describe the indicators used in the calculations and associated ROI outcomes. Effectiveness of Practices and Measures 1. Do you track the effectiveness of the system? 2. If ineffectiveness is identified, what steps are taken to improve the effectiveness of the system? 3. Do you have performance measures to track the efficacy of your system?
Interview Script B-3 4. Do you have pre-/post-implementation data to determine the success of your program based on these performance metrics? 5. If so, what are the measures used to determine the efficacy of the system? 6. Do you trend pre-/post-incident rates, claims, repair expenditures, or other expenditures that are related to safety events? Data Collection and Analysis 1. If you use a third party, how are data collected and shared with your transit agency? 2. Please identify the third party that is used. 3. If you are directly responsible for the collection of near miss/close call data, please describe the data collection process and the associated analyses that occur. 4. If analyses/reviews are conducted, how often are they conducted (e.g., monthly, quarterly, or annually)? Post-Reporting Follow-Up Activities 1. Please describe your post-reporting follow-up. 2. Do reporters receive a confirmation that their report has been received? 3. Do reporters receive communication about action taken to correct the issue that was reported? 4. Does the employeeâs supervisor receive notification that the employee has made the report? 5. How are responses and/or corrective actions based on the reports prioritized? 6. How are investigations performed? 7. Who is responsible for safety report investigations? 8. How and to whom are investigation findings disseminated? 9. Have any of the reports led to policy or procedural modifications?
