apta rail transit sms implementation guide · what is apta rail transit sms implementation guide?...
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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
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
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