Data Based Framework to Identify the Most Significant Performance Shaping Factors in Railway Operations

Abstract

Human performance is a major contributor to railway incidents and accidents. The literature shows that it is operators, i.e. train drivers, signallers and controllers, who mainly affect the railway system in terms of safety. Numerous studies have investigated the influence of such operators on the railway system, but are usually based on studies from other domains and cannot be reliably applied to railway specific operations. This paper presents a framework to identify the most significant human performance factors, known as Performance Shaping Factors (PSFs), which influence the performance of railway operators. These Railway-Performance Shaping Factors (R-PSFs) are derived from an extensive literature review, together with an analysis of 479 railway operational incidents and accidents over the past 15 years worldwide. Subject Matter Experts in the railway domain subsequently validated the identified factors. Statistical analysis of the railway operational incidents and accidents is subsequently conducted, following data quality checks. Based upon the Pareto principle, 12 R-PSFs account for more than 90% of the accidents and incidents, regardless of the severity of the event. Results from the analyses indicate the contribution of each individual R-PSF to the occurrence of a railway incident or accident, and highlight the importance of specific R-PSFs either individually or in combination for features related to specific types of accidents and incidents. The findings of the analysis can be used to direct resources more efficiently towards the development of sound solutions for improving the performance of railway operators. In addition, based upon the R-PSFs, a checklist of human performance factors is developed which can be used for investigation purposes and to collect human performance measures in a consistent and logical manner. The proposed checklist and its usage can greatly improve safety management systems of railway organisations.

Keywords: Railway safety, Railway Performance Shaping Factors taxonomy, Accident-Incident analysis, Statistical analysis, Safety Management Systems