1. Moving Forward with Safety Management Systems December 9, 2014 Standing Committee on Public Transportation Winter Meeting American Association of State Highway & Transportation Officials

2. 2 Topics for Discussion Why we need SMS FTA’s Office of System Safety: Who We Are Upcoming SMS Training and Pilot Initiatives Importance of Leadership

3. 3 What we want – from a safety perspective Make a safe industry even safer Foster sound safety policy Develop and share efficient practices for risk management and safety assurance Help grow a strong safety culture within every transit system

4. 4 What Nobody Wants 4 AFTER an accident occurs, we can only react. Being proactive prevents accidents from occurring.

5. 5 Important Questions to Ask At the transit agency, state, and federal level: – What are our most serious safety concerns? – How do we know this? – What are we doing about it? – Is it working? …and importantly…How do we know what we are doing is working?

6. 6 Safety management systems is about strategically applying resources to risk It is based on ensuring that a transit agency has the necessary organizational infrastructure in place to support risk based decision-making at all levels for allocating resources This is essential to effectively manage safety risks while delivering transit service What is SMS?

7. 7 Ensures timely information about safety risks, so executives can make informed decisions about allocation of resources to prioritized risks Actively seeks to identify and mitigate hazards, so we can prevent accidents and manage change Fosters system-wide communication about safety issues up, down, and across the agency Enhances safety culture by empowering employees and involving them in decision-making SMS does NOT equate to ISO certification which relates to quality management systems What SMS Does

8. 8 Strengthen transit safety Support executive level decision-making on risk prioritization and resource allocation Align industry safety oversight with agency safety mission achievement Increase understanding of risks and how to effectively manage these risks The Benefits of a New Framework

9. 9 To be recognized as transit leader in safety promotion, information sharing and fair oversight. Vision To make transit safer through policy development, hazard investigation, data collection, risk analysis, effective oversight programs and information sharing. Mission Provide an unbiased source of integrated information to promote transit safety and effective grant management. Purpose FTA’s: Vision, Mission, and Purpose

10. 10 Administrative Officer Associate Administrator Deputy Associate Administrator Administrative Assistant Director, Office of Program Oversight (TSO-30) Stakeholder Management Director, Office of System Safety (TSO-10) Director, Office of Safety Review (TSO-20) TSO: Organization Chart

11. 11 System Management System (SMS) Accident Investigations Data Analysis & Management Risk Management Safety Promotion – Training & Technical Assistance – Communications – Development of a strong safety culture TSO’s Office of System Safety

12. 12 Provides a foundation to support effective safety oversight activities Improves data collection and information exchange Helps us to understand where our agency-specific and industry wide risks exist Assists us in actively evaluating data to guide safety activities Allows us to prioritize resource allocation based on levels of safety risk SMS provides a framework for a more proactive and effective approach to assuring safety and meeting industry challenges FTA’s SMS Framework

13. 13 Rulemakings Required by Congress National Public Transportation Safety Program Public Transportation Safety Certification Training Program Transit Asset Management (TAM) Rail Transit State Safety Oversight (SSO) Program Agency Safely Plan FHWA/FTA State/MPO Planning

14. Status of Safety Rulemakings 14 NPRMProjected Publication in Federal Register State Safety OversightEarly 2015 Safety Certification Training Interim Provisions Early to Mid 2015 Safety Certification Training Program Mid 2015 Transit Asset Management Mid to Late 2015 National Safety Program Mid to Late 2015 Agency Safety PlanMid to Late 2015

15. 15 AudienceSMS Awareness* SMS for Executives* SMS 100 Rail SMS101 SSO SMS102 Bus Length of course1 HOUR30-45 minutes2.5 days2 days Transit Agency Executives ✔ Transit Agency Safety Director and Staff (Rail) ✔✔ Transit Agency Safety Director and Staff (Bus) ✔✔ State Oversight Agency Personnel ✔✔✔ All Transit Employees ✔ Initial SMS training courses and audiences

16. 16 Partner with transit agencies to support transition to SMS Conduct SMS Gap Analysis and cultural assessment Support development of SMS implementation plan Monitor agency implementation of SMS and provide assistance Goal: Initiate Pilot Program in 2015 FTA SMS Implementation Pilot Program

17. 17 Draft and publish Notice of Proposed Rulemakings Issue Interim Provisions for the Safety Certification Training Program Conduct Outreach at Industry Conferences Initiate Transit Agency SMS Implementation Pilot Program Continue Piloting SMS Training Courses Continue the Development of an Effective State Safety Oversight (SSO) Certification and Grant Program Next Steps

18. 18 Moving Forward with Our Safety Vision Make a safe industry even safer Every transit agency is key to fulfilling this safety mission SMS will be how we manage safety in 10 years.

19. 19 SMS Cannot Be Successful Without Your Full Support For further information: Lynn Spencer Director, Office of Safety Systems Lynn.Spencer@dot.gov (202) 366-5112 Moving Forward with SMS