APTA

Rail Transit SMS

Implementation Guide
June, 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
SMS Pillar 1 (cont’d)

 Component 3: Integration with Public Safety and Emergency Management

 Inter-Departmental Coordination
 Inter-Agency Coordination
 Emergency Planning and Response
SMS Pillar 1 (cont’d)

 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 (cont’d)

 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 (cont’d)

 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
SMS Pillar 4 (cont’d)

 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 SSPP Introduction – 1
Policy Statement Policy Statement
Authority SSPP introduction 1
Purpose/Scope of SMS Description/Purpose of 2
guide SSPP
Goals for SMS System Safety Goal 3
Identifiable/Attainable SSPP Objectives 4
Objectives
Strategic Program N/A
Planning
Safety Culture N/A
Crosswalk Matrix
SMS Pillar 1- Component 2
Rail Transit SMS Guide SSPP SSPP Element
System Description System 5
Description/Organization
al Structure
Organizational Structure System 5
Description/Organization
al Structure
Accountability of Key System 5
Personnel Description/Organization
al Structure
Organizational Context N/A
Requirements for Safety
Crosswalk Matrix
SMS Pillar 1 – Component 3
Rail Transit SMS Guide SSPP SSPP Element
Inter-departmental Interdepartmental and 17
Coordination Interagency
Coordination
Interagency Interdepartmental and 17
Coordination Interagency
Coordination
Emergency Response Emergency Response 14
Planning, Coordinating
and Training
Crosswalk Matrix
SMS Pillar 1 – Component 4
Rail Transit SMS Guide SSPP SSPP Element
SMS Guide Development N/A
and Communication
Update of the SMS SSPP Control and 6
Guide Update Procedure
Administrative Controls N/A
Safety Plan N/A
Documentation
Crosswalk Matrix
SMS Pillar 2 – Component 5 and 6
Rail Transit SMS Guide SSPP SSPP Element
Hazard Identification Hazard Identification 7
and Resolution
Hazard Evaluation Hazard Identification 7
and Resolution
Hazard Mitigation Hazard Identification 7
and Resolution
Risk Reduction Hazard Identification 7
and Resolution
Crosswalk Matrix
SMS Pillar 3 – Component 7
Rail Transit SMS Guide SSPP SSPP Element
Safety Data Acquisition Safety Data Acquisition 16
and Analysis and Analysis
Accident/Incident Accident/Incident 8
Reporting and Reporting and
Investigation Investigation
Rail Corridor Safety N/A
Infrastructure Facility Inspections 10, 11
Maintenance, Inspection
and Repair
Vehicle Maintenance, Maintenance 11
Inspection and Repair Inspections
Passenger Operational N/A
Environment
Crosswalk Matrix
SMS Pillar 3 – Component 8, 9
Rail Transit SMS Guide SSPP SSPP Element
Configuration Configuration 18
Management Management
Safety and Security System Modification and 15
Certification Approval Process
Safety Assessment Internal Safety Audit 9
Process
Crosswalk Matrix
SMS Pillar 4 – Component 10, 11
Rail Transit SMS Guide SSPP SSPP Element
Workplace Safety Employee Safety 19
Program Programs
Drug and Alcohol Policy 21
Public Safety Programs N/A
Contractor Contractor Operations 22
Requirements for Safety
Materials Management Procurement 20
Hazardous Materials and 23
Environmental
Management
Rules and Procedures Rules and Procedures 12
Review Review
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