National Academies Press: OpenBook

Transit Safety Risk Assessment Methodologies (2021)

Chapter: Front Matter

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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2021. Transit Safety Risk Assessment Methodologies. Washington, DC: The National Academies Press. doi: 10.17226/26449.
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Transit Safety Risk Assessment Methodologies A SYNTHESIS OF TRANSIT PRACTICE Joan G. Hudson Chris Simek Boya Dai August Stanley Texas A&M Transportation Institute College Station, TX 2021 Research sponsored by the Federal Transit Administration in cooperation with the Transit Development Corporation Subject Areas Public Transportation • Safety and Human Factors • Security and Emergencies T R A N S I T C O O P E R A T I V E R E S E A R C H P R O G R A M TCRP SYNTHESIS 157

TCRP SYNTHESIS 157 Project J-07, Topic SA-51 ISSN 1073-4880 ISBN 978-0-309-09434-4 © 2021 National Academy of Sciences. All rights reserved. COPYRIGHT INFORMATION Authors herein are responsible for the authenticity of their materials and for obtaining written permissions from publishers or persons who own the copyright to any previously published or copyrighted material used herein. Cooperative Research Programs (CRP) grants permission to reproduce material in this publication for classroom and not-for-profit purposes. Permission is given with the understanding that none of the material will be used to imply TRB, AASHTO, FAA, FHWA, FTA, GHSA, NHTSA, or TDC endorsement of a particular product, method, or practice. It is expected that those reproducing the material in this document for educational and not-for-profit uses will give appropriate acknowledgment of the source of any reprinted or reproduced material. For other uses of the material, request permission from CRP. Cover image credit: Panimoni/Shutterstock.com. NOTICE The report was reviewed by the technical panel and accepted for publication according to procedures established and overseen by the Transportation Research Board and approved by the National Academies of Sciences, Engineering, and Medicine. The opinions and conclusions expressed or implied in this report are those of the researchers who performed the research and are not necessarily those of the Transporta- tion Research Board; the National Academies of Sciences, Engineering, and Medicine; or the program sponsors. The Transportation Research Board; the National Academies of Sciences, Engineering, and Medicine; and the sponsors of the Transit Cooperative Research Program do not endorse products or manufacturers. Trade or manufacturers’ names or logos appear herein solely because they are considered essential to the object of the report. Published reports of the TRANSIT COOPERATIVE RESEARCH PROGRAM are available from Transportation Research Board Business Office 500 Fifth Street, NW Washington, DC 20001 and can be ordered through the Internet by going to https://www.mytrb.org/MyTRB/Store/default.aspx Printed in the United States of America TRANSIT COOPERATIVE RESEARCH PROGRAM The nation’s growth and the need to meet mobility, environmental, and energy objectives place demands on public transit systems. Cur- rent systems, some of which are old and in need of upgrading, must expand service area, increase service frequency, and improve efficiency to serve these demands. Research is necessary to solve operating prob- lems, adapt appropriate new technologies from other industries, and introduce innovations into the transit industry. The Transit Coopera- tive Research Program (TCRP) serves as one of the principal means by which the transit industry can develop innovative near-term solutions to meet demands placed on it. The need for TCRP was originally identified in TRB Special Report 213—Research for Public Transit: New Directions, published in 1987 and based on a study sponsored by the Urban Mass Transportation Administration—now the Federal Transit Administration (FTA). A report by the American Public Transportation Association (APTA), Transportation 2000, also recognized the need for local, problem- solving research. TCRP, modeled after the successful National Coop- erative Highway Research Program (NCHRP), undertakes research and other technical activities in response to the needs of transit ser- vice providers. The scope of TCRP includes various transit research fields including planning, service configuration, equipment, facilities, operations, human resources, maintenance, policy, and administrative practices. TCRP was established under FTA sponsorship in July 1992. Pro- posed by the U.S. Department of Transportation, TCRP was authorized as part of the Intermodal Surface Transportation Efficiency Act of 1991 (ISTEA). On May 13, 1992, a memorandum agreement outlining TCRP operating procedures was executed by the three cooperating organi- zations: FTA; the National Academies of Sciences, Engineering, and Medicine, acting through the Transportation Research Board (TRB); and the Transit Development Corporation, Inc. (TDC), a nonprofit educational and research organization established by APTA. TDC is responsible for forming the independent governing board, designated as the TCRP Oversight and Project Selection (TOPS) Commission. Research problem statements for TCRP are solicited periodically but may be submitted to TRB by anyone at any time. It is the responsibility of the TOPS Commission to formulate the research program by identi- fying the highest priority projects. As part of the evaluation, the TOPS Commission defines funding levels and expected products. Once selected, each project is assigned to an expert panel appointed by TRB. The panels prepare project statements (requests for propos- als), select contractors, and provide technical guidance and counsel throughout the life of the project. The process for developing research problem statements and selecting research agencies has been used by TRB in managing cooperative research programs since 1962. As in other TRB activities, TCRP project panels serve voluntarily without compensation. Because research cannot have the desired effect if products fail to reach the intended audience, special emphasis is placed on disseminat- ing TCRP results to the intended users of the research: transit agen- cies, service providers, and suppliers. TRB provides a series of research reports, syntheses of transit practice, and other supporting material developed by TCRP research. APTA will arrange for workshops, train- ing aids, field visits, and other activities to ensure that results are imple- mented by urban and rural transit industry practitioners. TCRP provides a forum where transit agencies can cooperatively address common operational problems. TCRP results support and complement other ongoing transit research and training programs.

The National Academy of Sciences was established in 1863 by an Act of Congress, signed by President Lincoln, as a private, non- governmental institution to advise the nation on issues related to science and technology. Members are elected by their peers for outstanding contributions to research. Dr. Marcia McNutt is president. The National Academy of Engineering was established in 1964 under the charter of the National Academy of Sciences to bring the practices of engineering to advising the nation. Members are elected by their peers for extraordinary contributions to engineering. Dr. John L. Anderson is president. The National Academy of Medicine (formerly the Institute of Medicine) was established in 1970 under the charter of the National Academy of Sciences to advise the nation on medical and health issues. Members are elected by their peers for distinguished contributions to medicine and health. Dr. Victor J. Dzau is president. The three Academies work together as the National Academies of Sciences, Engineering, and Medicine to provide independent, objective analysis and advice to the nation and conduct other activities to solve complex problems and inform public policy decisions. The National Academies also encourage education and research, recognize outstanding contributions to knowledge, and increase public understanding in matters of science, engineering, and medicine. Learn more about the National Academies of Sciences, Engineering, and Medicine at www.nationalacademies.org. The Transportation Research Board is one of seven major programs of the National Academies of Sciences, Engineering, and Medicine. The mission of the Transportation Research Board is to provide leadership in transportation improvements and innovation through trusted, timely, impartial, and evidence-based information exchange, research, and advice regarding all modes of transportation. The Board’s varied activities annually engage about 8,000 engineers, scientists, and other transportation researchers and practitioners from the public and private sectors and academia, all of whom contribute their expertise in the public interest. The program is supported by state transportation departments, federal agencies including the component administrations of the U.S. Department of Transportation, and other organizations and individuals interested in the development of transportation. Learn more about the Transportation Research Board at www.TRB.org.

CRP STAFF FOR TCRP SYNTHESIS 157 Christopher J. Hedges, Director, Cooperative Research Programs Lori L. Sundstrom, Deputy Director, Cooperative Research Programs Gwen Chisholm Smith, Manager, Transit Cooperative Research Program Mariela Garcia-Colberg, Senior Program Officer Emily Griswold, Program Coordinator Natalie Barnes, Director of Publications Heather DiAngelis, Associate Director of Publications TCRP PROJECT J-07 PANEL Elizabeth Presutti, Des Moines Area Regional Transit Authority (DART), Des Moines, IA (Chair) Jameson Auten, Kansas City Area Transportation Authority, Kansas City, MO Mallory Avis, Battle Creek Transit, Battle Creek, MI Fabian Cevallos, Tamarac, FL Roderick B. Diaz, Southern California Regional Rail Authority, Los Angeles, CA Mark Donaghy, Petersburg, KY Rachel Dungca, Metro Transit, Minneapolis-St. Paul, St. Anthony, MN Christian T. Kent, Christian T. Kent, Transit Management Consulting, LLC, Virginia Beach, VA Ronald J. Kilcoyne, TMD, Walnut Creek, CA Brad J. Miller, Pinellas Suncoast Transit Authority (PSTA), St. Petersburg, FL Beverly Neff, San Diego Metropolitan Transit System, San Diego, CA Jarrett William Stoltzfus, Proterra, Walnut, CA Edward F. Watt, Rockaway Park, NY David C. Wilcock, VHB, Boston, MA Tara Clark, FTA Liaison Arthur L. Guzzetti, APTA Liaison William Terry, Rutgers, The State University of New Jersey Liaison TOPIC SA-51 PANEL David Paul Bagley, San Diego Metropolitan Transit System, San Diego, CA Tellis Chandler, LYNX, Orlando, FL Thomas C. Cornillie, Alameda, CA Mark Donaghy, Petersburg, KY Jose R. Febres, Washington Metropolitan Area Transit Authority, Bowie, MD Richard L. Gerhart, Lake Oswego, OR David C. Harris, New Mexico Department of Transportation, Santa Fe, NM Harold Levitt, PANYNJ (retired), Old Bridge, NJ Juan Morrison, Dovetail Consulting, Decatur, GA Joyce C. Rose, WSP, Baltimore, MD Dharm Guruswamy, FTA Liaison David S. Powell, FTA Liaison Brian Alberts, APTA Liaison C O O P E R A T I V E R E S E A R C H P R O G R A M S

AUTHOR ACKNOWLEDGMENTS The research reported herein was performed under TCRP Synthesis Project J-07/Topic SA-51 by the Texas A&M Transportation Institute, a member of The Texas A&M University System. The authors would like to thank the many individuals who contributed to this report, most importantly the oversight panel for providing guidance, offering support, and connecting the project team to valuable resources. In addition, the authors greatly appreciate the assistance of the transit agency employees who spent their time completing the survey, and are especially grateful to five transit agencies that participated in the case examples: • Edmonton Transit Service • Golden Empire Transit District • New Orleans Regional Transit Authority • Sacramento Regional Transit District • San Diego Metropolitan Transit System Without the involvement of survey respondents and case example agencies, this synthesis (and many like it) would not be possible. The authors would also like to extend a special note of gratitude to the following individuals for their willingness to discuss safety risk assessment processes in their industry. A note of thanks is given to TTI colleagues Allan Rutter and David Bierling for connecting the authors to these individuals. • Brian Fielkow, Jetco Freight Services • Bryan Stone, Superior Construction • Robert Fronczak, Association of American Railroads • Ravi Palakodeti, Factor, Inc. • Ed Brady, HSE • Eric David Stahl, USCG • Eugene Ng, Shell Oil • Thorben Shulz, Shell Oil • Bartow Bray, Shell Oil • Scott Scheffler, Permian Road Safety Coalition Finally, the authors thank Larry Day and Michael Ramsey from the Federal Railroad Administration as well as Dharm Guruswamy and Lynne Hayes from the Federal Transit Administration for their helpful feedback.

ABOUT THE TCRP SYNTHESIS PROGRAM Transit administrators, engineers, and researchers often face problems for which information already exists, either in documented form or as undocumented experience and practice. This information may be fragmented, scattered, and unevaluated. As a consequence, full knowledge of what has been learned about a problem may not be brought to bear on its solution. Costly research findings may go unused, valuable experience may be overlooked, and due consideration may not be given to recommended practices for solving or alleviating the problem. There is information on nearly every subject of concern to the transit industry. Much of it derives from research or from the work of practitioners faced with problems in their day-to-day work. To provide a systematic means for assembling and evaluating such useful information and to make it available to the entire transit community, the Transit Cooperative Research Program Oversight and Project Selection (TOPS) Committee authorized the Transportation Research Board to undertake a continuing study. This study, TCRP Project J-7, “Synthesis of Information Related to Transit Practices,” searches out and synthesizes useful knowledge from all available sources and prepares con- cise, documented reports on specific topics. Reports from this endeavor constitute a TCRP report series, Synthesis of Transit Practice. This synthesis series reports on current knowledge and practice, in a compact format, without the detailed directions usually found in handbooks or design manuals. Each report in the series provides a compendium of the best knowledge available on those measures found to be the most successful in resolving specific problems. FOREWORD By Mariela Garcia-Colberg Staff Officer Transportation Research Board A final rule for Public Transportation Agency Safety Plans under 49 CFR 673, published by FTA, requires states and certain operators of public transportation systems that receive federal financial assistance under 49 U.S.C. Chapter 53 to develop Public Transportation Agency Safety Plans based on the Safety Management System approach. Operators of public transportation systems are required to implement the safety plans. The development and implementation of safety plans will help ensure that public transportation systems are safe nationwide. The objective of this synthesis is to identify the safety risk assessment (SRA) methodologies and approaches that U.S. transit systems are using for SRA methodologies. The intent of this project was to help the transit industry better understand current and new innovative state-of-the-practice SRA methodologies. A literature review and survey responses of methodologies practiced by 40 transit agencies were collected. An analysis on the state of the practice, emphasizing lessons learned, current practices, challenges, and gaps in information, is provided. Five case examples from a variety of agencies were also developed. Joan G. Hudson and her team from Texas A&M Transportation Institute collected and synthesized the information and wrote the report, under the guidance of a panel of experts in the subject area. The members of the topic panel are acknowledged on page iv. This synthesis is an immediately useful document that records the practices that were acceptable within the limitations of the knowledge avail- able at the time of its preparation. As progress in research and practice continues, new knowledge will be added to that now at hand.

1 Summary 3 Chapter 1 Introduction 3 Background 3 Objective and Scope 3 Federal Regulations 4 Technical Approach to the Project 7 Chapter 2 Literature Review 7 Introduction to Safety Risk Assessment Methodologies 7 Fact-Finding Interviews 8 Study of Safety Risk Assessment Methodologies 20 Chapter 3 Survey Results 20 Agency Background 20 Methodology 24 Benefits and Challenges 27 Resources and Satisfaction 28 Discussion 29 Chapter 4 Case Examples 29 San Diego Metropolitan Transit System 34 Sacramento Regional Transit District 38 Edmonton Transit Service 43 New Orleans Regional Transit Authority 45 Golden Empire Transit District 49 Chapter 5 Findings and Conclusion 49 Findings 50 Future Research 52 References 55 Appendix A Survey Instruments 67 Appendix B Surveyed Agencies and Key Characteristics 70 Appendix C Summary Table of SRA Methodologies C O N T E N T S

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Risk management is the central element of the safety management system (SMS). Identifying, assessing, analyzing, mitigating, communicating, and documenting are all steps in an effective risk management program.

The TRB Transit Cooperative Research Program's TCRP Synthesis 157: Transit Safety Risk Assessment Methodologies is designed to help the transit industry better understand current and new innovative state-of-the-practice methodologies in safety risk assessment (SRA), which is an important part of the system.

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