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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 RTA’s 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 (cont’d)

Component 2: Safety Accountabilities and Responsibilities

System Description

Organizational Structure

Accountability of Key Personnel

Organizational Context Requirements for Safety


Component 3: Integration with Public Safety and Emergency Management

Inter-Departmental Coordination

Inter-Agency Coordination

Emergency Planning and Response


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


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


Component 10: Safety Communication (cont’d)

Contractor Requirements for Safety

Contracting for Services

Contracting for Facilities, Equipment and Materials

Construction Management

Materials Management

Public Safety Programs


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


System Description System

Description/Organization

al Structure

5

Organizational Structure System


al Structure

5

Accountability of Key

Personnel

System


al Structure

5

Organizational Context

Requirements for Safety

N/A

Crosswalk Matrix

SMS Pillar 1 – Component 3


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 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


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



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


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


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