1. Safety Management System (SMS) Workshop• ODOT Central Office, May 7, 2019
Welcome and intro

2. Opening Remarks and Safety Brief
Welcome!
Safety Brief
ODOT SMS Workshop, May 7, 2019

3. Expectation for this workshop
Introductions
Name
Organization
Role
Expectation for this workshop
ODOT SMS Workshop, May 7, 2019

4. Please put your cell phone on silent
Rules
Please put your cell phone on silent
If you need to take a call or a break, please feel free to do so
Please ask questions and share with the group – raise your hand or speak up
We have microphones so everyone can hear questions and comments
ODOT SMS Workshop, May 7, 2019

5. These materials are on the ODOT Office of Transit website
Handouts
These materials are on the ODOT Office of Transit website
Agenda
49 CFR Part 673 – Federal Transit Administration (FTA) Public Transportation Agency Safety Plan regulation
FTA Agency Safety Plan Template Reference Guide
ODOT Agency Safety Plan Template
National Safety Plan
Detailed outline of an Agency Safety Plan based on the System Safety Program Plan (SSPP) elements and Part 673 and Part 674
ODOT SMS Workshop, May 7, 2019

6. Agency Safety Plans – Overview
ODOT SMS Workshop, May 7, 2019

7. Public Transportation Agency Safety Plan
Public Transportation Agency Safety Plan (PTASP) means the comprehensive agency safety plan for a transit agency that is required by 49 U.S.C and this part [49 CFR Part 673].
Public Transportation Agency Safety Plan (PTASP), Agency Safety Plan (ASP), Safety Plan
ODOT SMS Workshop, May 7, 2019

8. Who Does Part 673 Apply To?
Applies to any State, local governmental authority, and any other operator of a public transportation system that receives Federal financial assistance under 49 U.S.C. Chapter 53 [673.1]
Does not apply to an operator of a public transportation system that only receives 5310 (Formula grants for the enhanced mobility of seniors and individuals with disabilities) or 5311 funding (Formula grants for rural areas) [673.1(b)]
Does not apply to passenger ferries or rail systems under the jurisdiction of the Federal Railroad Administration (FRA) [673.11(f)]
ODOT SMS Workshop, May 7, 2019

9. Who Does Part 673 Apply To?
Applies to an FTA grant recipient or subrecipient of Section 5307 funding (Urbanized area formula grants), including contracts with another entity to provide transit service.
Paratransit Service - If a transit agency receives Section 5307 funds, paratransit service provided by the recipient or subrecipient is subject to Part 673.
ODOT SMS Workshop, May 7, 2019

10. What does Part 673 require? A Safety Plan
A transit agency must, within one calendar year after the effective date of the final rule, establish a Public Transportation Agency Safety Plan that meets the requirements of this part. [673.11(a)]
The Public Transportation Agency Safety Plan must address all applicable requirements and standards as set forth in FTA’s Public Transportation Safety Program and the National Public Transportation Safety Plan. Compliance with the minimum safety performance standards authorized under 49 U.S.C. 5329(b)(2)(C) is not required until standards have been established through the public notice and comment process. [673.11(a)(4)]
ODOT SMS Workshop, May 7, 2019

11. A Safety Plan (continued)
What does Part 673 require?
A Safety Plan (continued)
A transit agency may develop one Public Transportation Agency Safety Plan for all modes of service or may develop a Public Transportation Agency Safety Plan for each mode of service not subject to safety regulation by another Federal entity. [673.11(b)]
ODOT SMS Workshop, May 7, 2019

12. What does Part 673 require?
By July 20, 2020, each transit operator that is subject to this rule must have a drafted and certified Safety Plan that meets the requirements of Part 673 for all modes of transit service not subject to safety regulation by another Federal entity. The Safety Plan must include all information, processes, and procedures outlined in Part 673.
The Safety Plan must be completed, signed and certified by the deadline; however, FTA does not expect all transit agencies to have a fully implemented SMS by this date.
ODOT SMS Workshop, May 7, 2019

13. All Safety Plans must include documented safety management processes.
What does Part 673 require?
All Safety Plans must include documented safety management processes.
It is insufficient to merely indicate in the Plan that the processes exist.
A Safety Plan may include additional sections and information beyond what is required in Part 673.
FTA encourages transit agencies to incorporate any tools and best practices that effectively mitigate and eliminate safety risk throughout their systems.
ODOT SMS Workshop, May 7, 2019

14. A Safety Management System (SMS)
Each transit agency must establish and implement a Safety Management System under this part. A transit agency Safety Management System must be appropriately scaled to the size, scope, and complexity of the transit agency [673.21]
The Safety Plan should note key transit system characteristics in the relevant sections to show how the features of your SMS make sense for your transit agency (and mode).
ODOT SMS Workshop, May 7, 2019

15. Safety Plan Documentation
A transit agency is required to maintain documents that describe its Safety Plan, including those related to implementation and results from processes and activities.
A transit agency must maintain these documents for a minimum of three years.
A transit agency may have existing documentation that describes processes, procedures, and other information required.
Safety Plan Documentation
ODOT SMS Workshop, May 7, 2019

16. Safety Plan Development, Approval, and Updates
ODOT SMS Workshop, May 7, 2019

17. Drafting the Plan
A State must draft and certify a Public Transportation Agency Safety Plan on behalf of any small public transportation provider that is located in that State.
ODOT SMS Workshop, May 7, 2019

18. Drafting the Plan
A State is not required to draft a Public Transportation Agency Safety Plan for a small public transportation provider if that agency notifies the State that it will draft its own plan.
ODOT SMS Workshop, May 7, 2019

19. Drafting the Plan
If a State drafts and certifies a Public Transportation Agency Safety Plan on behalf of a transit agency, and the transit agency later opts to draft and certify its own Public Transportation Agency Safety Plan, then the transit agency must notify the State.
ODOT SMS Workshop, May 7, 2019

20. Drafting the Plan
The transit agency has one year from the date of the notification to draft and certify a Public Transportation Agency Safety Plan that is compliant with this part.
The Public Transportation Agency Safety Plan drafted by the State will remain in effect until the transit agency drafts its own Public Transportation Agency Safety Plan. [673.11(d)]
ODOT SMS Workshop, May 7, 2019

21. Drafting the Plan
Small public transportation provider means a recipient or subrecipient of Federal financial assistance under 49 U.S.C that has one hundred (100) or fewer vehicles in peak revenue service and does not operate a rail fixed guideway public transportation system.
ODOT SMS Workshop, May 7, 2019

22. ODOT’s Contact is Jessyca Hayes, Office of Transit
Drafting the Plan
ODOT has 18 of 22 small public transportation providers currently participating in the State plan.
ODOT Office of Transit has a customized template based on the FTA bus ASP template
ODOT’s Contact is Jessyca Hayes, Office of Transit
ODOT SMS Workshop, May 7, 2019

23. Safety Plan Approval
The Public Transportation Agency Safety Plan and subsequent updates must be signed by the Accountable Executive and approved by the agency’s Board of Directors or an Equivalent Authority. [673.11(a)(1)]
ODOT SMS Workshop, May 7, 2019

24. Safety Plan Approval
Equivalent Authority means an entity that carries out duties similar to that of a Board of Directors, for a recipient or subrecipient of FTA funds under 49 U.S.C. Chapter 53, including sufficient authority to review and approve a recipient or subrecipient’s Public Transportation Agency Safety Plan.
ODOT SMS Workshop, May 7, 2019

25. Examples of Equivalent Authorities
Could be the policy decision-maker or grant manager for a small public transportation provider
The City Council or City Manager for a city
A county government for a county
A State transportation commission for a State
ODOT SMS Workshop, May 7, 2019

26. Safety Plan Certification
Each transit agency, or State as authorized in (d), must certify that it has established a Public Transportation Agency Safety Plan meeting the requirements of this part one year after the effective date of this final rule. [673.13(a)]
On an annual basis, a transit agency, direct recipient, or State must certify its compliance with this part. [673.13(b)]
ODOT SMS Workshop, May 7, 2019

27. Safety Plan Certification
FTA indicates that they will issue guidance explaining how States can certify Safety Plans on behalf of small public transportation providers.
Rail transit ASPs will be certified to the State SSO and FTA, approval from the State SSO.
Transit agencies without rail transit will certify compliance to FTA, and review by FTA will be a part of the Triennial Audit process.
ODOT SMS Workshop, May 7, 2019

28. Safety Plan Review and Updates
Each transit agency must establish a process and timeline for conducting an annual review and update of the Public Transportation Agency Safety Plan. [673.11(a)(5)]
For example, when a transit agency:
Determines its approach to mitigating safety deficiencies is ineffective
Makes significant changes to service delivery
Introduces new processes or procedures that may impact safety
Changes or re-prioritizes resources available to support SMS
Significantly changes its organizational structure
ODOT SMS Workshop, May 7, 2019

29. Safety Performance Targets (SPT)
ODOT SMS Workshop, May 7, 2019

30. Safety Performance management
Safety Performance Management will help each agency properly establish a program of planning, goal setting, and measurement of overall safety performance.
Effective safety performance management is the basis for continuous safety improvement.
ODOT SMS Workshop, May 7, 2019

31. Performance Criteria, Measures, and Targets for Improvement
Performance Criteria and Measures are not new to the transit industry
Safety Performance Criteria and Measures are a subset
FTA has published the Safety Performance Criteria and Measures for the transit industry in the National Public Transportation Safety Plan (current version is 1.0, January 2017)
Fatalities
Injuries
Safety Events
System Reliability
ODOT SMS Workshop, May 7, 2019

32. Performance Criteria, Measures, and Targets for Improvement
Fatalities
Total number of reportable fatalities and rate per total vehicle revenue miles by mode
Injuries
Total number of reportable injuries and rate per total vehicle revenue miles by mode
Safety Events
Total number of reportable events and rate per total vehicle revenue miles by mode
System Reliability
Mean distance between major mechanical failures by mode
ODOT SMS Workshop, May 7, 2019

33. Performance Criteria, Measures, and Targets for Improvement
ODOT SMS Workshop, May 7, 2019

34. Safety Performance Targets for Improvement
The Public Transportation Agency Safety Plan must include performance targets based on the safety performance measures established under the National Public Transportation Safety Plan. [673.11(a)(3)]
Each transit agency must include SPTs in its Safety Plan
These targets must be specific numerical targets set by transit agencies themselves, and must be based on the safety performance measures established by FTA.
ODOT SMS Workshop, May 7, 2019

35. Safety Performance Related Definitions
Performance Target means a quantifiable level of performance or condition, expressed as a value for the measure, to be achieved within a time period required by the FTA.
Safety Performance Target means a Performance Target related to safety management activities.
ODOT SMS Workshop, May 7, 2019

36. Safety Performance Related Definitions
Event means any Accident, Incident or Occurrence.
Accident means an Event that involves any of the following:
a loss of life;
a report of a serious injury to a person;
a collision of public transportation vehicles;
a runaway train;
an evacuation for life safety reasons; or
any derailment of a rail transit vehicle, at any location, at any time, whatever the cause.
ODOT SMS Workshop, May 7, 2019

37. Safety Performance Related Definitions
Incident means an Event that involves any of the following: A personal injury that is not a serious injury; one or more injuries requiring medical transport; or damage to facilities, equipment, rolling stock, or infrastructure that disrupts the operations of a transit agency
Occurrence means an Event without any personal injury in which any damage to facilities, equipment, rolling stock, or infrastructure does not disrupt the operations of a transit agency.
ODOT SMS Workshop, May 7, 2019

38. Safety Performance Related Definitions
Serious Injury means any injury which:
Requires hospitalization for more than 48 hours, commencing within 7 days from the date the injury was received;
Results in a fracture of any bone (except simple fractures of fingers, toes, or noses);
Causes severe hemorrhages, nerve, muscle, or tendon damage;
Involves any internal organ; or
Involves second- or third-degree burns, or any burns affecting more than 5 percent of the body surface.
ODOT SMS Workshop

39. Target Coordination
A State or transit agency must make its safety performance targets available to States and Metropolitan Planning Organizations to aid in the planning process. [673.15(a)]
To the maximum extent practicable, a State or transit agency must coordinate with States and Metropolitan Planning Organizations [MPOs] in the selection of State and MPO safety performance targets. [673.15(b)]
At a minimum, FTA requires each transit agency to make its SPTs available to States and MPOs.
ODOT SMS Workshop, May 7, 2019

40. Questions ?
Last updated 8/31/2019
ODOT SMS Workshop, May 7, 2019