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 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

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 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

9. 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

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 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

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 Matrix SMS Pillar 1, Component 1 Rail Transit SMS GuideSSPPSSPP Element Safety Management Policy Statement SSPP Introduction – Policy Statement 1 AuthoritySSPP introduction1 Purpose/Scope of SMS guide Description/Purpose of SSPP 2 Goals for SMSSystem Safety Goal3 Identifiable/Attainable Objectives SSPP Objectives4 Strategic Program Planning N/A Safety CultureN/A

15. Crosswalk Matrix SMS Pillar 1- Component 2 Rail Transit SMS GuideSSPPSSPP Element System DescriptionSystem Description/Organization al Structure 5 Organizational StructureSystem Description/Organization al Structure 5 Accountability of Key Personnel System Description/Organization al Structure 5 Organizational Context Requirements for Safety N/A

16. Crosswalk Matrix SMS Pillar 1 – Component 3 Rail Transit SMS GuideSSPPSSPP Element Inter-departmental Coordination Interdepartmental and Interagency Coordination 17 Interagency Coordination Interdepartmental and Interagency Coordination 17 Emergency ResponseEmergency Response Planning, Coordinating and Training 14

17. Crosswalk Matrix SMS Pillar 1 – Component 4 Rail Transit SMS GuideSSPPSSPP Element SMS Guide Development and Communication N/A Update of the SMS Guide SSPP Control and Update Procedure 6 Administrative ControlsN/A Safety Plan Documentation N/A

18. Crosswalk Matrix SMS Pillar 2 – Component 5 and 6 Rail Transit SMS GuideSSPPSSPP Element Hazard IdentificationHazard Identification and Resolution 7 Hazard EvaluationHazard Identification and Resolution 7 Hazard MitigationHazard Identification and Resolution 7 Risk ReductionHazard Identification and Resolution 7

19. Crosswalk Matrix SMS Pillar 3 – Component 7 Rail Transit SMS GuideSSPPSSPP Element Safety Data Acquisition and Analysis 16 Accident/Incident Reporting and Investigation 8 Rail Corridor SafetyN/A Infrastructure Maintenance, Inspection and Repair Facility Inspections10, 11 Vehicle Maintenance, Inspection and Repair Maintenance Inspections 11 Passenger Operational Environment N/A

20. Crosswalk Matrix SMS Pillar 3 – Component 8, 9 Rail Transit SMS GuideSSPPSSPP Element Configuration Management 18 Safety and Security Certification System Modification and Approval Process 15 Safety AssessmentInternal Safety Audit Process 9

21. Crosswalk Matrix SMS Pillar 4 – Component 10, 11 Rail Transit SMS GuideSSPPSSPP Element Workplace Safety Program Employee Safety Programs Drug and Alcohol Policy 19 21 Public Safety ProgramsN/A Contractor Requirements for Safety Contractor Operations22 Materials ManagementProcurement Hazardous Materials and Environmental Management 20 23 Rules and Procedures Review 12 Training and Certification 13

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