HomeMy WebLinkAbout2020-11-24 - AGENDA REPORTS - PUBLIC TRANS AGENCY SAFETY PLAN (2)O
Agenda Item: 9
P
CITY OF SANTA CLARITA AGENDA REPORT
CONSENT CALENDAR
CITY MANAGER APPROVAL:1
DATE: November 24, 2020
SUBJECT: ADOPT THE PUBLIC TRANSPORTATION AGENCY SAFETY
PLAN
DEPARTMENT: Neighborhood Services
PRESENTER: Adrian Aguilar
RECOMMENDED ACTION
City Council:
1. Adopt the City of Santa Clarita Public Transportation Agency Safety Plan and authorize the
City Manager or designee to submit the plan to the Federal Transit Administration.
2. Authorize the City Manager or designee to amend the plan based on changes in service
delivery, organizational changes, and any other changes that significantly affect the
components of the City of Santa Clarita Public Transportation Agency Safety Plan.
BACKGROUND
In 2018, the Federal Transportation Administration (FTA) implemented 49 CFR 673 requiring
all public transit agencies that receive federal funding to create, approve, and implement a Public
Transportation Agency Safety Plan (PTASP). As a recipient of federal funds, the City of Santa
Clarita (City) is required to develop and adopt a PTASP. The PTASP must support the agency's
Safety Management System (SMS) plan, which is a comprehensive, collaborative approach to
managing safety. The SMS brings management and labor together to better control risk, detect
and correct safety problems earlier, share and analyze safety data more effectively, and measure
safety performance more precisely.
The City contracts for the operation and maintenance of the City's Transit service with MV
Transportation (MV). Throughout the term of the contract, the City has required MV to develop
and implement a comprehensive safety plan. City staff annually reviews MV's SMS to ensure it
meets the City requirements and that it is reflective of the City's Transit operation. Additionally,
City staff monitors the implementation and effectiveness of MV's SMS on an on -going basis.
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Over the past nine months, City staff has worked closely with MV's safety team to develop the
City's PTASP and ensure it meets all FTA requirements. The City's PTASP incorporates all
aspects of the SMS currently in place, including Safety Policies, Safety Risk Management,
Safety Assurance, and Safety Promotion. The SMS incorporated into the City's PTASP is
intended to promote a safety culture that reduces hazardous events by making safety everyone's
responsibility, empowering transit employees to play a role in safety, and encouraging
employees and contractors to report safety concerns to management.
Once adopted by the City Council, the City's PTASP will be updated as needed and submitted to
the FTA annually, as required under the new regulation. By not adopting and submitting a
PTASP, the City risks losing federal funding in the future.
ALTERNATIVE ACTION
Other action as determined by City Council.
FISCAL IMPACT
Approal of the PTASP poses no fiscal impact.
ATTACHMENTS
City of Santa Clarita Public Transportation Agency Safety Plan (available in the City Clerk's
Reading File)
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PUBLIC TRANSPORTATION AGENCY
SAFETY PLAN (PTASP)
City of Santa Clarita
2020
TABLE OF CONTENTS
Section 1 - Transit Agency Information.......................................................................................4
Section 2 — Authorities, Accountabilities and Responsibilities..................................................5
Section 3 — Plan Development, Approval, and Updates.............................................................7
Section 4 — Safety Performance Targets......................................................................................8
Section 5 — Safety Management Policy.........................................................................................9
Section 6 — Asset Prioritization and Funding Identification based on the Transit Asset
ManagementPlan.....................................................................................................10
Section7 — Glossary of Terms.....................................................................................................13
Exhibit A — Santa Clarita Transit Agency Organizational Chart
Exhibit B — MV Transportation, Inc. Safety Management System (SMS) Plan
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Name of Person/s
Corie Zamora, Administrative Analyst, City of Santa Clarita
Who Drafted This
Garry Brandenburg, Safety and Training Manager, MV Transportation
Plan
Signature of Accountable
Date of
Signature by the
Executive
Signature
Accountable
Executive
Agenda Item Number
Date of
Approval by the
A royal
City Council
Version Number and Updates
Record the complete history ofsuccessive versions of this plan.
Version
Number
Section/Page
Affected
Reason for Change
Date Issued
1
New Plan
Plan Origination
11/24/2020
Transit Agency
City of Santa Clarita
Name
Transit Agency
28250 Constellation Road. Santa Clarita, CA 91355
Address
Name and Title of
Accountable
Adrian Aguilar —Transit Manager
Executive
Name of Chief Safety
Garry T. Brandenburg TSSP, ESP — Designated as Chief Safety Officer
Officer
Modes of Services
Fixed Route, Paratransit, and Commuter
Covered by this Plan
All Modes of
Services are
MV Transportation Inc. 2711 N. Haskell Ave. Dallas, TX 75204
Contracted to MV
Transportation Inc.
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SECTION 1
TRANSIT AGENCY INFORMATION
The City of Santa Clarita was formed in 1987, incorporating the communities of Canyon
Country, Newhall, Saugus, and Valencia. Now the third most populous city in Los Angeles
County, Santa Clarita offers an abundance of retail centers, recreational opportunities,
educational institutions, medical/healthcare facilities, cultural activities, and employers.
The City began operating public transit service on August, 5, 1991, serving the city as well as
surrounding unincorporated county communities making up the Santa Clarita Valley service
area. The City assumed responsibility for local transit operations from the County of Los
Angeles as Santa Clarita Transit; providing supervision over a contract operator responsible
for all transit operating and maintenance related services including local, commuter, Dial -a -
Ride and Access paratransit.
Santa Clarita Transit (SCT) has grown significantly since service was launched in 1991. The
City's transit program is comprised of a local fixed -route network, commuter/express
network, dial -a -ride, and special trolley service. The local fixed -route service offers eight
routes that travel seven days a week and connect the outlying portions of the service area
such as Canyon Country, Newhall, and Castaic with key destinations such as the College of
the Canyons, Westfield Town Center, Six Flags, and the Valencia Industrial Center. Twenty
supplemental routes operate on school days serving area junior high and high schools. SCT
offerings also include local operations for Access Paratransit services as well as the City's
Dial -A -Ride service. Two additional weekday Station Link routes (Routes 501 and 502)
provide a direct link between the Santa Clarita Metrolink Station and to key employment
centers including Six Flags, Valencia Industrial Center, and the Valencia Commerce Center.
The local transit links residents and visitors with regional transit services via three Metrolink
stations (Santa Clarita, Newhall, and Via Princessa), McBean Regional Transit Center
(MRTC), and designated park -and -ride facilities throughout the Santa Clarita Valley. The
regional commuter/express service network is composed of seven routes connecting the Santa
Clarita Valley with Downtown Los Angeles, UCLA/West Los Angeles, North Hollywood
(NoHo) Red Line Station, and the western portion of the San Fernando Valley. Most
commuter/express routes operate during peak hours Monday through Friday, while Route
757 (North Hollywood Red Line Station) offers service from approximately 5:00 AM to
10:00 PM on weekdays, and approximately 7:00 AM to 7:30 PM on weekends.
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SECTION 2
AUTHORITIES, ACCOUNTABILITES, AND REPSONSIBLITIES
This plan has assigned specific Safety Management Systems (SMS) authorities,
accountabilities, and responsibilities to the designated Accountable Executive, Chief Safety
Officer, Contractor Management and Staff, and City staff as described below:
Accountable Executive
The Accountable Executive (AE) is the City's Transit Manger who reports directly to the
Deputy City Manager. The AE has the ultimate responsibility for carrying out the Public
Transportation Safety Plan; responsibility of carrying out the City's Transit Asset
Management (TAM) Plan; and direction over the human and capital resources needed to
develop and maintain both plans in accordance with 49 CFR Part 673. The AE may delegate
specific responsibilities, but the ultimate accountability for the Transit Agency's safety
performance cannot be delegated and always rests with the City's Transit Manager. The
Transit Manger's roles include:
• Decision -making about resources to support asset management, SMS activities, and
capital investments;
• Ensuring safety concerns are considered and addressed in the City's ongoing budget
planning process;
• Ensuring transparency in safety priorities to the City Council and employees;
• Establishing guidance on the level of safety risk acceptable to the agency;
• Assuring the policy is appropriately communicated throughout the agency;
• Other duties as assigned/necessary to implement the safety plan.
Chief Safety Officer
The chief safety officer reports directly to the accountable executive. The CSO is
responsible for writing, communicating all policies and procedures where safety is concerned
to the departments and employees of the agency. This person will also be responsible for
accurately reporting all trending data and actual incident data to the AE. From this date the
two positions will strategize plans to decrease from any negative trending which may be
identified. The position will be responsible to identify system risks through regular
inspections of all aspects of the system which would impact the overall safety of the public,
system users, and system employees. The Chief Safety Officer roles include:
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• Decision -making about resources to support asset management, SMS activities, and
capital investments;
• Overseeing the safety risk management program by facilitating hazard identification,
safety risk assessment, and the development and implementation of safety risk
mitigations;
• Monitoring safety risk mitigation activities;
• Providing periodic reports on safety performance;
• Briefing the Accountable Executive on SMS implementation progress;
• Planning safety management training;
• Developing and organizing internal audits/reviews of the SMS processes and the
Agency Safety Plan to ensure compliance with 49 CFR Park 673 requirements;
• Maintaining safety documentation
• Other duties as assigned/necessary to implement the safety plan.
Contractor Management
Contractor management staff includes the General Manager, Assistant General Manager, Safety
and Training Manager, Operations Manager, Demand Response Manager, Maintenance
Manager, Customer Service Manager, and a Human Resources Manager. The General Manger
and Assistant General Manager also report directly to the Accountable Executive. Some of their
responsibilities include:
• Day-to-day implementation of the Agency's SMS throughout their department and
the organization;
• Communicating safety accountability and responsibility from the frontline employees
to the top of the organization;
• Ensuring employees are following their working rules and procedures, safety rules,
and regulations in performing their jobs, and their specific roles and responsibilities
in the implementation of the Agency Safety Plan and the Agency's SMS;
• Ensuring the employees comply with the safety reporting program and are reporting
unsafe conditions and hazards to their department management; and making sure
reported unsafe conditions and hazards are addressed internally or reported to City
staff in a timely manner;
• Ensuring that resources are sufficient to carry out employee training/certification and
re-training as required by their job classifications.
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Key Staff
Key staff also involved with this safety plan include City staff and contractor staff and may
include coordinators, analysts, technicians, maintenance specialists, road supervisors,
dispatchers, mechanics, clerks, and other key employees who are preforming highly technical
work and/or overseeing employees performing critical tasks and providing support in the
implementation of this Agency Safety Plan. Some of their responsibilities include:
• Ensuring the employees are complying with the safety reporting program;
• Promoting safety in employee's respective area of responsibilities;
• Ensuring safety of passengers, employees, and the public;
• Responding to customer complaints and expectations for frequency, reliability, and
convenience of service;
• Replacing and maintain aging facilities, equipment, and infrastructure;
• Meeting increasing demands for fixed route, commuter service, and demand response
service;
• Developing and maintaining programs to gather pertinent data elements to develop
safety performance reports and conduct useful statistical analyses to identify trends
and system performance targets;
SECTION 3
PLAN DEVELOPMENT, APPROVAL, AND UPDATES
The City of Santa Clarita and its bus operations contractor, MV Transportation, drafted this
plan to meet requirements specified in 49 CFR Park 673. This plan is based on the four (4)
principles or pillars of the Safety Management Systems (SMS). SMS is defined as the
formal, top -down, organization -wide, data -driven approach to managing safety risk and
assuring the effectiveness of safety mitigations. It included systematic policies, procedures,
and practices for the management of safety risk. The four (4) principals or pillars of SMS
are: (1) Safety Management Policy; (2) Safety Risk Management; (3) Safety Assurance; and
(4) Safety Promotion.
This plan will be jointly reviewed and updated, as needed, by the Accountable Executive or
delegate and the Chief Safety Officer annually. The Accountable Executive will approve any
changes, then forward to the City Council for adoption, if needed.
This plan may need to be reviewed and update more frequently based on the following:
• We determine our approach to mitigating safety deficiencies is ineffective;
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• We make significant changes to service delivery;
• We introduce new processes or procedures that may impact safety;
• We change or re -prioritize resources available to support this plan;
• We significantly change our organization structure.
SECTION 4
SAFETY PERFORMANCE TARGETS
Safety Performance Targets (SPTs) are included in this plan. These targets are specific
numerical targets set by the City and its bus operations contractor and based on measures
established under the National Public Transportation Safety Plan. The City will coordinate
directly with the State and the local Municipal Planning Organization (MPO) to provide
safety targets to aid in the planning process upon certification of this plan.
The Accountable Executive will identify safety performance targets annually by the month of
June. The Accountable Executive will review, approve, and sign the PTASP which shall
then include any updated safety performance targets annually. These finalized targets will
then be submitted to the State and local MPO annually as required. Following any and all
updates made to the PTASP, copies of these updates shall be placed within all copies of this
plan throughout the agency. These copies shall be made readily available, upon request, by
any employees or associates effected by this plan and its contents.
Safety Performance Targets — Incident Frequency Rate
Mode of
Fatalities
Injuries
Safety
Safety
System
Transit
Fatalities
(per 100k
Injuries
(per 100k
Events
Events
Reliability
Service
(Total)
-VRM)
(Total)
VRM)
(Total)
(per
pVRMOk
Failures
Fixed Route
0.00
0.00
0.00
0.00
1.00
1.04
4000
Demand
0.00
0.00
0.00
0.00
0.03
0.03
4000
Response
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SECTION 5
SAFETY MANAGEMENT POLICY
The first component of this safety plan is the Safety Management Policy which is the
foundation of our safety program between the City of Santa Clarita and its bus operations
contractor. Contractually, the bus operations contractor is responsible for the preparation and
day to day implementation of the Safety Management System (SMS) as they employee, train
and manage the frontline staff that operates Santa Clarita Transit. Therefore, they have
prepared a Safety Management System (SMS) Plan which can be found as Exhibit B to this
document.
This plan includes an SMS Policy Statement and addresses Safety Risk Management, Safety
Assurance, and Safety Promotion.
Safety Management Policy Communication
The Safety Management Policy is issued as a document within all new employee's
orientation packets. The plan is also included in the Chief Safety Officer's personal
orientation held during agency on -boarding classes and periodically in regularly scheduled
employee Safety Meetings. The policy is posted where other postings are commonly located
such as near time clocks and in break rooms.
Employee Safety Reporting Program
MV Transportation/Santa Clarita Transit has implemented a process by which employees are
encouraged to report any safety sensitive issue to management. There are Safety Suggestion
boxes attached to the wall in several convenient locations in the workplace. On the front of
these boxes there is a plastic card holder which contains blank comment or suggestion cards.
Employees are encouraged to complete these cards anytime they learn of a safety issue they
feel should be addressed by management. There is a place on the front of the card where the
person may identify themselves however, they may choose to leave this area blank thus
remaining anonymous. Employees are promised however, if they do identify themselves, a
phone call from the Chief Safety Officer will follow receipt of their comment card so the
issue can be discussed with greater detail. These cards are collected by the safety department
on a monthly basis. Upon collection, the data on the cards is entered into a spreadsheet for
tracking and resolution purposes.
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SECTION 6
ASSET PRIORITIZATION AND FUNDING IDENTIFICATION BASED ON THE
TRANSIT ASSET MANAGEMENT PLAN
To keep transit assets in a "state of good repair" requires prioritizing assets which need
immediate focus to either replace or rehabilitate. Priorities are identified locally based on
policies, critical needs, and cost. The asset prioritization list is updated annually.
As funding is identified and projects considered they are included in the city's overall
budget process. Once approved, project funding is managed using the Transit Forecast
prepared by city Finance and Transit staff.
Therefore, by utilizing various existing documents and programs, the city can prioritize,
fund, and manage projects throughout the city. Below is a brief description of each process:
Transit Forecast
The Transit Forecast is a multi -year financial planning tool used to forecast revenues and
expenditures planned at least five years out into the future. It is prepared and shared
between the City's Transit and Finance Divisions and updated continuously throughout the
year for planning and budgeting purposes. The forecast keeps historical financial data as
well as programs funding anticipated in future years for projects identified as part of
various city plans and programs including the Santa Clarita 2020 Plan, the Capital
Improvement Program, the Federal Transportation Improvement Plan, the Short -Range
Transit Plan, the Transportation Development Plan, the Fleet Maintenance Schedule,
inventory and condition assessments, and this Transit Asset Management Plan.
Santa Clarita 2020
Vision, anticipation and prioritization are the essential elements in preparing for a successful
future and to ensure that City of Santa Clarita continues to provide superior municipal
services that will meet the current and future needs of the community. This Plan is intended
to:
• Align services and projects with the community values and quality of live
expectations;
• Provide a communication tool for staff so they are able to understand and explain the
City's vision and priorities;
• Serve as a budget tool to prioritize spending and remain focused on what needs to be
done to achieve our vision.
Several major work areas were synthesized into six quality of life themes that best describe
Santa Clarita's amazing quality of life. They are as follows:
• Public Safety
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• Building and Creating Community
• Enhancing Economic Vitality
• Community Beautification
• Sustaining Public Infrastructure
• Proactive, Transparent and Responsive Government Services
Within each theme several goals and performance measures have been identified. To
accomplish these goals, projects are identified based on need, condition, or future planning.
The Santa Clarita 2020 project list is a fluid document with projects continuously being
added as other projects are completed.
Capital Improvement Program
The Capital Improvement Program (CIP) is a key component of the city's project planning
and budgeting process and is of vital importance to the community as a whole. The CIP
represents a balanced approach for meeting the community's current and future capital
improvement needs. The CIP accomplishes the City's major goals for projects, while
maintaining critical ongoing maintenance and is comprised of a variety of multi -year and
multi -funded capital projects.
The Capital Improvement Program includes projects that fall under different categories,
including Beautification and Landscaping, Circulation, Facilities and Buildings,
Maintenance, Parks, Resource Management and Conservation, Streets and Bridges, and
Trails and Transit. The projects in the program also support many of the quality of life
themes contained in Santa Clarita 2020.
Fleet Replacement Schedule
The City of Santa Clarita, Transit Division, is assigned the overall responsibility for
managing the City's fleet of transit rolling stock. City staff works in conjunction with the
bus operations and maintenance contractor to: develop vehicle and equipment
specifications; develop vehicle and equipment replacement schedules; acquire vehicles and
equipment; and reassign and dispose of vehicles and equipment. An ongoing schedule is
used to track current in-service vehicles as well as planned or on order vehicles purchases.
The City's current guidelines target rolling stock replacement adhering to the Federal
Transit Administration's (FTA) Useful Life Policy. The useful life in years refers to total
time in revenue transit service, not time spent stockpiled or otherwise unavailable for
regular transit use. Minimum useful life for buses, vans, and trolleys is determined by years
of service or an accumulation of miles, whichever comes first as follows:
• Large, heavy-duty transit buses including over the road buses (approximately 35'-
40', and articulated buses): at least 12 years of service or an accumulation of at least
500,000 miles.
• Medium -size, medium duty transit buses (approximately 25'-35'): at least seven
years or an accumulation of at least 200,000 miles.
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As vehicles approach their useful life age,
forecasting process to identify funding
refurbishment.
Short Range Transportation Plan
staff works through the budget and transit
and gain approvals for replacement or
The Short -Range Transit Plan (SRTP) is a document required by the Los Angeles County
Metropolitan Transportation Authority (LACMTA) as a means of justifying the receipt of
Federal and State grants for transit operations and capital improvement projects as well as
prioritizing the distribution of said funds. Each of the municipal transit operators develops
their own SRTP which details their respective services, highlights system performance,
details perceived challenges, and discusses future service changes and capital
improvements. LACMTA compiles all operator's submissions into a single document
which includes an action plan that takes into consideration the priorities of individual
operators and the region as a whole, as well as an accompanying financial analysis.
Federal Transportation Improvement Plan
The Federal Transportation Improvement Program (FTIP) is a federally mandated four-
year program of all surface transportation projects that will receive federal funding or are
subject to a federally required action. The FTIP is a comprehensive listing of such
transportation projects proposed over a six -year period. As the Metropolitan Planning
Organization (MPO) for the region, Southern California Association of Governments
(SLAG) is responsible for developing the FTIP for submittal to the California Department
of Transportation (Caltrans) and the federal funding agencies. The FTIP for the SCAG
region is developed in partnership between the six County Transportation Commissions
(CTCs) of Imperial, Los Angeles, Orange, Riverside, San Bernardino, and Ventura as well
as Caltrans Districts 7, 8, 11, 12 and Headquarters. This listing identifies specific funding
sources and fund amounts for each project. It is prioritized to implement the region's
overall strategy for providing mobility and improving both the efficiency and safety of the
transportation system, while supporting efforts to attain federal and state air quality
standards for the region by reducing transportation related air pollution. Projects in the
FTIP include highway improvements, transit, rail and bus facilities, high occupancy vehicle
(HOV) lanes, high occupancy toll (HOT) lanes, signal synchronization, intersection
improvements, freeway ramps, non -motorized projects, bicycle and pedestrian.
The FTIP must include all federally funded transportation projects in the region, as well as
all regionally significant transportation projects for which approval from federal funding
agencies is required, regardless of funding source. The projects in the FTIP have been
found to be consistent with SCAG's approved Regional Transportation Plan/Sustainable
Communities Strategy (RTP/SCS).
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Transportation Development Plan (TDP)
The Transportation Development Plan (TDP) is intended to present the service needs and
corresponding financial plan necessary to meet projected needs. The TDP covers a
planning period of five to ten years and is updated with similar regularity. The TDP
evaluates service needs on a regional basis covering the current service areas of Canyon
Country, Newhall, Saugus, and Valencia. Additional rapidly developing Santa Clarita
Valley communities in unincorporated areas, such as Sunset Pointe, Southern Oaks,
Stevenson Ranch, Westridge, Newhall Ranch, Val Verde, Castaic and Tesoro Del Valle,
are also included. The TDP will provide the mechanism for Santa Clarita Transit's ongoing
planning activities and act as the document by which the City can communicate its service
plans and financial needs to the various funding jurisdictions.
Annual City Budget
The basic purpose of the City of Santa Clarita's budget is to serve as a "blueprint" for
providing City services and a working financial plan, as well as providing a communication
tool for City residents, businesses, and employees. Every year, the City uses the budget
process to evaluate our practices and determine if our operations continue to provide the
best services our City can offer. The budget is a major policy document and serves as the
City's plan to achieve critical goals and priorities identified by the City Council and the
community. The budget is designed to help City staff and the public better understand the
proposed plan of operation for the new fiscal year.
SECTION 7
GLOSSARY OF TERMS
This plan incorporates all of FTA's definitions that are in 49 CFR § 673.5 of the Public
Transportation Agency Safety Plan regulation.
• 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.
• Accountable Executive means a single, identifiable person who has ultimate
responsibility for carrying out the Public Transportation Agency Safety Plan of a public
transportation agency; responsibility for carrying out the agency's Transit Asset
Management Plan; and control or direction over the human and capital resources needed
to develop and maintain both the agency's Public Transportation Agency Safety Plan, in
accordance with 49 U.S.C. 5329(d), and the agency's Transit Asset Management Plan, in
accordance with 49 U.S.C. 5326.
• 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
Page 1 13
Transportation Agency Safety Plan.
• Event means any Accident, Incident, or Occurrence.
• Hazard means any real or potential condition that can cause injury, illness, or death;
damage to or loss of the facilities, equipment, rolling stock, or infrastructure of a public
transportation system; or damage to the environment.
• 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 transitagency.
• Investigation means the process of determining the causal and contributing factors of an
accident, incident, or hazard, for the purpose of preventing recurrence and mitigating
risk.
• National Public Transportation Safety Plan means the plan to improve the safety of
all public transportation systems that receive Federal financial assistance under 49
U.S.C. Chapter53.
• 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
transitagency.
• Operator of a public transportation system means a provider of public transportation as
defined under 49 U.S.C. 5302.
• Performance measure means an expression based on a quantifiable indicator of
performance or condition that is used to establish targets and to assess progress toward
meeting the established targets.
• 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.
• Public Transportation Agency Safety Plan (or Agency Safety Plan) means the
documented comprehensive Agency Safety Plan for a transit agency that is required by
49 U.S.C. 5329 and Part 673.
• Risk means the composite of predicted severity and likelihood of the potential effect of
a hazard.
• Risk mitigation means a method or methods to eliminate or reduce the effects of
hazards.
• Safety Assurance means processes within a transit agency's Safety Management System
that function to ensure the implementation and effectiveness of safety risk mitigation,
and to ensure that the transit agency meets or exceeds its safety objectives through the
collection, analysis, and assessment of information.
• Safety Management Policy means a transit agency's documented commitment to
safety, which defines the transit agency's safety objectives and the accountabilities and
responsibilities of its employees in regard to safety.
• Safety Management System means the formal, top -down, organization -wide approach
to managing safety risk and assuring the effectiveness of a transit agency's safety risk
mitigation. SMS includes systematic procedures, practices, and policies for managing
risks and hazards.
• Safety performance target means a performance target related to safety management
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activities.
• Safety Promotion means a combination of training and communication of safety
information to support SMS as applied to the transit agency's public transportation
system.
• Safety risk assessment means the formal activity whereby a transit agency determines
Safety Risk Management priorities by establishing the significance or value of its safety
risks.
• Safety Risk Management means a process within a transit agency's Agency Safety Plan
for identifying hazards and analyzing, assessing, and mitigating safety risk.
• Serious injury means any injury which: (1) Requires hospitalization for more than 48
hours, commencing within 7 days from the date when the injury was received; (2)
Results in a fracture of any bone (except simple fractures of fingers, toes, or noses); (3)
Causes severe hemorrhages, nerve, muscle, or tendon damage; (4) Involves any internal
organ; or (5) Involves second- or third-degree burns, or any burns affecting more than 5
percent of the body surface.
• Transit agency means an operator of a public transportation system.
• Transit Asset Management Plan means the strategic and systematic practice of
procuring, operating, inspecting, maintaining, rehabilitating, and replacing transit capital
assets to manage their performance, risks, and costs over their life cycles, for the
purpose of providing safe, cost- effective, and reliable public transportation, as required
by 49 U.S.C. 5326 and 49 CFR Part 625.
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Exhibit A
11
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CSO has direct reporting access to Accountable Executive
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a'
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Exhibit B
Safety Management System ( ) Ran
1. Safety Management IPoillcyy............................................................................................................................................................... 3
Safety Management Systeirn (SMS) IPol licy Statement ........................................................................................................................ 3
1.1 Commitment to Safety Statement................................................................................................................................................. 5
1.2 Safety Management System Development................................................................................................................................... 6
1.3 Operations and Maintenance Procedures.................................................................................................................................... 6
1.4 Employment and Recruitment Selection...................................................................................................................................... 8
1.5 Drug and Alcohol Programs........................................................................................................................................................... 8
1.6 Workplace Violence Program........................................................................................................................................................ 8
1.7 Fitness for Duty............................................................................................................................................................................... 9
1.8 Policies and Procedures Review.................................................................................................................................................... 9
1.9 Employee Safety Reporting Program(ESRP)................................................................................................................................. 9
1.10 Authorities, Accountabilities & Responsibilities......................................................................................................................... 11
1.11 Emergency Management Integration and Procedures.............................................................................................................. 12
1.12 Communication of the Safety Management Policy.................................................................................................................... 12
2,, Safety IRiisl'k Management .................................................................................................................................................................. 12
2.1 Accident and Incident Reporting................................................................................................................................................... 13
2.2 Safety Hazard Identification and Analysis..................................................................................................................................... 14
2.3 Evaluation, Mitigation and Communication of Safety Risk.......................................................................................................... 16
ISafety Assurance ............................................................................................................................................................................... 16
3.1 Safety Performance Monitoring and Measuring.......................................................................................................................... 17
3.2 Management of Change................................................................................................................................................................. 17
3.3 Continuous Improvement.............................................................................................................................................................. 18
4„ Safety Piroirre aUoin.............................................................................................................................................................................. 18
4.1 Competencies and Training........................................................................................................................................................... 18
4.2 Safety Communication................................................................................................................................................................... 20
S„ Supporting Resources ....................................................................................................................................................................... 21
6. Phan Development ............................................................................................................................................................................ 22
6.1 Approval and Updates.................................................................................................................................................................... 22
6.2 Version Updates............................................................................................................................................................................. 22
6.3 Annual Review of Plan.................................................................................................................................................................... 23
PTASP Addendum ................................................................................................................................................................................. 24
TransitAgency Information.................................................................................................................................................................. 24
SafetyPerformance Targets................................................................................................................................................................. 24
Safety Performance Target Coordination............................................................................................................................................ 25
AttachmentA ........................................................................................................................................................................................26
AttachmentB........................................................................................................................................................................................ 27
Safety IManagement System (SIMS) Po116cy Statement
MV Transportation, Inc. is committed to providing the highest level of safety for the public, our
employees and contractors. Satisfying our customers' special needs with 100% regulatory
compliance and the lowest possible risk is our first operational priority. We will never increase
our risk of accident or injury to solve operational problems in the course of providing the Best
Customer Experience.
To meet that commitment, MVTransportation has adopted the Safety Management System (SIMS)
and developed safety policies and activities in support of an effective SIMS. This plan is based on
the four components of SIMS: Safety Management Policy, Safety Risk Management, Safety
Assurance, and Safety Promotion.
Every employee and contractor are directed and empowered to administer the SIMS and its
specific activities for the prevention, control, and resolution of unsafe conditions and actions. The
primary objectives of this SIMS plan are to proactively identify and mitigate safety hazards and
risks, promote a positive safety culture, and maintain regulatory compliance.
Our safety objectives are to:
Ensure that effective safety management systems and processes are integrated into all of
our activities.
Designate an individual responsible for the safety function who reports directly to the Chief
Executive Officer of the company and authorize that individual to develop and implement
programs to promote safety.
Ensure all employees and contractors are aware that safety is their primary responsibility
and they are held accountable for delivering the highest level of safety in their daily work
activities.
• Clearly define the safety accountabilities and responsibilities to all employees and
contractors, including the responsibility of managers and supervisors to develop, implement,
and enforce safety rules and procedures in their respective work areas.
• Provide all employees and contractors with appropriate safety information and skills training,
ensure employee and contractor competence in all safety matters related to their position
with the company.
• Develop and embrace a positive safety culture in all of our activities that recognizes the
importance and value of effective safety management and acknowledges that safety is the
number one operating value in everything we do.
• Ensure a culture of open reporting of all safety hazards, ensuring that no action will be taken
against any employee who discloses a safety concern through the proper chain of command,
unless such disclosure indicates, beyond any reasonable doubt, an illegal act, gross
negligence, or a deliberate or willful disregard of regulations or procedures.
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0 Promote and maintain a positive safety culture with positive recognition and reinforcement
of safe behaviors.
Ensure that all equipment, systems and services meet our safety performance standards
through periodic audits and inspections.
0 Establish performance metrics and measures of our safety performance against our safety
performance indicators and safety performance targets.
Continually develop and improve our safety processes through actively monitoring,
measuring, and reviewing our performance against our objectives and targets.
0 Conduct safety and management reviews to improve our safety performance and ensure
that relevant and corrective actions are taken.
0 Comply with all state and federal regulatory requirements and standards.
Sine
Thomas Egan, Chief Executive Officer
0
1.1 Commitment to Safety Statement
Providing the highest level of safety for all MV Transportation employees, passengers, and the
communities we serve is our core operating value. Safety is at the forefront of delivering the
Best Customer Experience and is the first of our key components of successful performance.
Doing work safely must be the foundation of all operational activities. Safety standards will
never be compromised, subordinated or diminished by any other goal. Safety is the process
that drives all functions and activities and is at the center of everything we do at MV
Transportation.
MV Transportation is committed to being the safest organization possible and is committed to
an incident and injury free workplace and security excellence. We will review and continually
improve our practices to continuously drive improvements in safety, health, environmental,
and security performance.
Accountability is fundamental to our mission. Every individual at MV is responsible for working
and acting safely and embracing safety as a lifestyle. Compliance with this Commitment,
applicable laws, and other requirements is the responsibility of every employee and contractor
acting on our behalf.
Safety leadership is a core responsibility of management and is the company's most important
management value. Managers at all levels will set the standard in our industry, from the Chief
Executive Officer to the first -level supervisor.
Every employee is responsible to:
• Promote and maintain a safe work environment for all personnel and our passengers.
• Act consistently to influence safe behaviors and eliminate unsafe behaviors, actions and
decisions.
• Go above and beyond the minimum safety standards of his / her job.
• Directly participate in all aspects of our safety program.
• Abide by all applicable safety rules and regulations.
• Work with management to decrease our exposure to risk.
• Immediately report all incidents/accidents and hazards.
• Complete all assigned safety training programs to continuously enhance safety skillset.
• Intervene in an activity if it is observed that its being conducted with an unacceptable level
of risk.
• Encourage and reinforce the safe behaviors of others.
• Resolve circumstances responsibly that require corrective action.
• Insist upon an unwavering commitment to safety.
MV leadership is committed to supporting this statement with the resources and
accountability necessary to achieve safety excellence.
Tom Egan
Chief Executive Officer
Mark Collins
5 President and Chief Operating Officer
Contractor Management
It is the responsibility of MV Transportation to ensure that contractor work practices meet
established safety standards of the agency and any and all federal, state, and local regulations and
requirements. (Safety Policy S-10).
MV Transportation will monitor contractor compliance through scheduled and unscheduled safety
audits of equipment, work sites and practices, regulatory compliance, and required records.
Significant violations, especially in areas of safety, will be addressed by the appropriate
management person, and may include termination of the contract or other legal action.
1.2 Safety Management System Development
This Safety Management System (SMS) plan was developed to outline our systematic procedures,
practices, and policies for managing risks and hazards. Additional plan elements are available as
references to support the information outlined in this document.
Key definitions of our process throughout our Safety Risk Management includes the following:
• A hazard is a condition or object 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. The potential for harm is defined as safety risk. It refers to the chance that
people, equipment, or the environment could be harmed by the consequences of a hazard.
• What is done to address and reduce that risk is mitigation.
• Consequence means an effect of a hazard, involving injury, illness, or death; damage to or
loss of the facilities, equipment, rolling stock, or infrastructure of a public transportation
system; or damage to the environment.
• Event means any accident, incident, or occurrence.
This SMS plan will be reviewed periodically to continuously improve in our mitigation of safety
risk. We will review and continuously improve our practices to drive continuous improvement.
Effectiveness at the site level will be determined at least annually through the Safety Director
audit. Reviews may occur more frequently.
This plan outlines the SMS activities for all employees and contractors employed by MV
Transportation. Additional manuals and procedures should be referenced for more in-depth
procedural detail. We will work with the transit agency at the site -location level to ensure these
activities are also featured in their Agency Safety Plan.
1.3 Operations and Maintenance Procedures
It is the policy of MV Transportation that company operations and all personnel will comply with
all applicable requirements federal and state safety regulations (Safety Policy S-10).
The system will be monitored for compliance with and sufficiency of operations and maintenance
procedures. Non-compliance will be addressed through training, coaching, and management
oversight, among other approaches. Non-compliance may result in disciplinary action, in
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accordance with our policies and procedures. Insufficient procedures will be addressed through
the Safety Risk Management process outlined in this plan. Any task that cannot be done safely
should not be attempted until it can be done safely.
It is the responsibility of the operator to perform thorough Daily Vehicle Inspections (DVIs) and
submit those reports to dispatch personnel. It is the responsibility of the mechanics to review and
repair all defects before the vehicle goes back into service. The procedure is listed out in greater
detail in our Maintenance Manual. Monthly audits of facilities including yard and surrounding
areas will also be conducted to verify OSHA compliance and hazard identification, mitigation and
resolution.
A vehicle with a safety defect is reported immediately by the operator. The vehicle shall be
removed from service and not returned until repaired or replaced as soon as possible. In cases
when the defect prevents the vehicle from being safely driven back to the garage, it is towed using
a contracted service.
No operator or other authorized employee is asked, required, or permitted to drive a vehicle with
a known major safety defect and is required to wear a safety vest as well as any other appropriate
PPE.
As outlined in our Maintenance Manual, it is the responsibility of the maintenance manager to
provide the general manager with a detailed account of the day's vehicle status and maintenance
activities. The maintenance manager shall ensure the operations manager is kept up-to-date on
all daily meetings and reports.
It is the policy of MV Transportation that maintenance managers are responsible to ensure all fleet
vehicles are systematically inspected, maintained, and repaired. The preventative maintenance
intervals shall conform to the OEM service specifications, FTA standards, and contractual
requirements. (MP-03-02 — Preventative Maintenance). All seasonable maintenance services are
to be conducted in accordance with OEM standards. (MP-03-10 — Seasonal Maintenance).
Please refer to the Maintenance Shop Safety Manual and Maintenance Manual for further detail
outlining policies and procedures, as well as our Safety Vest Policy 5-46 and Yard Safety
Procedures.
Safety in Design, Acquisition and Procurement
Operational safety and passenger safety are the highest priorities when defining vehicle and
facility design requirements. Design criteria are established to ensure the equipment meets or
exceeds all safety, flammability and environmental requirements and meets all state and federal
standards and regulations. MVTransportation's Procurement Department owns the procurement
process and works closely with all impacted departments.
Conditions covered in the Contract Specifications include verification of compliance, commencing
with the design phase and periodic inspections and testing during the construction phase
performed by qualified consultants. A thorough inspection and system testing is performed
before the equipment is conditionally accepted.
The Procurement Group works in conjunction with the maintenance, safety, and operations
department when purchasing personal protective equipment for employees, controlling
7
chemicals and other hazards in the workplace, mandating safety requirements in specific
contracts and requiring compliance from specific vendors and clients with MV Transportation's
safety requirements.
1.4 Employment and Recruitment Selection
MV Transportation follows industry practices when hiring employees and contractors, including
employment, criminal background, and MVR reports as required. Our hiring practices are
compliant with FTA regulations on pre -employment / new hire testing and onboarding.
1.5 Drug and Alcohol Program
The Drug and Alcohol Program Manager is responsible for administering the corporate program.
The location Designated Employer Representative (DER) are responsible for location program
compliance. The policies and procedures conform to the drug and alcohol regulations of the
United States Department of Transportation's (DOT), Federal Transit Administration (FTA) and/or
the Federal Motor Carrier Safety Association (FMCSA), based on the service environment that the
agency and contract operates under. The policy identifies that employees are subject to testing
and includes the testing requirements, prohibited behavior, consequences of positive results and
resources for employee assistance and rehabilitation.
MV Transportation is committed to a Drug and Alcohol free workplace through a Zero Tolerance
policy. Participation by covered employees in MV Transportation's prohibited drug use and
alcohol misuse program is a condition of employment. Supervisors must not permit a safety -
sensitive employee to perform his/her job function if the employee has violated any provision of
the Policy. Our Drug and Alcohol -Free policy extends to contractor personnel in safety -sensitive
positions.
1.6 Workplace Violence Program
MV Transportation is firmly committed to providing a workplace free from acts of violence or
threats of violence. In keeping with this commitment, the Company has established a policy
strictly prohibiting any employee from threatening or committing an act of violence in the
workplace, while on duty, while on company related business, or while operating any vehicle or
equipment owned or leased by the Company.
Assistance is needed from all employees to achieve a workplace secure and free from violence.
MV is committed to a "zero tolerance" policy and compliance with this policy in respect to
workplace violence is every employee's responsibility. Any and all incidents involving an act or
threat of violence must be reported immediately to the employee's supervisor or the Human
Resources department. Any employee may do so without fear of retaliation of any kind. After the
incident is reported to a supervisor, he/she will report the matter to the Human Resources
department, who will conduct an investigation and take appropriate action.
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Any employee who engages in or contributes to violent or threatening behavior may be subject
to disciplinary action, up to and including termination.
1.7 Fitness -For Duty
Fitness for duty is determined by Human Resources and Safety Management. It is the policy of
MV Transportation that all drivers are professionals that manage fatigue and come to work well
rested and prepared to provide a full measure of safe and reliable customer service (Safety Policy
5-18).
All employees that take medical leave must provide a return to work release from his/her health
care provider prior to returning to work. The return to work statement should be submitted to
the Leaves Manager in the Benefits department.
Employees returning to work after 30 days or more break in service will be required to undergo a
background check, return -to -work physical and drug test, as permitted or required by applicable
federal or state law which includes but is not limited to regulations and requirements set forth by
the DOT, FTA, FMCSA, OSHA and ADA.
1.8 Policies and Procedures Review
All policies and procedures require periodic reviews for applicability and accuracy. Policies and
procedures include a revision date to ensure that all copies of the document are current. Specific
policies and procedures are reviewed by department managers with the assistance of the Human
Resources Department. Changes to policies and procedures will be made at the corporate level
after a thorough review has been performed.
The contractor's safety policies and procedures will also be reviewed periodically for accuracy and
compatibility with MV Transportation policies and procedures.
To submit a request for revision, individuals must complete a Change Request. Details of the
request must include the policy or procedure, description of the requested process change, any
known impact, and implementation efforts.
1.9 Employee Safety Reporting Program ( SI P)
Our front line employees are our best source of information for identifying hazards. Nobody
knows more about the actual safety performance of the transit system than the employees who
deliver the service.
The Employee Safety Reporting Program (ESRP) is intended to help the Accountable Executive and
other senior managers get important safety information from across the transit agency. It can be
an agency's most important source of safety data.
There are two types of safety reporting programs: mandatory and voluntary.
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• Mandatory: Employees must report hazards that are compliance -based and address
regulatory issues. Employees are required to immediately report every incident and
accident. An employee's failure to report or provide false information of an unsafe hazard
or act could result in disciplinary action.
• Voluntary: Employees are strongly encouraged to report hazards and can report
anonymously. Every employee is empowered to report any unsafe hazard / risk to their
supervisor or senior management without fear of retribution or penalty.
Employees will have the option to report anonymously to maintain confidentiality. The ESRP is
non -punitive and employees will not be disciplined for the act of reporting the Hazard or Near
Miss. However, employees must report hazards that are compliance -based and address
regulatory issues. Record falsification, Drug & Alcohol violations, gross negligent behavior, and
failure to report accidents/incidents and serious safety hazards are examples of employee
behaviors that may result in disciplinary action.
Forms of reporting can include submitting a completed SMS Hazard/Risk Report Form (found in
the Appendix) or utilizing a centrally located Safety Suggestion Box at the division location. The
transit agency may also have an additional form of Employee Safety Reporting.
The Hazard/Risk Report Form shall be completed immediately, so proactive measures can be
taken as soon as possible. Depending on the perceived level of risk and severity, the report shall
be submitted immediately or by the end of their shift.
Input by employees into the ESRP can include safety concern reporting, operational system
description, hazard identification, safety deficiencies, risk assessments, potential consequences of
hazards, or recommended safety risk mitigations.
Examples of reports may include the following;
• Safety hazards in the operating environment (for example, county road conditions)
• Policies and procedures that aren't working as intended (for example, insufficient time to
complete pre -trip inspections)
• Events that senior managers might not otherwise know about (for example, near misses)
• Information about why a safety event occurred (for example, radio communication
challenges contributed to an incident)
The information we receive through this source will help us resolve the reported hazard and notify
the supervisor or senior management of changes that may need to be made to mitigate safety
hazards in the future.
The Safety Department will lead the effort on collection, analysis, resolution, and monitoring of
hazards and feedback entered through the ESRP. The Safety Department will take the lead on the
Safety Risk Management process, with inputs from subject -matter experts in operations and
maintenance.
Information collected through our ESRP will feed into our hazard identification and analysis
process. Please reference that section of the plan for further information on mitigation,
resolution, and communication.
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1.10 Authorities, Accountabilities & Responsibilities
Safety accountabilities and responsibilities span from corporate organizational roles to contract
management and front-line employees. All employees are responsible for safe operations, as
outlined in our Commitment to Safety statement.
The CEO provides strategic direction and has the responsibility for providing the leadership and
resources to carry out the Safety Management System plan.
Agency Leadership and Executive Management are tasked and authorized with making sure that
the organization safety policies and procedures are followed and communicated to their direct
reports, general managers, managers and front-line supervisors. They will provide positive
leadership and direction in maintaining the safety policy as a major priority in all operations. This
group is responsible for providing resources to acquire and maintain safety and health
equipment, devices and programs. They will support safety standards and behaviors ensuring
that steps are made to identify and mitigate hazard and risk.
The Safety Leadership team, including the Chief Safety Officer, VPofSafety, or Director of Safety,
has the authority and responsibility for making sure the safety policies and procedures are
adhered by and promoted by senior management, department supervisors and managers, area
safety directors and key safety team members. The Safety Leadership team will stay informed of
law changes Or updates concerning employee safety and record keeping and will amend safety
policies as required. This group will conduct periodic reviews Of safety standards to remain
current with federal and state requirements. They will provide guidance in maintaining a high
standard Of safety training programs and assist in analyzing safety data to identify future
mitigation strategies. The Directors of Safety will conduct an annual audit to ensure compliance
with Federal, State and Local rules and regulations as well ascompany policies and procedures.
Key Staff, including Department Supervisors, Managers and all other employees, are tasked with
following all company safety policies to include, but not limited to, FTA, FM[SA, USDOT, ADA
safety regulations. Managers and Supervisors are responsible for staying current on all internal
and external safety training. They are also responsible with reporting or responding to accidents,
injuries, near misses, unsafe working conditions and potential hazards within their scope of
influence. Supervisors and Managers will evaluate employee performance ensuring each
employee's safe behavior and work methods and coach, retrain and discipline as required. They
will conduct monthly facility audits to ensure compliance. They are also responsible for
promoting the ESRP and reviewing and resolving all submissions responsibility.
In addition to the above overview of safety roles and responsibilities by group, the following
highlights the site -specific roles and responsibilities. This is in addition to the responsibilities
listed out in our Commitment to Safety (page 4) and SMS plan objectives (page 2).
General Manager: Ultimate responsibility for the safety performance of the location and
authorizes activities to support an effective SMS.
Operations Manager: Responsible for promoting operational safety and adhering to our policies
and procedures.
Safety and Training Manager: Responsible for the day-to-day implementation and operation of
the SMS.
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Maintenance Manager: Responsible for OSHA compliance and site -specific maintenance
activities.
Trainers / Instructors: Responsible for ensuring that we are training every employee to
proficiency in accordance with our performance standards.
Supervisors: Responsible for playing an active role in SMS activities, including sufficient road
observations and identifying potential safety hazards with recommended solutions.
Location Safety Committee: Responsible for ensuring that reported safety items are reviewed
and addressed, as well as discussing proactive measures to mitigate future risk.
1.11 Emergency Management Integration and Procedures
Every site location is to maintain an updated Emergency Action Plan (Safety Policy S-21). The
purpose of the Emergency Action Plan is to assist employees and management in making quality
decisions during times of crisis, and to comply with regulatory standards for Emergency Action
Plans.
The Facility Emergency Action Plan will be reviewed and updated annually. Certain practice drills
are to be planned and carried out for preparedness during emergency scenarios.
The Emergency Action Plan is available on our intranet site and should be printed and stored in
the division.
1.12 SIVIS Documentation and Records
Processes that require documentation or forms to support an effective SMS are listed out in this
plan within the corresponding section.
Site locations that are subject to the PTASP Final Rule will be required to maintain documentation
and recordkeeping for a minimum of 3 years.
a Safety Risk Management
The FTA defines Safety Risk Management as a process within the agency's Public Transportation
Agency Plan for identifying hazards and analyzing, assessing, and mitigating the safety risk.
Through risk identification and assessment, a determination is made of the probability and
severity of potential losses. Safety and loss control programs are developed to modify and
eliminate or reduce the risks of these exposures.
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2.1 Accident and Incident Reporting and Response
It is the policy of MV Transportation to minimize injury, damages, pain and suffering for people
involved in vehicular mishaps involving MV vehicles, to promptly respond, report and to
thoroughly investigate these occurrences. (Safety Policy 5-32)
All incidents, including near misses and minor events, should be reported as soon as possible —
whether or not the incident did or could have resulted in personnel injuries, illnesses, or property
damage.
The incidents shall be immediately reported from the scene. Operator at scene shall immediately
contact Dispatch and provide incident details.
When possible, it is the responsibility of the General Manager to make sure that a manager or
supervisor responds to the accident to ensure care for our driver and equipment, secure the
incident site, preserve evidence, review of accident investigation and proper review of company
liability.
The initial accident/incident claim line information sheet should be completed with details to
convey to our claims hotline.
Accident and incident response procedures will vary depending on the severity of an incident
("major' vs. "minor" definition thresholds outlined in Safety Policy 5-32). All employees,
supervisors and managers should be knowledgeable on response procedures outlined in Risk
Management SAF-001 Accident Procedures guideline and High Priority Event notification
procedures.
The General Manager and Safety Manager are responsible for ensuring a timely investigation and
report is completed.
Reports are reviewed by the department manager, who determines preventability (Safety Policy
S-1). Reports may also be reviewed by Risk Management and the Director of Safety. Additional
actions and activities may be requested from the Risk Management department or Regional
Director of Safety.
Copies of the accident/incident reports and a summary are kept for review and reporting as
necessary.
Work Injuries
Work injuries include any injury, occupational disease, or disability that arises out of, or in the
course of, any work -related activity and requires first aid or medical treatment. Worker's
compensation OSHA -related injuries are considered work injuries for the purpose of this policy.
Injuries should be reported by the injured employee or a witness to dispatch or his/her immediate
supervisor as soon as possible. If the injured employee needs medical attention, the appropriate
response by coworkers (dispatch, supervisor, manager) is to:
• Assess the injury.
• Call 911 if necessary.
• Begin emergency medical treatment, if willing and able.
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• Continue treatment until emergency responders arrive.
• Inform Management or Director of Safety.
• Complete a written report as soon as possible.
The injured employee must complete an Employee Injury Report for the Human Resources and
Safety department as soon as possible. In compliance with OSHA regulations, all reportable
employee injuries will be recorded by a representative from the Safety department and a
summary will be posted from February 1 to April each year for employee review.
The Supervisor will conduct an investigation to determine the root cause of the incident
surrounding the injury (Safety Policy 5-30). The Supervisor will issue a written report for review
by Risk Management, Regional Manager - Maintenance, General Manager and Area Safety
Director. Recommendations may be issued and will follow normal channels of communication.
Investigative resources will include the Employee Injury Report, eyewitness accounts, employee
interviews, equipment testing, and any other reasonable means to determine root causes. Injury
reports will be kept on file for future analysis.
Accident and Incident Investigation
It is the policy of MV Transportation to investigate all incidents/injuries, to identify causes, and to
correct deficiencies, if any (Safety Policy S-1). Effective incident investigation is an essential step
towards making improvements in the system or process that can prevent future incidents from
similar causes. It is the key to correcting and improving unsafe behavior in the workplace.
Identifying all factors that came into play to cause an incident, accident, or injury, and getting
down to the root cause, is the only way to ensure proper steps will be taken to prevent a
recurrence. This includes examining driving and work procedures and revising them if found
faulty, and identifying violations of MV, OSHA, DOT, FTA, or other procedures, rules or regulations.
(Safety Policy 5-32)
After corrective actions have been identified and put in place, the management team or Regional
Safety Director will follow-up to ensure that corrective actions remain in place and have effectively
corrected incident causes
2.2 Safety Hazard Identification and Analysis
Hazards identifications could be submitted directly, or could be derived from trends or other data
analyses.
Hazards can be identified through a variety of sources, including,
1. Reviews
2. Observations
3. Investigations
4. ESRP
5. Passenger feedback
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When a hazard has been identified, it will be tracked in a Safety Risk Register log, using the FTA
template provided. This includes the description of the risk, rating of the risk, the action to address
it, and how we are going to monitor that action for its effectiveness.
The hazard will be rated with an "as reported" risk assessment ranking, which will be followed up
for a re-evaluation after a mitigation strategy has been implemented.
Reviews
• DriveCam scored or coachable events — driver specific or aggregated trends of at -risk
behaviors
• Monthly performance or quarterly reviews of both leading and lagging indicators
Observations
• Road observations and ride checks
• Mystery rider program (if applicable at the site location)
• Customer/passenger comments
• Third -party notifications
Audits and Inspections
• Monthly facility inspection
• Daily walk-through
• Pull-out procedures
• New driver assessments (Safety Policy S-37)
• Refresher training (Safety Policy S-12)
• Annual safety director audit
• Maintenance audit
Investigations
• Accident and incident investigation
• Injury root cause investigation
Hazard Analysis
Once a hazard has been identified, it must then be analyzed. Analysis may include a description
of the hazard, supporting results documents, photos, and/or suggestions for resolution. Unless a
hazard can be eliminated, it's safety risk must then be managed. We analyze this in terms of how
likely it is to happen (probability or frequency) and how bad it could be (severity). Hazard
Probability Categories and Hazard Resolution Matrix, see Attachment A, and then by determining
the best method for remediation. Near Miss reporting will be collected through Dash Camera
Systems, as well as encouraged through the ESRP. If not captured through a Dash Camera System,
Near Miss reporting can be completed on the Hazard Risk Form and reported to the location Safety
Manager or Supervisor.
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2.3 Evaluation, Mitigation and Communication of Safety Risk
The last step is to develop possible mitigation strategies that address identified safety risks. In
evaluating safety risks, identifying what is being done now vs. what can be done in the future is an
important consideration.
The review must identify facts, establish root causes, and suggest methods for mitigating or
preventing recurrence.
Statistics from accident and incidents are tracked and compared to performance measures and
targets to identify where mitigations may or may not be effective.
The identified hazards are reviewed and assessed, and a priority is set based on severity of risk
using the Hazard Resolution Matrix.
The Location Safety Committee plays an important part of hazard reduction and hazard resolution.
The committee should provide inputs/ideas to ensure a safe work environment is established and
maintained. (Safety Policy S-39).
Hazard Resolution and Communication
When the safety hazard and analysis has been completed, the location supervisor or manager who
will then coordinate efforts with essential personnel to resolve the hazard in a timely manner. In
cases where an immediate threat to safety exists, work will be immediately suspended by the
location management while the hazard is addressed and mitigated.
Many hazards can be resolved through more than one means, but the general process for
determining the best method should be by considering engineering controls, administrative work
practices, or employee actions.
Communication of resolution and status of SMS activities is listed out in section 4 of this plan.
3. Safety Assurance
The FTA defines Safety Risk Management as a series of processes within a transit agency's Safety
Management System that function to ensure the implementation and effectiveness of safety risk
mitigation, and to ensure that the transit agency meets or exceeds its safety objectives through
the collection, analysis, and assessment of information.
Safety Assurance subcomponents includes:
1. Safety Performance and Monitoring and Measurement
2. Management of Change
3. Continuous Improvement
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:3.1 Safety Performance and Monitoring and Measurement
Data is constantly collected through the transit agency's Safety Assurance activities. This will
include both leading and lagging indicators.
Safety performance indicators will help measure inputs, outputs, outcomes, or impacts. It is a
signal or early warning sign.
Safety performance targets are quantifiable and is the expected change over a period of time.
Daily monitoring will be conducted through inspections, observations, and evaluations.
Safety Performance Targets are spelled out in Section 8 of this plan.
Mitigation Monitoring
The Mitigation Monitoring plan helps ensure safety performance monitoring and measurement
activities are performed to confirm that mitigations are effective, appropriate, and fully
implemented.
A Mitigation Monitoring plan may include the selected safety risk mitigation, the indicators or
targets, description of how it will be monitored, timeframe, responsibility, and updates.
While the Mitigation Monitoring plan addresses the mitigation and monitoring activities, the
Corrective Action Plan documents the corrective action and helps address short-term defects or
compliance issues. The Corrective Action Plan is intended to eliminate the behavior that caused
the event, while Mitigation Monitoring is to continuously monitor the hazard.
The Mitigation Monitoring process is owned by the location's management team, with assistance
from the Regional Safety Director. The Mitigation Monitoring process requires periodic reviews
to ensure that the risk level is being mitigated and reduction of the frequency of the hazard is
taking place.
A periodic audit of contractor safety plans, Safety Data Sheets, and Personal Protective Equipment
requirements will be conducted by the Safety Team and the General Manager.
:3.2 Management of Change
Our operating environment has many areas that can and will be subject to a change. Prior to
implementation of a proposed change, an assessment will be performed by using the Hazard/Risk
Report form to determine if the change will impact safety performance or if there are any new
hazards that will be present.
If a new hazard is identified, it is put through the SRM process and evaluated. A risk mitigation
strategy will be created or modified to mitigate risk for that change. Once the change is made it
will be monitored for effectiveness.
The size and scope of the change can vary from something small to something as large as new
service or routes. Efforts will be made to assess if there is a possible impact to safety prior to
operations taking place.
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:3.3 Continuous Improvement
The overall safety performance of the system and the performance of SMS activities will be
continuously measured and evaluated to determine the effectiveness and appropriateness of risk
mitigations.
The data and information that will be collected through Safety Assurance activities will tell us how
we are doing and what areas we can improve on.
Insight through these sources may trigger more frequent reviews and a revised strategy to ensure
that mitigations are effective.
Local management will work with the agency to determine frequency of meetings with the
contractor management to review the SMS process.
a Safety Promotion
4.1 Competencies & Training
It is the policy of MV Transportation that all employees will undergo new hire training based upon
type of service and experience level. Mastery is verified through evaluations prior to being
released to revenue service.
Job -specific training programs have been developed to enhance safety skills necessary for safe,
secure, and reliable customer service. This includes training for operators, trainers, supervisors,
maintenance staff, operations, and management personnel.
MV Transportation maintains a continuous safety communication campaign through the form of
safety meetings (Safety Policy S-27). Every month, a fleet safety and injury prevention topic will
be reviewed to refresh the fundamentals and key learning points. Annual refresher training on
key areas will also be conducted along with periodic promotion of prevention activities.
Maintenance monthly training will focus on OSHA compliance for shop safety. The training
complies with current state and federal standards and covers potential safety and health hazards
as well as safe work practices and procedures to eliminate or minimize hazards.
Information concerning safety hazards or issues is provided to employees through new hire
orientation, location safety committee meeting minutes, company -wide or departmental
meetings, Safety Team briefings, monthly safety meetings, bulletin board postings, memos, or
other written communications.
All MV operators will receive refresher or remedial training, as necessary, throughout their
employment with the Company (Safety Policy S-12). This can include, but is not limited to,
defensive driving techniques, ADA and Wheelchair Securement activities, Fatigue Management,
Pedestrian and Bicyclist awareness, as well as hands-on training. This training provides a
procedure for evaluation job skills and determining subsequent retraining needs or employees
who are returning to work after an extended leave, employees who have been involved in an
accident and refresher skill training.
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Training, retraining, proficiency checks, and safety meeting attendance will be recorded and
documented.
Training records are kept by the department supervisors and managers and will include:
• Date of training
• Employee names
• Copies of training materials
• Training subject
• Location of training
• Name of trainer
• Signature of trainer and trainee
A training audit and training needs assessment will be conducted at least bi-annually, or as a
result of activities that come out of the SRM process.
Safety Culture
Our Vision is to deliver the Best Customer Experience with industry -leading Safety, Reliability, and
Innovation. Our fundamental safety belief is that Safety is a core business value and there is
nothing more important than promoting and maintaining a safe operation.
Our Safety Culture Guide outlines the importance of implementing initiatives at the local level to
promote a positive safety culture.
To foster a positive safety culture, supervisors and management should make every effort to
demonstrate their commitment to safety, offering the highest level of respect and dignity and a
genuine concern for the welfare of their workers. Supervisors and management will exhibit the
behaviors they want to see as part of their location's safety culture.
Elements of our Safety Culture Guide include:
• Employee engagement and buy -in
• Accountability and ownership of employees
• Positive recognition
• Reinforcement of safe behaviors
• Safety award programs
• Administration of the Katherine McClary Safe Operator Award program
• Safety campaigns and blitzes
• Incentive and reward contests
Supervisors and managers will pay attention to, measure, and publicly acknowledge the desired
behaviors and performance outcomes by workers. The purpose of this and other safety -related
programs is to focus our employees on working safely, and then reward them for their success.
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4.2 Safety Communication
Communication of the SMS
A variety of methods may be used to communicate the SMS plan, including updates or memos.
Communication can include updates related to SMS concerns/issues, lessons learned, analysis,
new requirements or tracking mechanisms, and/or roles and responsibilities.
It is the responsibility of the location management to train employees on how to identify and
report hazards. Management and supervisors will encourage employees to report their safety
concerns or hazards.
Safety actions that are taken in response to reports submitted through the ESRP will be
communicated to employees during the safety meetings or posted in a common area.
Our Policy and Commitment to Safety statement will be distributed to all managers to be reviewed
with all employees during initial onboarding. This will be reviewed at least annually to
continuously promote a safe work environment and communicate our commitment to an incident
and injury free workplace.
Our policies, procedures, written statements, and formalized plans that support our SMS activities
are available to all managers through our intranet site.
Continuous Awareness and Safety Communication
Management and supervisors will facilitate in daily safety communication and planning
engagement blitzes and campaigns accordingly.
Dispatchers will play an active role in this process by delivering safety radio announcements.
The Daily Safety Message will be printed and posted throughout the facility.
Material that supports the monthly fleet safety topic and/or injury prevention topic that is
distributed from corporate will be displayed throughout the facility.
Additional means of communication includes:
• New Hire Orientation Training
• Operational Safety Calls
• Safety Meetings
• One-on-one dialogue between
supervisors and employees
• Safety Briefings/Toolbox Talks
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• Safety Bulletin Board
• Safety Committees
• Posters, Flyers, & Memos
• E-mail Communications
• Internal Websites
• Video/TV Displays
So Supporting Resources
Maintenance Shop Safety
Employee Handbook
Code of Federal Regulations (CFR)
Handbook
Safety Manual
Crime Prevention Environmental
Vehicle Maintenance Plan (PM)
Design (CPTED)
New Hire Orientation
Aerial Platform Certification
Emergency Action Plan
Fitness for Duty Evaluation
Powered Industrial Truck
Fire Prevention Plan
(Forklift) Certification
Operations Policies and Procedures
Handbook
HAZCOM Plan
Clean Air Act (608,609)
Recruiting and Hiring Practices
Hearing Conservation Program
Noise Protection
Incident Management and
Heat Illness Prevention
Lock Out/Tag Out
Investigation
Lockout Tagout Program
Personal Protective Equipment
Safety Audits/Inspections
Safety and Security Program
Respiratory Protection
Safety Reports and Forms
System Safety Program Plan
Welding, Cutting and Brazing
Safety Communication TV Displays
Safety
System security and Emergency
Wheelchair Certifications
Preparedness Plan
OSHA 10-Hour
Defensive Driving Program
KMA Safe Driver Award Program
OSHA 30- Hour
Operator Refresher Training
Monthly Safety Meetings
Heat Stress
Safety Committees
Customer Service Training
Housekeeping
Safety Calendar — Weekly & Monthly
Continuity of Operations Plan
HAZCOM
Topics
Bloodborne Pathogens
Bi-monthly Safety Stand -down
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6. Plain Development
El Approval and Updates
Name of Entity That Drafted MV Transportaion
This Plan
Signature of Accountable Executive Date of Signature
Signature by the
Accountable Executive
Name of Individual/Entity That Approved This Plan Date of Approval
...................................................................................................................................................................................................................................................................................................................................................................................
Approval by the
Board of Directors
or an Equivalent Authority Relevant Documentation (title and location)
Name of Individual/Entity That Certified This
Plan Date of Certification
Certification of
Compliance
Relevant Documentation (title and location)
...........................................................
6.2 Version Updates
Version Number and Updates
Record the complete history of successive versions of this plan.
Version Section/Pages Affected Reason for Change Date Issued
Number
...............................................................
I Creation 10/2019
...............................................................
................................................................
...............................................................
................................................................ .............................................................................................................................................................. ....................................................................................................................................................................................................................................... ...............................................................................
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Annual Audit & Review and Update of the Safety Management Systems Plan
Describe the process and timeline for conducting an annual review and update of the Safety Management Systems
Plan.
During the final quarter the Safety Plan Committee will meet and review current SMS plan and make changes accordingly
and update this SMS document. A communication will be sent out with an explanation of changes and a pdf copy of the
updated plan will be made available vie e-mail or web.
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Transit Agency 11 information
Transit Agency Name
Transit Agency Address
Name and Title of
Accountable Executive
Name of Chief Safety Officer
or SMS Executive
Mode(s) of Service Covered
Bus List All FTA Funding Types None
by This Plan
(e.g., 5307, 5310, 5311)
Mode(s) of Service Provided
by the Transit Agency
Bus
(Directly operated or
contracted service)
Does the agency provide
transit services on behalf of
Yes No Description of
another transit agency or
Arrangement(s)
entity?
Name and Address of Transit
Agency(ies) or Entity(ies) for
Which Service Is Provided
Safety Performance
Safety Performance Targets
Safety Performance Targets
Specify performance targets based on the safety performance measures
established under the National Public
Transportation Safety Plan.
Mode of Transit Service Preventable Accidents per NTD Recordable
Employee Injuries
100K miles Accidents
per 200k hours
Paratransit
Mode of Transit Service Miles Between Road Calls PMI OTP %
Number of
Vehicles COS
Maintenance
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Safety Performance Target Coordination
Safety Performance Target Coordination
MV Transportation will work with the agency to support them in their PTASP which includes analyzing historical trends to
establish safety performance targets. Agency will coordinate directly with MPO and MV will help in this process as needed.
Name Date Targets Transmitted
..............................................................................................................................................................................................
Targetstransmitted .................................................................................................................................................................................................................. .............................................................................................................................................................................................
to stakeholders
..............................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................
25
0
2
W
HAZARD IPROBABILffY,..FABLE
ISIK ASSESSMENT E UEINCY/SE II U 'FR
Frequency
1/D
HAZARD IRIES0II...UTION 1 ABLE
1/D I 2/C I 2/D I 3/B I 3/C I
Severity
3/13
2/C 3/C
2/D
Unacceptable —correction may be required
after review by CEO.
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Attachment
MV Transportation SMS Hazard/Risk Report Form
This report
concerns:
❑ Hazard ❑ Risk ❑ Near Miss ❑ Other
Hazard Type:
❑ Policy/Procedure ❑ Operational ❑ Environmental ❑ Equipment/Design ❑ Training
REPORTED BY:
❑ Employee ❑ Customer/Passenger ❑ Other:
le FD or PD
NAME:
LOCATION:
Description of Safety Concern:
PHOTOS: ?
❑ Yes ❑ No
Hazard Analysis:
According to Hazard Severity Matrix
El1 Catastrophic El2 Critical El3 Marginal ❑ 4 Negligible
Recommended Safety Risk Mitigation:
Supervisor/Safety Manager Comments/Actions:
Supervisor/Safety Manager:
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Hazard/Risk Resolution
Is Hazard/Risk corrected "On the Spot"?
❑ Yes ❑ No
I If the answer is "No" then proceed with the steps below:
This report must be forwarded to the SAFETY DEPARTMENT; report is assigned to specific department(s) for hazard rectification;
report is assigned a priority
Priority:
❑ High ❑ Medium ❑ Low
Hazard/Risk/ Near Miss deficiency corrected?
❑ Yes ❑ No
Date closed if "Yes"
Date
If answer is NO, notify Safety department to begin continuing action for resolution, and send to the Safety Team or Staff for
recommendations.
List how the Hazard/Risk/Near Miss was resolved
Date Resolved
(.lick or tap to cm r a data.
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