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Safety Management System(SMS) OverviewMichael CoplenDivision Chief, Safety Policy and PromotionOffice of Transit Safety and OversightFederal Transit AdministrationFebruary14, 2017

Overview What is SMS? SMS Framework2

SMS Framework Institutionalizes SMScomponents and subcomponents Establishes a commonlanguage for transitcommunity Provides platform foradvancing SMS3

What FTA wants from a safetyperspective Improved safety performance - make a safe industry evensafer Increased accountability for safety decisions at highest levelsof transit agency Greater consistency in identifying hazards and evaluatingsafety risk Increased use of data to monitor effectiveness of safety riskmitigations Strong safety culture within every transit system4

Formal SMS Definition“SMS is the formal, top-down, organization-wideapproach to managing safety risk and assuring theeffectiveness of safety risk mitigations. It includessystematic policies, procedures, and practices for themanagement of safety risk.”5

SMS Answers These Critical Questions1.2.3.4.5.What are our most serious safety concerns?How do we know this?What are we doing about it?Is what we are doing working?How do we know what we are doing is working?6

SMS Framework Components7

Safety Management nagementPolicy StatementSafetyAccountabilities &ResponsibilitiesIntegration withPublic Safety &EmergencyManagementSMSDocumentation &Records8

Safety Management PolicySafety Management Policy component providesorganizational foundation for Safety RiskManagement and Safety Assurance processesto thrive9

Safety Risk Management tion &AnalysisSafety RiskEvaluation &Mitigation10

Safety Risk ManagementSafety Risk Management activities areforward looking11

Safety Assurance toring t12

Safety AssuranceSafety Assurance activities monitor the present13

Safety Promotion mpetenciesand Training14

Safety PromotionSafety Promotion component supportsorganizational interactions required to buildan effective SMS15

Questions?Michael CoplenDivision Chief, Safety Policy and PromotionOffice of Transit Safety and OversightFederal Transit Administration202.493.6346Michael.Coplen@dot.gov16

Safety Management System(SMS) Overview andImplementationMichael CoplenDivision Chief, Safety Policy and PromotionOffice of Transit Safety and OversightFederal Transit AdministrationFebruary14, 2017

Overview What is SMS?SMS FrameworkSMS Implementation Pilot ProgramBus Safety Program OverviewNational Public Transportation Safety Plan18

SMS Framework Institutionalizes SMScomponents and subcomponents Establishes a commonlanguage for transitcommunity Provides platform foradvancing SMS19

What FTA wants from a safetyperspective Improved safety performance - make a safe industry evensafer Increased accountability for safety decisions at highest levelsof transit agency Greater consistency in identifying hazards and evaluatingsafety risk Increased use of data to monitor effectiveness of safety riskmitigations Strong safety culture within every transit system20

Formal SMS Definition“SMS is the formal, top-down, organization-wideapproach to managing safety risk and assuring theeffectiveness of safety risk mitigations. It includessystematic policies, procedures, and practices for themanagement of safety risk.”21

SMS Answers These Critical Questions1.2.3.4.5.What are our most serious safety concerns?How do we know this?What are we doing about it?Is what we are doing working?How do we know what we are doing is working?22

SMS Framework Components23

Safety Management nagementPolicy StatementSafetyAccountabilities &ResponsibilitiesIntegration withPublic Safety &EmergencyManagementSMSDocumentation &Records24

Safety Management PolicySafety Management Policy component providesorganizational foundation for Safety RiskManagement and Safety Assurance processesto thrive25

Safety Risk Management tion &AnalysisSafety RiskEvaluation &Mitigation26

Safety Risk ManagementSafety Risk Management activities areforward looking27

Safety Assurance toring t28

Safety AssuranceSafety Assurance activities monitor the present29

Safety Promotion mpetenciesand Training30

Safety PromotionSafety Promotion component supportsorganizational interactions required to buildan effective SMS31

SMS Implementation Pilot Program32

SMS Implementation Pilot ProgramOverviewIn partnership with select transit agencies, FTA isdeveloping and testing practical guidance materials andtools to help the transit industry transition to safetymanagement systems (SMSs).Through this program, FTA Provides onsite training, guidance, technical assistance, andexpertise on SMS implementation Identifies best practices and lessons learned Develops insights on how best to support the industry-widetransition to SMSs33

SMS Implementation Pilot ProgramStatus UpdateChicago Transit Authority(CTA) PilotFTA continues to supportCTA’s transition to an SMS,applying lessons learned tothe development of SMSguidance documents andtechnical assistance tools forthe industry.Leveragingaviation’s SMSexpertiseSafety experts fromUnited Airlines haveshared their real-worldexperience implementingand operating an SMS,including employee safetyreporting and datavisualization.34

SMS Implementation Pilot ProgramStatus UpdateSmall and Mid-size BusAgencies PilotFTA initiated an SMS pilot withthree small and mid-size busagencies in Maryland. This pilot isfocused on developing and testingSMS guidance documents andtechnical assistance tools for:Montgomery County, MDFrederick County, MD Bus agencies of all sizes Rural transit operators Contractor-operated servicesCharles County, MD35

Bus Safety Program Overview36

Bus Safety Program Background Objective: To improve safety for passengers,employees, and all who share roadways with transitbuses Voluntary program, but moving to an oversight role Developed in collaboration with industry partners(APTA, CTAA, AASHTO) Initial focus on small urban/rural bus transit systems– Now includes large urban bus transit systems37

Certification Training Program Established by the Interim Provisions for the PublicTransportation Safety Certification Training Program Courses are open to public transportation industry REQUIRED for rail oversight personnel RECOMMENDED for bus oversight personnel38

Upcoming Training OpportunitieseLearning Self-Paced Online CoursesCurbing Transit Employee Distracted DrivingGo to https://www.rita.dot.gov/tsi/Fatigue and Sleep Apnea Awareness for Transit Employees Go to https://www.rita.dot.gov/tsi/SMS AwarenessGo to https://www.rita.dot.gov/tsi/39

Upcoming Training OpportunitieseLearning Self-Paced Online CoursesCurbing Transit Employee Distracted DrivingGo to https://www.rita.dot.gov/tsi/Fatigue and Sleep Apnea Awareness for Transit Employees Go to https://www.rita.dot.gov/tsi/SMS AwarenessGo to https://www.rita.dot.gov/tsi/40

Upcoming Training OpportunitiesGeneral Transit Safety CoursesSMS Principles for TransitLos Angeles, CAFebruary 22-24SMS Principles for TransitAtlanta, GAFebruary 28-March 2Substance Abuse Management and Program ComplianceJacksonville, FLFebruary 28-March 2Reasonable Suspicion and Post-Accident Testing Determination SeminarJacksonville, FLMarch 3SMS Principles for TransitHonolulu, HIMarch 6-8SMS Safety AssuranceVirtual-Live TrainingMarch 8Transit Supervisor Certification Training CourseEverett, WAMarch 13-17SMS Principles for TransitPhiladelphia, PAMarch 15-17SMS Principles for TransitFredericksburg, VAMarch 22-24SMS Safety AssuranceVirtual-Live TrainingApril 4SMS Principles for TransitBrooklyn, NYApril 3-5SMS Principles for TransitBrooklyn, NYApril 5-7SMS Principles for TransitEverett, WAApril 19-21Transit Safety and Security Audit CourseKansas City, MOApril 26-28SMS Safety AssuranceVirtual-Live TrainingApril 2741

Upcoming Training OpportunitiesBus Transit CoursesFundamentals of Bus Collision InvestigationDallas, TXFebruary 27-March 3Transit Bus System SafetyOceanside, CAMarch 6-10Transit Bus System SafetyHonolulu, HIMarch 13-17Instructors Course for Transit TrainersCharlotte, NCMarch 20-24Fundamentals of Bus Collision InvestigationLandover, MDMarch 20-24Instructors Course for Transit TrainersBaltimore, MDApril 3-7Fundamentals of Bus Collision InvestigationAtlanta, GAApril 10-14Instructors Course for Transit TrainersCasper, WYApril 17-21Fundamentals of Bus Collision InvestigationWest Palm Beach, FL April 24-2842

National Public Transportation Safety Plan43

National Public Transportation Safety Plan(National Safety Plan)The Plan is: NOT a rule FTA’s strategic plan Sets safety performancecriteria for Agency SafetyPlan performance targetsPublished: 1/17/1744

National Safety Plan Resources Resources for the National Safety Plan can be found on FTA’sRulemaking page– 5

Questions?Michael CoplenDivision Chief, Safety Policy and PromotionOffice of Transit Safety and OversightFederal Transit Administration202.493.6346Michael.Coplen@dot.gov46

FTA SafetyCertification TrainingMichael CoplenDivision Chief, Safety Policy and PromotionOffice of Transit Safety and OversightFederal Transit AdministrationFebruary14, 2017

Overview Interim Safety Certification Training Program ProvisionsFTA Safety Training WebsiteSMS Awareness CourseUpcoming Training Opportunities48

Interim Safety Certification TrainingProgram ProvisionsThree components Required trainingprogram Required TechnicalTraining Plan Voluntary Fills in the gaprequirements until theNational PublicTransportation SafetyCertification TrainingProgram Final Rule ispublished Effective Date: 5/28/1549

FTA Safety Training Website The FTA safety training website https://safety.fta.dot.gov is currentlyinactive and not available. We will inform you once it is back online.Please go to afety/safetytraining for the status of the safety training website and current safetytraining information. In the interim, please contact the FTA-sponsored Transportation SafetyInstitute (TSI), at transit@dot.gov or (405) 954-3682, for safety trainingregistration and course information. The SMS Awareness eLearning course is available on the TransportationSafety Institute’s (TSI) Learning Management System (LMS). For any other safety training questions, please contact either DakishaSpratling at Dakisha.Spratling@dot.gov or Ruth Lyons atRuth.Lyons@dot.gov. For State Safety Oversight, please contact Joe Powell atJoseph.Powell@dot.gov or Maria Wright at Maria1.Wright@dot.gov50

Accessing the SMS Awareness CourseSMS Awareness is available on the Transportation Safety Institute’s (TSI) LMS. Locate and launchthe course by following these steps: Go to https://www.rita.dot.gov/tsi/Click on “Course Catalog”Log into the TSI learning management system, or register if you do not have an existingaccountClick “Search Catalog”Type “SMS Awareness” into the search boxSelect “SMS Awareness” when it appears on the screenClick the “Request” buttonClick “Launch”Please contact Dakisha.Spratling@dot.gov or Ruth.Lyons@dot.gov with any safety trainingquestions.51

eLearning Training OpportunitieseLearning Self-Paced Online CoursesCurbing Transit Employee Distracted DrivingGo to https://www.rita.dot.gov/tsi/Fatigue and Sleep Apnea Awareness for Transit Employees Go to https://www.rita.dot.gov/tsi/SMS AwarenessGo to https://www.rita.dot.gov/tsi/52