Safety Management System (SMS):

What it is and How to Implement it

Ream Lazaro FTA Bus Safety Program

Contractor
SMS: WHAT IT IS
 What is SMS?
Formal, top-down, organization-wide, data-
driven approach to managing safety risk and
assuring effectiveness of safety risk mitigations.
Includes systematic policies, procedures, and
practices for managing safety risk.

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 What SMS does
Ensures timely information about safety risks
Enables executives to make informed decisions about
prioritized allocation of safety resources
Actively seeks to identify hazards and mitigate their
potential consequences
Fosters system-wide communication about safety
issues up, down and across the agency
Improves safety culture by involving front-line
employees in hazard identification

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Five questions SMS helps answer

1. What are our most serious safety concerns?

2. How do we know this?
3. What are we doing about it?
4. Is what we are doing working?
5. How do we know what we are doing is
working?

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SMS Framework Components

Safety Safety Safety Safety

Management Risk Assurance Promotion
Policy Management

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SMS SAFETY MANAGEMENT POLICY
COMPONENT
Safety Management Policy Sub-Components

Safety
Management
Policy

Safety Safety Integration with

SMS
Management Accountabilities Public Safety &
Documentation
Policy Statement & Emergency
& Records
Responsibilities Management

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 The Safety Management Policy
Statement Sub-Component
The safety management policy statement is
the charter of an SMS
Safety It must clearly and succinctly frame
Management fundamentals upon which transit agency
Policy SMS will operate
Safety management policy statement should
not exceed a page or two

Safety Safety Integration with

SMS
Management Accountabilities Public Safety &
Documentation
Policy Statement & Emergency
& Records
Responsibilities Management

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Safety Management Policy Statement
Six Crucial Aspects
1. Must be signed by highest executive in agency
2. Includes clear statement about providing resources for
managing safety to maintain service delivery
3. Commits to safety reporting program and outlines safety
reporting procedures
4. Defines conditions under which exemptions from
disciplinary action are applicable
5. Spells out unacceptable operational behaviors
6. Is communicated, with visible endorsement, throughout the
transit agency
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 Management Commitment
The Safety Management Policy statement
documents managements commitment to:
Allocate necessary safety resources
Leading from the front - walking the talk
Utilize an effective safety reporting program
Create a positive safety culture
Continuous safety improvement
Demonstrate that safety matters
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 Safety Accountabilities &
Responsibilities Sub-Component
Safety management is not sole responsibility of
Safety Manager or Safety Department
Safety Critical to detail safety accountabilities and
responsibilities for:
Management Accountable Executive
Policy Safety/SMS Manager
Managers and supervisors
Front line employees
Organizational structure and arrangements
defined here

Safety Safety Integration with

Management SMS
Accountabilities Public Safety &
Policy Statement Documentation
& Emergency
& Records
Responsibilities Management
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Accountable Executive Responsibilities
Ensure safety concerns are considered in ongoing
budget planning process
Ensure transparency in safety priorities for Board
of Directors/oversight entity and employees
Establish guidance on level of acceptable safety risk
Assure safety policy is appropriate and
communicated throughout agency

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 SMS Manager/Key Safety Personnel
Responsibilities
Manages SMS implementation plan on behalf of
Accountable Executive
Directs hazard identification and safety risk
evaluation
Monitors mitigation activities
Provides periodic reports on safety performance
Maintains safety documentation
Plans and organizes safety training
Scale of this function varies depending on size of
organization
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Safety Responsibilities, Accountabilities
and Authorities must be:

Documented
Communicated throughout organization
Include definition of management levels that
have authority to make decisions regarding
safety risk tolerability

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 Integration with Public Safety &
Emergency Management Sub-Component
Ensures integration of programs that have
Safety input into or output from SMS
Management Identifies and describes interface with
Policy external organizations
Ensures coordination in plans for dealing
with emergencies and abnormal operations
and return to normal operations

Safety Safety Integration with SMS

Management Accountabilities Public Safety & Documentation
Policy Statement & Emergency & Records
Responsibilities Management

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 Integration Public Safety and
Emergency Management
Index of transit agency procedures and plans for
public safety and emergency preparedness
Addresses need for coordination of various
internal and external programs that may impact
safety management

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 SMS Documentation & Records
Sub-Component
Agency ensures that it formalizes and documents
Safety key elements of SMS, such as:
Safety management policy statement
Management SMS requirements
Policy SMS processes and procedures
Accountabilities, responsibilities, and authorities
for processes and procedures
Documentation is scalable, but must be sufficient to
help institutionalize processes within SMS

Safety Safety Integration with

SMS
Management Accountabilities Public Safety &
Documentation
Policy Statement & Emergency
& Records
Responsibilities Management

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 SMS Documentation and Records
Documentation including:
Safety management policy statement
Descriptions of SMS processes, activities and
tools
Records of:
Outputs of safety risk management process
Outputs of safety assurance process
SMS training for and safety communication with
employees

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SMS SAFETY RISK MANAGEMENT
COMPONENT
Safety Risk Management Sub-components

Safety
Risk
Management

Hazard Safety Risk

Identification & Evaluation &
Analysis Mitigation

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Hazard Identification & Analysis
Sub-Component

Safety
Risk
Management

Hazard Safety Risk

Identification & Evaluation and
Analysis Mitigation

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 Three Key Terms in Hazard
Identification and Analysis:

Safety deficiency
Hazard
Consequence

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 Safety Deficiency
A system-wide condition that allows hazards
to exist
Lack of management support for employee safety
reporting system
Deficiencies in documented key activities, such as
hazard identification
Shortcomings in personnel resources or training in
safety-critical areas
Unclear operational procedures
Staffing key operational positions with personnel
not meeting required qualifications
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 Hazard

Condition or object [always present] with the

potential of causing injuries to personnel,
damage to equipment or structures, loss of
material, or reduction of ability to perform a
prescribed function

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 Consequence

Potential outcome(s) of a hazard

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 Hazard Identification & Analysis
Hazard Identification & Analysis Safety Risk Evaluation Safety Risk Mitigation
1 Hazard
Identification
Hazard Identification &
Analysis
Collect data / info
Operational
System Provides foundation for safety risk
Description 2 Hazard evaluation activities
Analysis Must be agency-wide and fully
supported and promoted
State the generic
hazard(s)

Identify hazard
components

Identify specific
consequences
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Hazard Identification: Data Collection

1 Hazard
Identification
Data and Information
Collection
Collect data / info

Multiple sources for data collection

Supports reporting of identified
new or existing hazards
Quality and integrity of data and
information is essential

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 Hazard Identification: Operational
System Description
1 Hazard
Identification Operational System
Description
Collect data / info
Establishes scope of hazard analysis
Operational
System and risk evaluation activities
Description Provides tool for better
understanding location in the
practical drift
Takes place early in SRM process

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 Hazard Analysis
Hazard Identification & Analysis Safety Risk Evaluation Safety Risk Mitigation
1 Hazard Hazard Analysis
Identification
Defines what will be analyzed
Collect data / info
Defines who will do analyses
Operational
System Clarifies evaluation of safety risk
Description 2 Hazard through ABCs of hazard analysis
Analysis

State the generic

hazard(s)

Identify hazard
components

Identify specific
consequences
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 ABCs of Hazard Analysis
State the Generic Hazard
(Hazard Statement)

Identify the Components

A B of the Hazard

Identify Specific
Consequence(s)

C
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Safety Risk Evaluation & Mitigation
Sub-Component

Safety
Risk
Management

Hazard Safety Risk

Identification & Evaluation and
Analysis Mitigation

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 Safety Risk Evaluation Process
Hazard Identification & Analysis Safety Risk Evaluation Safety Risk Mitigation
3 Evaluate
the Safety Risk

Safety Risk Evaluation Express probability of

Quantifies potential consequence of consequence

identified hazards
Express severity of
Takes into consideration existing consequence
defenses
Determines whether safety risk is Evaluate current
acceptable mitigations

Data driven
Index safety risk

Acceptable
level of
mitigations?
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 Five Safety Risk Evaluation Steps

1. Express safety risk probability

2. Express safety risk severity
3. Evaluate current mitigations
4. Indicate safety risk
5. Determine level of acceptability

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 Safety Risk Tolerance

Safety risk of
Unacceptable consequence is
Region not
acceptable

As Safety risk of
Low Acceptable consequence is
Based on Mitigation acceptable based
As Region on existing or new
Reasonably mitigation
Practicable
Acceptable
Safety risk of
Region
consequence is
acceptable as it
stands
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 Safety Risk Mitigation
Hazard Identification & Analysis Safety Risk Evaluation Safety Risk Mitigation

4 Mitigate Safety
Risk
Safety Risk Mitigation

Manage safety risk

Aim is to reduce safety risks to
acceptable level
Provides course of action to be
monitored by Safety Assurance
function

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SMS SAFETY ASSURANCE
COMPONENT
Safety Assurance Sub-Components

Safety
Assurance

Safety Management
performance of Continuous
monitoring & change improvement
measurement
 Relationship between Safety Assurance
and SRM
Are safety risk mitigations Hazard
working? How do we know? Identification
Never-
Ensure that safety mitigation Hazard ending
activities are being Analysis cycle
implemented
Verify that safety mitigation
Evaluate
activities are appropriate and Monitor &
the Safety Risk
effective Measure
Identify new hazards, safety
deficiencies or latent Mitigate Safety
Risk
conditions that were not
originally identified and
addressed during SRM Manage safety
risks

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 Safety Performance Monitoring &
Measurement Sub-Component

Safety management requires

feedback on safety Safety
performance to complete the Assurance
safety management cycle

Safety
Management
performance Continuous
of
monitoring & improvement
change
measurement
Safety Performance Monitoring
Safety
performance
monitoring &
measurement

Continuous 1 Continuous Monitoring

monitoring Safety Assurance activities and
tools must be established and
exercised
Safety
Performance Ongoing capture of data and
measures information is critical
Collected data and information
need to be examined for hazards
and measured against safety
performance objectives
Safety Performance Measurement
Safety
performance
monitoring &
measurement

2 Safety Performance
Continuous
monitoring Measurement
Provides indicators for Executive
Management and Oversight Agency
Safety
performance Provides assurance that agency is
measurement achieving its safety performance
Provides assurance that SMS and
safety risk mitigations are working
as anticipated
 Measuring Safety Performance
Safety Objectives
Specific measurable statements related to attaining acceptable level
of safety
Safety Performance Targets
A quantified objective pertinent to acceptable level of safety, e.g.,
fewer serious injuries
Defines the desired safety outcome (target) and consists of one or
more safety performance indicators
Safety Performance Indicators
Measures used to determine if the acceptable level of safety
performance has been achieved
Enables an agency to measure achievement of set targets
Generally presented in terms of frequency of harmful events
occurring., e.g., 2 serious injuries per 100,000 revenue miles
 Management of Change
Sub-Component
Ensures that operational
changes or proposed changes
Safety do not introduce new hazards
Assurance ALL changes need to be
evaluated

Safety
Management
performance Continuous
of
monitoring & improvement
change
measurement
 The Effect of Changes

Hazards may be inadvertently introduced

By changes in operational environment
By changes in policies and procedures
Appropriateness of existing safety risk
mitigations can be affected by changes

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 Monitoring for Change
Among other activities:
Monitor service delivery
activities (must include field
Examples of changes:
observations) Changes External
Monitor operational and Regulations
maintenance data Audits
Assess external information Ongoing Environment
Assess employee safety data Passengers
reporting program capture Internal
Conduct evaluations of the SMS Organization
Conduct safety audits, studies, Personnel
reviews and inspections Procedures
Conduct safety surveys Equipment
Systems
Conduct safety investigations
 Identifying Change
SA identifies change and determines if it needs to
go through SRM
SRM evaluates safety risk of change
SRM analyzes existing safety risk mitigations
SRM determines if new mitigation strategies need
to be applied
Prior to implementing change, SRM establishes
mitigations and SA develops monitoring strategies
for these mitigations
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Continuous Improvement
Sub-Component

Safety
Assurance

Safety
Management
performance Continuous
of
monitoring & improvement
change
measurement
 Evaluating the SMS
Techniques for monitoring and reviewing
effectiveness of the SMS help to determine:
Sources of deficiencies in SMS
Areas that need improvement
Effectiveness and applicability of procedures
Areas of non-compliance with requirements
Corrective actions needed
 Measuring SMS Performance

Performance measures are established to

monitor various components of SMS
May include audits, training, surveys, reviews
This helps ensure safety risk mitigations are
working and agency safety performance
objectives are being met
SMS SAFETY PROMOTION
COMPONENT
 Safety Promotion and the SMS

Promotes ongoing
communication up,
down and across
Demonstrates
management
commitment
Increases safety
awareness
Improves safety
performance

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Safety Promotion Sub-Components

Safety
Promotion

Safety Competencies
Communication and Training

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 Safety Communication
Sub-Component
SMS is dependent on
ongoing management
commitment to Safety
communication Promotion
One of managements most
important responsibilities
under SMS is to encourage
and motivate others to want
to communicate openly,
authentically and without Safety Competencies
concern for reprisal Communication and Training

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 Importance of Communication
Without data, an SMS will starve
Without communication, there is no way to
feed it
Essential areas of effective safety
communication:
Safety concerns
Safety risks
Safety risk tolerance
Status and effectiveness of mitigations
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 Communication Platforms & Tools
Safety policies and procedures
Safety committees
Safety meetings and briefings
Safety bulletins and notices
Safety newsletters
Safety training
Safety posters
Electronic distribution
In-person, informal employee exchanges
 Competencies & Training
Sub-Component
Safety skill training supports
mitigations developed through Safety
Safety Risk Management Promotion
Employees at all levels must
be trained on SMS and their
roles and responsibilities in
supporting SMS

Safety Competencies
Communication and Training

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 Competencies and Training
Commitment to Training
Safety Management Policy addresses
importance of safety training and executive
management shows commitment by
ensuring sufficient resources to carry out
effective safety training programs

SMS Training Safety Skill Training

Everyone needs to be
trained/educated on the SMS
to understand their roles and
responsibilities and agencys
safety performance
objectives
Everyone needs to acquire the
competencies and knowledge
for consistent application of
their skills as they relate to
safety performance objectives

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SMS: HOW TO IMPLEMENT IT

Compliance Approach
Document current procedures
and practices
Safety regulators are primary
users of safety data
Focus on compliance with
prescriptive regulations
Reactive address safety
concerns after accidents occur
Safety Management Systems
Approach
Document strategies to address
priority safety risks
Safety regulators, and agency
leadership, employees and
stakeholders are all primary users of
safety data
Focus on measuring effectiveness of
risk control strategies and achieving
safety outcomes
Proactive learn from close calls and
address accident precursors to
prevent events
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 Key Points on SMS Implementation
Can take months to years, depending on agency
Certain activities are more appropriate for some
agencies than others
Not a check the box exercise; the SMS must be
realistic and practical
Not just a safety department effort
Those responsible for managing and operating the SMS
should be involved in developing it
Critical success factor CEO/executive leadership
commitment
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 The SMS Implementation Process
Phase 1 Phase 2 Phase 3
Prepare Develop Operationalize
Engage key individuals Design safety risk Put SMS policies,
and build a team management process processes, and activities
into practice as theyre
Get familiar with SMS Build safety assurance approved by agency
implementation function
Identify gaps SMS Determine SMS-related
policies, processes, and training and
activities agency needs communication
to develop
Draft safety management
Make a plan for how to policies to formally
fill the gaps establish SMS
processes and activities
throughout agency
Key Outputs Key Outputs Key Outputs
SMS gap analysis Public Transportation A functioning SMS
SMS Development Project Agency Safety Plan
(awaiting final rule)
Plan
Safety Management Policy SMS policy documents
Statement 62
SMS DEVELOPMENT PROJECT PLAN
What is an SMS Development Project Plan?
Describes details of who, what, where, when, and
how agency will build its SMS
Formalizes processes and procedures necessary to
develop, operationalize, and verify implementation of
SMS elements
Project Plan items must be realistic
If agency changes approach to implementation, Plan
must be updated to reflect change

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Why is an SMS Development Plan important?
Formalizes and organizes SMS development
Helps ensure key people are engaged and tasks
are completed correctly
Helps agency establish agreement and awareness
on key aspects of SMS development
roles and responsibilities; key tasks; timelines and
milestones; necessary resources and staffing
Making key decisions early is efficient and
minimizes disruption of day-to-day operations

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Key Elements of the Plan

SMS Development
Activities and Recordkeeping
Timeline

Project
Management
Plan Overview

Plan Management

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 Recordkeeping

Concurrences
Version number SMS

Issue date Development

Activities and
Timeline
Recordkeeping

Signatures of all that

approve Plan Project
Management
Plan
Overview

Document change record Plan

Complete history of Management

successive Plan edits

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 Plan Overview

Outcomes and objectives

Purpose SMS
Development Recordkeeping
Activities and

Scope Timeline

Project Plan
Management Overview

Plan
Management

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 Plan Management

Leadership commitment
Revision and document SMS
Development Recordkeeping

control
Activities and
Timeline

Inputs and updates Project

Management
Plan
Overview

Plan
Management

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 Project Management
Leadership
Support SMS
Development

Tracking and accountability

Recordkeeping
Activities and
Timeline

Document management Project

Management
Plan
Overview

Communication and Plan

coordination Management

Budget

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SMS Development Activities & Timeline

Usually tracked in a Gantt

Chart or similar planning tool SMS

Tasks Development
Activities and
Timeline
Recordkeeping

Milestones and deliverables

Project Plan
Relationships and Management Overview

dependencies
Plan
Roles and responsibilities Management

Schedule

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EMPLOYEE SAFETY REPORTING
Effective Safety Reporting - Attributes
Training the messengers
People are not natural messengers
Ease of reporting
Simple requisites
Timely, accessible, and informative feedback
No feedback; program crumbles
Protection
Information only used for the purposes it was collected
Vehicle for change
Issues reported are solved
 SMS and Safety Reporting: Facts
SMS does not work without data
Nobody knows actual system performance
better than employees delivering service
Power of safety reporting
Safety data capture on previously unanticipated
safety deficiencies
Safety data to confirm effectiveness of existing
safety risk mitigations
 Safety Reporting Programs
Types of safety reporting programs
Mandatory
Voluntary
Employee reporting of safety hazards and
concerns
Near miss / close call reporting
Confidentiality considerations
 Close Call Reporting
Primary purpose - improve overall safety
Encourages employees to voluntarily report unsafe
conditions or acts that may otherwise go undetected
Offers another tool to identify and assess safety
risks in operations
Participants must feel comfortable to report
safety concerns without fear of potential
discipline, reprisal, dismissal, or legal discovery

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 Employee Safety Reporting Pilot Program

Office of Safety in conjunction with Office of Research

to conduct pilot on Employee Safety Reporting
programs
Including Close Call Reporting
FTA will solicit participation from transit agencies
Pilot will include rail and bus - large, medium, and small
transit agencies
TECHNICAL ASSISTANCE AND
RESOURCES
 SMS Pilot Program
FTA is currently working to pilot SMS at a large multi-modal
agency, a mid-size bus agency and two small bus agencies
Through this program, FTA:
Provides onsite training, guidance, technical assistance, and
expertise to help agencies implement SMS
Establishes agencies as role models for SMS implementation
Will apply lessons learned to develop guidance materials and
technical assistance tools for transit industry
Develops insights on how to support industry-wide transition
to SMS

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 FTA Bus Safety Program

Voluntary onsite reviews Voluntary

Orientation
Onsite
Seminars
Orientation seminars Reviews

Ongoing outreach Safety Industry

Training and Coordination
Resource and
Safety Training and Resource Website Outreach

website

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 FTA Bus Safety Program and SMS
Seminars and presentations now include
information on what SMS is and steps to
consider for voluntary SMS implementation
Onsite reviews focus on bus technical safety
and include preliminary SMS Gap Analysis
Gives reviewed agency head start on SMS
implementation

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FTAs Safety and Training Resource
Website
http://safety.fta.dot.gov/

SMS information
Training
News & Events
Emails to
registered users

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 Key Resources
Read, watch, and Get trained Sign up to
participate receive updates
Review FTAs SMS Through FTAs safety FTA announcements
Framework website: and new documents
Participate in https://public.govdeliv
webinars explaining Take the SMS ery.com/accounts/US
new regulations and Awareness online DOTFTA/subscriber/
guidance course new
Visit FTAs YouTube Sign up for classroom
page to view previous courses
webinars Request an Individual
Read our Training Profile (ITP)
newsletter Courses based on
TSO Spotlight your role

Questions? Comments? Email us at FTASafetyStakeholder@dot.gov 83

Thank You !

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