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  • APTA

    Rail Transit SMS

    Implementation GuideJune, 2016

  • What is APTA Rail Transit SMS

    Implementation Guide?

    Appendix A of APTA SMS Manual

    Replaces APTA Manual for the Development of Rail Transit System Safety Program Plans (2001)

    Used to be called the APTA Urban Rail Manual

    Provides guidance in implementing SMS within rail transit agencies (RTAs)

    Rail Transit Definition

    Light rail

    Subway

    Streetcar

    Automated guideways/Peoplemovers

    Cable car

    Funicular/Ropeways

    Monorail

  • Goals of APTA Rail Transit SMS Guide

    Method for preparing/revising existing System Safety Program Plans to be

    compliant with FTA MAP-21/FAST Act requirements

    Assists the RTA in preparing for internal/external safety management

    reviews and assessments

    Shows how the RTA demonstrates diligence to the safety of its operations

    Fosters the RTAs commitment to continuous improvement

    Assists the RTA in establishing a risk based process to evaluate hazards and

    mitigate consequences to acceptable levels

    Provides guidance to the RTA in building an effective safety culture within

    the organization

  • SMS Pillar 1

    Safety Management Policy

    Component 1: Safety Management Policy

    Safety Management Policy Statement

    Authority

    Purpose and Scope of the SMS Guide

    Goal for the SMS

    Identifiable and Attainable Objectives

    Strategic Program Planning

    Safety Culture

  • SMS Pillar 1 (contd)

    Component 2: Safety Accountabilities and Responsibilities

    System Description

    Organizational Structure

    Accountability of Key Personnel

    Organizational Context Requirements for Safety

  • SMS Pillar 1 (contd)

    Component 3: Integration with Public Safety and Emergency Management

    Inter-Departmental Coordination

    Inter-Agency Coordination

    Emergency Planning and Response

  • SMS Pillar 1 (contd)

    Component 4: SMS Documentation and Records

    SMS Guide Development and Communication

    Update of the SMS Guide

    Administrative Controls

    Safety Plan Documentation

  • SMS Pillar 2

    Safety Risk Management

    Component 5: Hazard Identification and Analysis

    Hazard Identification

    Component 6: Safety Risk Evaluation and Mitigation

    Hazard Evaluation

    Hazard Mitigation

    Risk Reduction

  • SMS Pillar 3

    Safety Assurance

    Component 7: Safety Performance Monitoring

    Safety Data Acquisition and Analysis

    Safety Performance Measures

    Safety Data Analysis

    Accident/Incident Reporting and Investigation

    Rail Corridor Operational Safety

    Infrastructure Maintenance and Inspection

    Vehicle Maintenance, Inspection and Repair

    Passenger Operational Environment Programs

  • SMS Pillar 3 (contd)

    Component 8: Management of Change

    Configuration Management

    Safety and Security Certification

    Component 9: Continuous Improvement

    Safety Assessment

    Internal Safety Management Reviews

    External Safety Management Reviews

    Safety Culture Assessment

  • SMS Pillar 4

    Safety Promotion

    Component 10: Safety Communication

    Workplace Safety Program

    Industrial/Occupational Safety Program

    Fitness for Duty Program

    Drug and Alcohol Program

    Fatigue Program

    Medical Monitoring Program

    Critical Incident Debriefing-Post Traumatic Stress

    Cognitive Distraction and Attentional Error

    Track Access and Roadway Worker Protection

  • SMS Pillar 4 (contd)

    Component 10: Safety Communication (contd)

    Contractor Requirements for Safety

    Contracting for Services

    Contracting for Facilities, Equipment and Materials

    Construction Management

    Materials Management

    Public Safety Programs

  • SMS Pillar 4 (contd)

    Component 11: Competencies and Training

    Rules and Procedures Review

    Training and Certification

    Board of Directors

    Rail Transit Agency Personnel

    Contractor Personnel

    Emergency Response Personnel

  • Crosswalk Matrix

    SMS Pillar 1, Component 1

    Rail Transit SMS Guide SSPP SSPP Element

    Safety Management

    Policy Statement

    SSPP Introduction

    Policy Statement

    1

    Authority SSPP introduction 1

    Purpose/Scope of SMS

    guide

    Description/Purpose of

    SSPP

    2

    Goals for SMS System Safety Goal 3

    Identifiable/Attainable

    Objectives

    SSPP Objectives 4

    Strategic Program

    Planning

    N/A

    Safety Culture N/A

  • Crosswalk Matrix

    SMS Pillar 1- Component 2

    Rail Transit SMS Guide SSPP SSPP Element

    System Description System

    Description/Organization

    al Structure

    5

    Organizational Structure System

    Description/Organization

    al Structure

    5

    Accountability of Key

    Personnel

    System

    Description/Organization

    al Structure

    5

    Organizational Context

    Requirements for Safety

    N/A

  • Crosswalk Matrix

    SMS Pillar 1 Component 3

    Rail Transit SMS Guide SSPP SSPP Element

    Inter-departmental

    Coordination

    Interdepartmental and

    Interagency

    Coordination

    17

    Interagency

    Coordination

    Interdepartmental and

    Interagency

    Coordination

    17

    Emergency Response Emergency Response

    Planning, Coordinating

    and Training

    14

  • Crosswalk Matrix

    SMS Pillar 1 Component 4

    Rail Transit SMS Guide SSPP SSPP Element

    SMS Guide Development

    and Communication

    N/A

    Update of the SMS

    Guide

    SSPP Control and

    Update Procedure

    6

    Administrative Controls N/A

    Safety Plan

    Documentation

    N/A

  • Crosswalk Matrix

    SMS Pillar 2 Component 5 and 6

    Rail Transit SMS Guide SSPP SSPP Element

    Hazard Identification Hazard Identification

    and Resolution

    7

    Hazard Evaluation Hazard Identification

    and Resolution

    7

    Hazard Mitigation Hazard Identification

    and Resolution

    7

    Risk Reduction Hazard Identification

    and Resolution

    7

  • Crosswalk Matrix

    SMS Pillar 3 Component 7

    Rail Transit SMS Guide SSPP SSPP Element

    Safety Data Acquisition

    and Analysis

    Safety Data Acquisition

    and Analysis

    16

    Accident/Incident

    Reporting and

    Investigation

    Accident/Incident

    Reporting and

    Investigation

    8

    Rail Corridor Safety N/A

    Infrastructure

    Maintenance, Inspection

    and Repair

    Facility Inspections 10, 11

    Vehicle Maintenance,

    Inspection and Repair

    Maintenance

    Inspections

    11

    Passenger Operational

    Environment

    N/A

  • Crosswalk Matrix

    SMS Pillar 3 Component 8, 9

    Rail Transit SMS Guide SSPP SSPP Element

    Configuration

    Management

    Configuration

    Management

    18

    Safety and Security

    Certification

    System Modification and

    Approval Process

    15

    Safety Assessment Internal Safety Audit

    Process

    9

  • Crosswalk Matrix

    SMS Pillar 4 Component 10, 11

    Rail Transit SMS Guide SSPP SSPP Element

    Workplace Safety

    Program

    Employee Safety

    Programs

    Drug and Alcohol Policy

    19

    21

    Public Safety Programs N/A

    Contractor

    Requirements for Safety

    Contractor Operations 22

    Materials Management Procurement

    Hazardous Materials and

    Environmental

    Management

    20

    23

    Rules and Procedures

    Review

    Rules and Procedures

    Review

    12

    Training and Certification Training and Certification 13

  • APTA Manuals - Next Steps

    Appendix B- Bus Transit SMS Implementation Guide

    Appendix C Commuter/Passenger Rail SMS Implementation Guide

    Updated APTA Audit Program