Developing and implementing safety management systems within New Zealand road controlling authorities

Author: William (Bill) Greenwood

Abstract

Despite the significant road safety benefits which can be delivered by properly targeted road engineering interventions, Road Controlling Authorities (RCAs) have no clearly expressed duty in New Zealand (NZ) law to consider and implement measures to address road safety risk.

As part of the development of a New Zealand Road Safety 2010, Strategy strong community support was evident for a structured approach to address road engineering safety issues. The method of achieving this was seen as through the adoption of Safety Management Systems (SMS).

This paper describes what a SMS is, what are its benefits and what it should contain. The model used to implement “best practice” SMS within NZ RCAs is also presented. This paper is intended to showcase and create discussion on the innovations in road safety engineering that have come out of a SMS development and implementation project involving a majority of NZ RCAs.

The paper will provide guidance on how to develop a quality SIP, how to implement and review the total process, and where it should "live".

Background

After a series of consultative exercises undertaken by the New Zealand Ministry of Transport, broad agreement was reached on the development of a Safety Management Systems approach as the best means of achieving a safer road infrastructure (Ministry of Transport -1).

Analysis undertaken during the development of the Road Safety 2010 Strategy by the New Zealand National Road Safety Committee provided further support for this approach (LTSA-1). The strategy was the subject of an extensive consultation process. The consultation findings (NZRSC-1) indicated that the community wished to see improvements in the safety of the road environment. Feedback from RCAs demonstrated support for the development of a structured approach to decisions about construction, maintenance and management of their road networks leading to the achievement of clear safety targets.

In the early stages of discussion it was envisaged that the development and use of SMS by RCAs would be made a requirement via legislation.However, late in 2002 a decision was made that the use of SMS by RCAs would be purely voluntary.

What are the benefits of a Safety Management System?

It is generally recognised that there will be safety advantages from using a systematic approach to the management of safety on the road network.The following are the benefits that a SMS is providing to a RCA and to road users:

• it ensures safety is considered in decisions about construction, maintenance and management of the road network
• assists in the achievement of targets and goals identified in the national and local road safety strategies
• ensures implementation of road management procedures will be consistent and efficient
• risk is managed and documented, providing protection in the event of litigation
• road safety knowledge and expertise needs are documented and managed
• provides clear guidance for all staff and can be used for training of new employees
• development, review and auditing of the road network is undertaken in systematic way
• better safety for ALL road users.

What does a Safety Management System contain?

There are four parts to a SMS for RCAs:

• Direction
  - a road safety strategic vision and how it will be achieved
• Delivery
  - road standards and guidelines, staff structure, roles and technical expertise to be used both internal and external
• Control
  - processes used and responsibilities of personal
• Review
  - a review/audit regime

This is illustrated in the following diagram:

The SMS Development project

In September 2002 the NZ Government First Steps Programme (LTSA-2) provided funding to the Land Transport Safety Authority (LTSA) a key engineering component was the encouragement of RCAs to adopt SMS. Following the appointment of a project manager in December 2002, a project was established with the purpose 'to ensure RCAs decisions about construction, maintenance and management of the road networks lead to the achievement of clear safety targets'.

A plan to achieve the project objective was developed and agreed in January 2003. (Greenwood-1) The project focuses on four activity areas, Communication, Guidelines, Demonstration, and Expertise Development.

Communication

RCAs are encouraged to be involved in the project at presentations to various forums of road engineering professionals, transport planners and RCA decision-makers. A "Traveling Road Show" visiting the four main NZ population centres was especially effective in detailing the significance of road safety engineering and especially SMS in the Government's Road Safety 2010 Strategy and the NZ Transport Strategy (Ministry of Transport -2).

• Codes of practice
• Standards
• Guidelines
• Local rules / operating procedures
• Adopted industry "Best" practice
• Experience / expertise

Guidelines

RCAs are encouraged and assisted in the development of their SMS by three sets of guidelines:

Interim guidelines for developing a safety management system (LTSA-3)

Guidelines for developing a safety management system for road controlling authorities (LTSA-4)

Guidelines for implementing a safety management system (LTSA-5)

The first two guidelines were produced in very short time constraints of six weeks from concept to published document.The "interim" guidelines used material from previous research papers (Appleton I. Cleal P & Edgar, and Cleal P & Croft P) The development guidelines were based on experience gained during the development of the first 20 RCAs SMS. The implementation guidelines arose out of feedback from a National SMS Review Workshop (LTSA-6)

Demonstration

In the initial 18 months of the project, 42 NZ RCAs developed their SMS with the support of Land Transport NZ. These SMSs acted as models for further refinement of the voluntary approach sought by the New Zealand Government.

Quality road safety system knowledge and experience gained by the NZ RCAs, consultants, and Land Transport NZ staff participating in the project is shared at an Annual Review Workshops (LTSA-6&7). This increasing knowledge and experience is now being used to assist the remaining 12 NZ RCAs (as at June 2005) develop their SMS. The vision is to have all 74 NZ RCAs implementing a SMS by 2007.

Expertise development

Eleven different consultancies have so far been contracted to assist NZ RCA staff develop and implement their SMS. In the case of the larger consultancies, staff in numerous regional offices have developed an understanding of road safety while working on an SMS. A road safety engineer from the Land Transport NZ has also been involved in the development stages of the SMS. This, along with RCA participation in developing an SMS, has resulted in very wide exposure of staff to road safety.

By facilitating wide participation in the project, road safety expertise gaps within the New Zealand engineering fraternity have, to some extent, been reduced. The road safety expertise development activities are now focused on bringing together interested parties to exchange information on and develop momentum to address the remaining road safety skill gaps in engineering.

What road safety engineering innovations have occurred?

Four significant innovative milestones have been achieved in the first 30 months of the project.

Raised the profile of road safety

The profile of road safety, in particularly road safety engineering, has been raised with NZ RCAs decision-makers especially through public consultation required in the development of a Road Safety Strategy (RSS). The councils have also incorporated the RSS they have developed into their Long Term Council Community Plan (New Zealand territorial authorities have recently been required to develop these strategic planning documents). A Memorandum of Understanding between the NZ RCAs and the Land Transport NZ is used to formalize the partnership process which underpins the development of the SMS. The requirement that the Chief Executive Officer and or Mayor sign this emphasizes the importance of this road safety innovation at the highest level within the NZ RCAs.

Quantified RCAs involvement in road safety

By supporting 62 NZ RCAs in the development of their road safety engineering activities knowledge has been gained on the changes in practice that have been achieved. Most RCAs were undertaking Crash Reduction Studies prior to developing their SMS. Very few had documented formal safety audit procedures, deficiency analysis and prioritization databases. It is noticeable that the larger the RCA the less processes were documented. This may be attributed to use of a consultant (in-house or external) for specific projects rather that having a 'network management consultant'. The generally specialist nature of the often short-staffed departments within the larger RCAs makes it difficult to develop a road safety culture.

Knowledge exchange

The development of a SMS has assisted many RCAs document practices developed to meet local conditions. This is of considerable benefit as many of the experienced RCA engineering staff are reaching retirement age and have few opportunities to pass on their knowledge. The extensive involvement of Land Transport NZ, RCA and consultant engineers developing and implementing SMSs has permitted rapid dissemination of best practice that has been developed by individual RCAs. These practices have been incorporated in the LTSA guidelines to assist development, use and continuous improvement of road safety engineering and SMS skills through the country.

Updating engineering standards, guidelines and practices

The identification of gaps in best practice road safety engineering standards, guidelines and practices and dissemination of the findings to New Zealand's RCAs has been undertaken in conjunction with the SMS project (Jackett-1). The SMSs developed by 20 RCAs were reviewed to ascertain what standards, guidelines and procedures were identified within the documents and were being used by each of the RCAs. RCA staff were also interviewed to find if any uncommon or local documents were being used and if a need existed within the industry for new or revised documents. The findings from this project have been used to agree the priority for developing new or revised documents. An example is the development of an agreed method of creating and prioritising safe ty deficiency databases (Land Transport NZ -1).

Conclusions

The SMS project is one of the key components of the NZ Road Safety to 2010 strategy. The potential ability of the road-engineering sector to achieve safety benefits has been given greater emphasis in this national strategy. For this to be achieved and the benefits realized nationwide, it is important that road safety expertise is applied as widely, consistently and systematically as possible among the authorities responsible for road management. The project has supported the development of best practice SMSs and the resulting road safety innovations that have occurred in most of NZ RCAs.

The implementation of SMSs through out NZ RCAs has increased road safety knowledge and skills especially in the engineering field. The increased need created for these skills has also exacerbated the lack of road safety engineering skills within NZ. To ensure an ongoing high level of implementation of best practice SMS the road safety engineering expertise gaps will be researched and addressed.

References

• Ministry of Transport-1) New Zealand Road Safety Strategy 2010 consultation document October 2000
• (LTSA-1) Working Papers 2 The Safety Directions Development Programme LTSA 1998
• (NRSC-1) Road Safety Strategy Consultation Report September 2002
• (LTSA-2) Road Safety Package - first steps towards 2010 September 2002
• (Greenwood-1). "Safety Management Systems Project Plan Report to LTSA", January 2003
• Ministry of Transport-2) New Zealand Transportation Strategy 2003
• (LTSA-3). “Interim guidelines for developing a Safety Management System.” February 2003
• (LTSA-4). “Guidelines for developing a Safety Management System for Road Controlling Authorities.” May 2003
• (LTSA-5). “Guidelines for implementing a Safety Management System for Road Controlling Authorities.” June 2005
• (LTSA-6) Proceedings Safety management systems workshop Sudima Hotel Christchurch 18th September 2003
• (LTSA-7) Proceedings Safety management systems workshop Brentwood Hotel Wellington 15th July 2004
• Appleton, I. "Safety Management Systems", Proceedings, Engineering for Road Safety Symposium, Rotorua, 2000
• Cleal, PM and Edgar, JP)"Safety Management Systems for Road Controlling Authorities", Proceedings, 20^th ARRB Transport Conference, Melbourne, 2001
• Croft Peter and Cleal Peter) "Road Safety Engineering: from principles to practice", Proceedings AITPM Conference 2002
• (Jackett-1) Standards and guidelines commonly used by Road Controlling Authorities survey results June 2004
• (Land transport NZ-1) Deficiency Database Prioritisation Project Plan May 2005

Acknowledgment

Any views expressed in this paper are those of the author and do not necessarily represent the position of Land Transport New Zealand.

Keywords

Safety Management Systems
Audit
Systematic Safety Management

Author information

Bill Greenwood
Safety Management System Project Manager
Land Transport New Zealand National Office
PO Box 2840
Wellington
New Zealand

Page created: 22 December 2005