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APTA Rail Transit SMS Implementation Guide

A comprehensive guide for rail transit agencies to implement Safety Management Systems (SMS) in compliance with FTA MAP-21/FAST Act regulations. Covers safety management policy, risk management, safety assurance, and safety promotion. Includes crosswalk matrices and next steps.

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APTA Rail Transit SMS Implementation Guide

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  1. APTA Rail Transit SMS Implementation Guide June, 2016

  2. 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

  3. 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

  4. SMS Pillar 1Safety 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

  5. SMS Pillar 1 (cont’d) • Component 2: Safety Accountabilities and Responsibilities • System Description • Organizational Structure • Accountability of Key Personnel • Organizational Context Requirements for Safety

  6. SMS Pillar 1 (cont’d) • Component 3: Integration with Public Safety and Emergency Management • Inter-Departmental Coordination • Inter-Agency Coordination • Emergency Planning and Response

  7. 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

  8. SMS Pillar 2Safety Risk Management • Component 5: Hazard Identification and Analysis • Hazard Identification • Component 6: Safety Risk Evaluation and Mitigation • Hazard Evaluation • Hazard Mitigation • Risk Reduction

  9. SMS Pillar 3Safety 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

  10. 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

  11. SMS Pillar 4Safety 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

  12. 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

  13. 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

  14. Crosswalk MatrixSMS Pillar 1, Component 1

  15. Crosswalk MatrixSMS Pillar 1- Component 2

  16. Crosswalk MatrixSMS Pillar 1 – Component 3

  17. Crosswalk MatrixSMS Pillar 1 – Component 4

  18. Crosswalk MatrixSMS Pillar 2 – Component 5 and 6

  19. Crosswalk MatrixSMS Pillar 3 – Component 7

  20. Crosswalk MatrixSMS Pillar 3 – Component 8, 9

  21. Crosswalk MatrixSMS Pillar 4 – Component 10, 11

  22. APTA Manuals - Next Steps • Appendix B- Bus Transit SMS Implementation Guide • Appendix C – Commuter/Passenger Rail SMS Implementation Guide • Updated APTA Audit Program

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