System Safety Program Plan DOCUMENT NUMBER: RELEASE/REVISION: RELEASE/REVISION DATE: 02-SMS-PO-A A November 1, 2018 CONTENT OWNER: SAFETY, COMPLIANCE & TRAINING This page intentionally left blank Contents System Safety Program Introduction ............................................................................................................ 8 1.0 Safety Policy .......................................................................................................................................... 9 1.1 System Safety Program Policy Statement ..................................................................................... 9 1.1.1 Purpose ..................................................................................................................................... 9 1.1.2 Responsibility ............................................................................................................................ 9 1.1.3 Scope ....................................................................................................................................... 10 1.1.4 Definitions ............................................................................................................................... 10 1.1.5 SMS Requirements .................................................................................................................. 11 1.1.5.1 Safety Culture .......................................................................................................................... 11 1.1.5.2 Risk-based Hazard Management ............................................................................................ 11 1.1.5.3 Safety Assurance ..................................................................................................................... 11 1.1.5.4 Safety Promotion .................................................................................................................... 12 1.1.6 Safety Policy Review Cycle ...................................................................................................... 12 1.1.7 References .............................................................................................................................. 12 1.1.8 Executive Leadership Team Annual Safety Letter ................................................................... 12 1.2 System Safety Program Goals and Objectives ............................................................................ 12 1.2.1 Safety Goal #1: Customer Injury Rate ..................................................................................... 12 1.2.2 Safety Goal #2: Employee Incident Rate ................................................................................. 13 1.2.3 Safety Goal #3: Employee Significant Injury and Fatality Potential Rate ................................ 13 1.2.4 Safety Goal #4: Train Safety Index Tier 1 Rail Accident/Incident Rate ................................... 13 1.2.5 Safety Goal #5: Train Safety Index Tier 2 Major Operating Rule Violation Rate..................... 14 1.2.6 Safety Goal #6: Trespasser and Grade Crossing Incident Rate ............................................... 14 1.3 Railroad System Description ....................................................................................................... 15 1.3.1 Amtrak Owned and Maintained Routes ................................................................................. 15 1.3.1.1 Northeast Corridor .................................................................................................................. 16 1.3.1.2 Keystone Corridor ................................................................................................................... 16 1.3.1.3 New Haven-Hartford-Springfield Corridor .............................................................................. 17 1.3.1.4 Indiana – Michigan .................................................................................................................. 17 1.3.2 State Supported Routes .......................................................................................................... 17 1.3.3 Long Distance Routes .............................................................................................................. 17 1.3.4 Additional Services .................................................................................................................. 18 1.3.5 Rolling Stock ............................................................................................................................ 18 1.3.6 Facilities ................................................................................................................................... 18 1.3.6.1 Maintenance of Equipment .................................................................................................... 19 1.3.6.2 Operations .............................................................................................................................. 19 1.3.6.3 Distribution ............................................................................................................................. 19 1.3.6.4 Reservation Centers ................................................................................................................ 19 1.3.6.5 Stations ................................................................................................................................... 19 1.4 Railroad Management and Organizational Structure ................................................................. 20 1.4.1 Operations .............................................................................................................................. 23 1.4.2 Safety ...................................................................................................................................... 24 1.4.3 Executive Safety Council/System Safety Working Groups/Safety Committees ..................... 25 1.5 SMS Implementation Process ..................................................................................................... 26 1.5.1 SMS Implementation Schedule – 2018 ................................................................................... 26 1.5.2 SMS Implementation Schedule – 2019 ................................................................................... 29 1.5.3 SMS Implementation Schedule – 2020 ................................................................................... 31 2.0 Safety Risk Management .................................................................................................................... 34 2.1 Risk-based Hazard Management Program ................................................................................. 34 2.1.1 Risk Identification .................................................................................................................... 34 2.1.2 Risk Analysis and Assessment ................................................................................................. 34 2.1.3 Risk Mitigation ........................................................................................................................ 37 2.2 Technology Analysis and Implementation Plan .......................................................................... 37 2.2.1 PTC Implementation ............................................................................................................... 38 2.2.2 Non-PTC Risk Assessment and Mitigation .............................................................................. 38 2.2.3 T&E Crew Capability Enhancements ....................................................................................... 38 2.2.4 Training Software and Simulators ........................................................................................... 38 2.2.5 Ongoing Technology Analysis ................................................................................................. 38 2.3 Workplace Safety ........................................................................................................................ 39 2.3.1 Fitness for Duty ....................................................................................................................... 39 2.3.1.1 Medical Clearance ................................................................................................................... 39 2.3.1.2 Control of Drug and Alcohol Use ............................................................................................ 40 2.3.1.2.1 PIER Program ....................................................................................................................... 40 2.3.1.2.2 Drug and Alcohol Policy ...................................................................................................... 40 2.3.1.2.3 Drug and Alcohol Testing .................................................................................................... 41 2.3.1.2.4 Consequences for Violating the Drug and Alcohol Policy ................................................... 43 2.3.1.3 Employee Assistance program ................................................................................................ 43 2.3.1.4 Fatigue Management .............................................................................................................. 44 2.3.1.5 New Hire, Qualification, and Certification Training ................................................................ 44 2.3.2 Occupational Safety and Health.............................................................................................