HomeMy WebLinkAbout3/19/2024 Item 6e, Horn - Staff Agenda CorrespondenceCity of San Luis Obispo, Council Memorandum
City of San Luis Obispo
Council Agenda Correspondence
DATE: March 19, 2024
TO: Mayor and Council
FROM: Matt Horn, Public Works Director
VIA: Derek Johnson, City Manager
SUBJECT: ITEM 6E – ADOPTION OF FEDERAL TRANSIT PUBLIC
TRANSPORTATION AGENCY SAFETY PLAN (PTASP)
Staff received the following questions, regarding adoption of SLO Transit’s 2023-24
Public Transportation Agency Safety Plan (PTASP). The questions are below with staff’s
response shown in italics:
1) One of the recommendations in the report is to authorize SLO Transit’s
Accountable Executive, the City Manager, to sign the finalized version of the
PTASP. However, the PTASP and the adopting Resolution identify the Assistant
City Manager as the Accountable Executive for SLO Transit. Who is SLO
Transit’s Accountable Executive?
The Accountable Executive for SLO Transit is the City Manager. The final draft of the
PTASP and the adopting Resolution have been updated and attached to this
memorandum as Attachment A and Attachment B, respectively, to correctly reflect the
recommended action in the report.
2) Appendix of the PTASP provides examples of Safety Event Investigation forms
used by SLO Transit’s contracted operations and maintenance services
provider, Transdev North America (Transdev), to document and report
incidents. The example forms display the name First Transit, Inc. Who is First
Transit, Inc. relative to the City’s current transit operator, Transdev?
In March 2023, the City was notified that Transdev acquired First Transit. The City
updated their vendor profile to reflect the ownership change and the Transdev logo
has since replaced the First Transit logo on all public facing displays and equipment.
City staff engaged Transdev in the PTASP update process and were provided the
most recent versions of their Safety Event Investigation forms. Transdev has yet to
update these internal forms to reflect the ownership change. The forms are still valid
and actionable through the PTASP. City staff will work with Transdev to update all
remaining internal documents to reflect the ownership change to avoid confusion in
the future.
ATTACHMENTS
A - Updated Final Draft of the FY2024 Public Transportation Agency Safety Plan
B - Updated Draft Resolution approving the Public Transportation Agency Safety Plan
City of San Luis Obispo
San Luis Obispo (SLO) Transit
1260 Chorro Street
San Luis Obispo, CA 93401
Public Transportation Agency Safety Plan (PTASP)
[Pending Adoption – March 19, 2024]
_____________________________________ ______________
Signature of Accountable Executive Date
Derek Johnson, City Manager
Public Transportation Agency Safety Plan Regulation (49 CFR Part 673)
Page 2 of 29
Contents
Definitions .................................................................................................................................. 3
Section 1 Transit Agency Information ......................................................................................... 5
Subsection 1.1 Accountable Executive ...................................................................................... 5
Subsection 1.2 Chief Safety Officer ............................................................................................ 5
Section 2 Plan Development, Approval, and Updates ................................................................ 5
Subsection 2.1 Drafting the Plan ................................................................................................ 6
Subsection 2.2 Signature by the Accountable Executive and Approval by the Board ................. 6
Subsection 2.3 Certification of Compliance ................................................................................ 6
Subsection 2.4 Plan Review and Updates .................................................................................. 6
Section 3 Safety Performance Targets (SPTs) ........................................................................... 7
Subsection 3.1 Target Development .......................................................................................... 7
Section 4 Overview of the Agency’s Safety Management Systems (SMS) ................................. 8
Section 5 Safety Management Policy ......................................................................................... 9
Subsection 5.1 Safety Management Policy Statement ............................................................... 9
Subsection 5.2 Safety Management Policy Communication ......................................................10
Subsection 5.3 Employee Safety Reporting Program ................................................................10
Subsection 5.4 SMS Authorities, Accountabilities, and Responsibilities ....................................11
Subsection 5.4.1 Accountable Executive...................................................................................11
Subsection 5.4.2 Chief Safety Officer ........................................................................................12
Subsection 5.4.3 Agency Leadership and Executive Management ...........................................12
Subsection 5.4.4 Key Staff ........................................................................................................13
Section 6 Safety Risk Management (SRM) ...............................................................................14
Subsection 6.1 Safety Hazard Identification ..............................................................................14
Subsection 6.2 Safety Risk Assessment ...................................................................................15
Subsection 6.3 Safety Risk Mitigation .......................................................................................17
Section 7 Safety Assurance ......................................................................................................17
Subsection 7.1 Safety Performance Monitoring and Measurement ...........................................18
Section 8 Safety Promotion .......................................................................................................19
Subsection 8.1 Safety Communication ......................................................................................19
Section 9 Strategies to Minimize Exposure to Infectious Diseases ............................................21
Section 10 Documentation ........................................................................................................23
Public Transportation Agency Safety Plan Regulation (49 CFR Part 673)
Page 3 of 29
Definitions
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; an evacuation for life safety
reasons.
Accountable Executive means the single, identifiable person who has ultimate responsibility for
carrying out the Public Transportation Agency Safety Plan of the 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.
Agency or Transit Agency means the City of San Luis Obispo Transit (SLO Transit).
San Luis Obispo City Council means governing body of SLO Transit.
Caltrans means the California Department of Transportation
Chief Safety Officer means the adequately trained individual who has responsibility for safety and
reports directly to the Transit Agency’s chief executive officer.
CFR means Code of Federal Regulations.
Event means any Accident, Incident, or Occurrence.
FTA means the Federal Transit Administration, an operating administration within the United
States Department of Transportation.
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 the 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 the Transit Agency.
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. Chapter 53.
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 the Transit Agency.
Part 673 means 49 CFR (Code of Federal Regulations) Part 673.
Public Transportation Agency Safety Plan Regulation (49 CFR Part 673)
Page 4 of 29
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 Federal Transit Administration
(FTA).
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 the Transit Agency’s Safety Management Systems
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 the 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 Systems (SMS) 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 (SPT) means a Performance Target related to safety management
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 (SRA) means the formal activity whereby the Transit Agency determines
Safety Risk Management priorities by establishing the significance or value of its safety risks.
Safety Risk Management (SRM) means a process within the Transit Agency’s Public
Transportation 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 seven days from the date 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 five percent of the body surface.
State of Good Repair (SGR) means the condition in which a capital asset is able to operate at a
full level of performance.
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.
Public Transportation Agency Safety Plan Regulation (49 CFR Part 673)
Page 5 of 29
U.S.C. means United States Code.
Section 1 Transit Agency Information
The City of San Luis Obispo Transit (SLO Transit), a program of the City’s Public Works
Department, is the local fixed-route public transit operation within the city limits of San
Luis Obispo and California Polytechnic State University (Cal Poly). Service operations
and vehicle maintenance are provided by a third-party contractor (Transdev U.S., Inc.).
SLO Transit is a recipient of Federal Transit Administration (FTA) Section 5307 funds and
does not provide transportation services on behalf of another entity.
Subsection 1.1 Accountable Executive
SLO Transit’s Accountable Executive is the City Manager for the City of San Luis Obispo.
The City Manager is the single, identifiable person who has ultimate responsibility for
carrying out this Agency Safety Plan and the Transit Asset Management (TAM) Plan, and
control or direction over the human and capital resources needed to develop and maintain
both this Plan and the TAM Plan.
The City Manager is accountable for ensuring that the Agency’s Safety Management
Systems (SMS) is effectively implemented throughout the Agency’s public transportation
system. The City Manager is accountable for ensuring action is taken, as necessary, to
address substandard performance in the Agency’s SMS. The City Manager may delegate
specific responsibilities, but the ultimate accountability for the Transit Agency’s safety
performance cannot be delegated and always rests with the City Manager.
Subsection 1.2 Chief Safety Officer
As a small public transportation provider, SLO Transit’s designated Chief Safety Officer
is the contracting General Manager who has the authority and responsibility for day-to-
day implementation and operation of the Agency’s SMS. The Chief Safety Officer has a
strong working relationship with the operations and asset management functions at SLO
Transit.
Section 2 Plan Development, Approval, and Updates
Caltrans developed the contents of this SLO Transit plan to meet requirements specified in
49 CFR Part 673 and comply with Part 673.11(d) regarding Caltrans’ responsibility to develop
an ASP for any small public transportation provider that is located in California. 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 includes systematic policies,
procedures, and practices for the management of safety risk. The four principles or pillars of
Public Transportation Agency Safety Plan Regulation (49 CFR Part 673)
Page 6 of 29
SMS are: (1) Safety Management Policy; (2) Safety Risk Management; (3) Safety Assurance;
and (4) Safety Promotion.
Subsection 2.1 Drafting the Plan
Caltrans drafted this Plan, thus meeting the requirements of 49 CFR Part 673.11(d). FTA
will oversee compliance with the requirements of Part 673 through the existing Triennial
Review processes.
Should SLO Transit no longer meet the definition of a small public transportation provider
or choose to opt-out of the Caltrans Agency Safety Plan, within one year from the date of
notifying the State of either development SLO Transit will draft and certify its own Agency
Safety Plan. If SLO Transit operates more than 100 vehicles SLO Transit must fulfill
requirements of systems operating more than 100 vehicles.
Subsection 2.2 Signature by the Accountable Executive and Approval by the Board
Pursuant to 49 CFR Part 673.11 (a)(1), this Agency Safety Plan and subsequent updates
must be signed by the Accountable Executive and approved by SLO Transit’s Board.
Documentation of Board approval is found in Appendix A.
Subsection 2.3 Certification of Compliance
Pursuant to 49 CFR Parts 673.13(a) and 673.13(b), Caltrans certifies that it has
established this Agency Safety Plan, meeting the requirements of 49 CFR Part 673 by
July 20, 2020 and will certify its compliance with 49 CFR Part 673.
FTA published a Notice of Enforcement Discretion on April 22, 2020 effectively extending
the PTASP compliance deadline from July 20, 2020 to December 31, 2020. Transit
operators must certify they have a safety plan in place meeting the requirements of the
rule by December 31, 2020. The plan must be updated and certified by the transit agency
annually.
After Caltrans initial certification, and on an annual basis, SLO Transit must update this
Agency Safety Plan. All Agency Safety Plan updates shall be signed by the Accountable
Executive and approved by SLO Transit’s Board.
FTA does not require this plan to be submitted to FTA. Instead, Caltrans will certify that it
has established this Safety Plan, which fulfills the requirements under Part 673. FTA
annually amends and issues the list of Certifications and Assurances. Caltrans will review
such guidance for incorporation into the safety program as necessary.
Subsection 2.4 Plan Review and Updates
SLO Transit updates this Safety Plan when information, processes or activities change
within the Agency and/or when Part 673 undergoes significant changes, or annually,
whichever comes sooner. As SLO Transit collects data through its Safety Risk
Management and Safety Assurance processes, shared with Caltrans and the local
Metropolitan Planning Organization (MPO) as described in subsection 3.1 below, the
Public Transportation Agency Safety Plan Regulation (49 CFR Part 673)
Page 7 of 29
MPO and Caltrans will evaluate SLO Transit’s safety performance targets (SPTs) to
determine whether they need to be changed, as well.
This Plan will be jointly reviewed and updated by the City Transit Coordinator, with the
assistance of subject matter experts, annually. The Accountable Executive will approve
any changes, then forward on to the Board for approval.
This Plan may need to be reviewed and updated more frequently based on the following:
• We determine our approach to mitigating safety deficiencies is ineffective;
• 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 SMS;
• We significantly change our organizational structure.
Version Number and Updates
Record the complete history of successive versions of this plan.
Version
Number
Section/Pages
Affected Reason for Change Date Issued
1.0 All Original Plan 11/17/2020
2.0 Various Plan Update 3/2023
3.0 Various Plan Update 3/2024
Section 3 Safety Performance Targets (SPTs)
Subsection 3.1 Target Development
SLO Transit includes SPTs in this Safety Plan. These targets are specific numerical
targets set by SLO Transit and based on the safety Performance Measures established
by FTA in the National Public Transportation Safety Plan. In the most recent version, the
2017 NSP3, FTA adopted four initial safety Performance Measures: (1) Fatalities, (2)
Injuries, (3) Safety Events, and (4) System Reliability.
SLO Transit developed safety performance targets that it will review and update annually.
The specific safety performance targets are based on the safety performance measures
established under the National Public Transportation Safety Plan and the safety
performance goals set by Caltrans based on the past three (3) fiscal years of data. The
Public Transportation Agency Safety Plan Regulation (49 CFR Part 673)
Page 8 of 29
Safety Performance Targets for SLO Transit for the Fiscal Year 2023-24 is expected to
stay within 1% +/- of previous three years data pertaining to fatalities, injuries, safety
events, and system reliability.
SLO Transit established safety performance targets for the period of July 1, 2023, through
June 30, 2024, based on safety performance measures established under the National
Public Transportation Safety Plan.
Safety Performance Targets
Based on the safety performance measures established under the National Public Transportation
Safety Plan.
Mode of Transit Service Fatalities
(total)
Injuries
(total)
Safety
Events
(total)
System
Reliability
(VRM / failures)
Fixed Route Integer Target 0 0 0 3,377
Fixed Route Target per Vehicle Revenue Mile 0 0 0 0.01
Safety Performance Target Coordination
Targets Transmitted to the
Metropolitan Planning
Organization
Metropolitan Planning Organization Name Date Targets Transmitted
San Luis Obispo Council of Governments
(SLOCOG) 2/2024
Section 4 Overview of the Agency’s Safety Management Systems (SMS)
SMS is a comprehensive, collaborative approach that brings management and labor
together to build on the transit industry’s existing safety foundation to control risk better,
detect and correct safety problems earlier, share and analyze safety data more
effectively, and measure safety performance more carefully. SLO Transit’s SMS focuses
on applying resources to risk and is based on ensuring that SLO Transit has the
organizational infrastructure to support decision-making at all levels regarding the
assignment of resources. Some key parts of SLO Transit’s SMS include:
• Defined roles and responsibilities;
• Strong executive safety leadership;
• Formal safety accountabilities and communication;
• Effective policies and procedures; and
• Active employee involvement
Furthermore, SLO Transit’s SMS have four distinct components, which are discussed in
subsequent sections to this Safety Plan:
• Safety Policy
• Safety Risk Management
• Safety Assurance
• Safety Promotion
Public Transportation Agency Safety Plan Regulation (49 CFR Part 673)
Page 9 of 29
Section 5 Safety Management Policy
The first component of SLO Transit’s SMS is the Safety Management Policy, which is the
foundation of SLO Transit’s safety management system. It clearly states the
organization’s safety objectives and sets forth the policies, procedures, and
organizational structures necessary to accomplish the safety objectives. The Safety
Management Policy clearly defines management and employee responsibilities for safety
throughout the organization. It also ensures that management is actively engaged in the
oversight of the system’s safety performance by requiring regular review of the Safety
Management Policy, budget and program by the designated Accountable Executive.
Subsection 5.1 Safety Management Policy Statement
Safety is a core value at SLO Transit, and managing safety is a core business function.
SLO Transit will develop, implement, maintain, and continuously improve processes to
ensure the safety of our customers, employees, and the public. SLO Transit’s overall
safety objective is to proactively manage safety hazards and their associated safety risk,
with the intent to eliminate unacceptable safety risk in our transit operations.
SLO Transit will:
• Clearly, and continuously explain to all staff that everyone working within SLO
Transit must take part and be responsible and accountable for the development
and operation of the Safety Management System (SMS).
• Work continuously to minimize safety risks. Work to comply with and, wherever
possible, exceed legislative and regulatory requirements and standards for
passengers and employees.
• Work to ensure that all employees are provided appropriate safety information and
training, are competent in safety matters, and assigned tasks commensurate with
duties and skills.
• Reaffirm that responsibility for making our operations safer for everyone lies with
all employees – from executive management to frontline employees. Each
manager is responsible for implementing the SMS in their area of responsibility
and will be held accountable to ensure that all reasonable steps are taken to
perform activities established through the SMS.
Caltrans established safety performance targets to help measure the overall effectiveness
of our processes and ensure we meet our safety objectives. SLO Transit will keep
employees informed about safety performance goals and objectives to ensure continuous
safety improvement.
Public Transportation Agency Safety Plan Regulation (49 CFR Part 673)
Page 10 of 29
Subsection 5.2 Safety Management Policy Communication
The Safety Management Policy is communicated throughout the Agency, to all
employees, managers, and executives, as well as contractors, and to the Board.
This is accomplished through various processes such as:
• Review Sessions – Conducted by City Management and Transit staff. Once this
Plan or any update to this Plan has been signed by the Accountable Executive and
approved by the Board it will become standard practice in perpetuity for the Chief
Safety Officer to conduct safety meetings to review safety program with all staff.
• New Hire Safety Orientation – The Chief Safety Officer will oversee that all new
employees regardless of their classifications will be trained about their roles and
responsibilities pertaining to PTASP and the principles of SMS.
• Safety bulletins, email safety newsletter blasts to staff, and monthly safety
meetings
Subsection 5.3 Employee Safety Reporting Program
SLO Transit implemented a process that allows employees and contracted employees to
report safety conditions to senior management, protections for employees who report
safety conditions to senior management. The purpose, description and protections for
employees to report unsafe conditions and hazards are described in the Employee Safety
Reporting Program as below:
Purpose:
a) To establish a system for SLO Transit employees to identify unsafe conditions or
hazards at work and report them to their department management without fear of reprisal.
However, disciplinary action could result if the condition reported reveals the employee
willfully participated in or conducted an illegal act, gross negligence or deliberate or willful
disregard of regulations or procedures, including reporting to work under the influence of
controlled substances, physical assault of a coworker or passenger, theft of agency
property, unreported safety events, unreported collisions, and unreported passenger
injuries or fatalities.
b) To provide guidelines for facilitating the timely correction of unsafe conditions or
hazards by SLO Transit management.
Description:
a) This program provides a method for SLO Transit management to identify, evaluate,
and correct or avoid unsafe conditions or hazards, procedural deficiencies, design
inadequacies, equipment failures, or near misses that adversely affect the safety of
employees.
Public Transportation Agency Safety Plan Regulation (49 CFR Part 673)
Page 11 of 29
Examples of voluntary safety reports include:
• Safety hazards in the operating environment (for example, county or city road
conditions),
• Policies and procedures that are not working as intended (for example, insufficient
time to complete pre-trip inspection),
• Events that senior managers might not otherwise know about (for example, near
misses), and
• Information about why a safety event occurred (for example, radio communication
challenges).
b) The program also involves recommending corrective actions and resolutions of
identified unsafe conditions or hazards and/or near miss.
c) All employees have the obligation to report immediately any unsafe conditions or
hazards and near miss to their immediate supervisor /department manager and may do
so without fear of reprisal.
d) Unsafe conditions or hazards may also be identified as a result of occupational injury
or illness investigations and/or by accident investigation.
e) Other means by which hazards may be identified are inspections/audits or
observations made by the supervisors/management staff as referenced in agency’s
Safety Inspection Program.
f) Findings will be published immediately following mitigation actions. If employee
identification is available, direct feedback regarding mitigation will be provided.
Subsection 5.4 SMS Authorities, Accountabilities, and Responsibilities
This Plan has assigned specific SMS authorities, accountabilities, and responsibilities to
the designated Accountable Executive; Chief Safety Officer; Agency’s
Leadership/Executive Management; and Key Staff/Employees as described below and
displayed in Appendix B:
Subsection 5.4.1 Accountable Executive
SLO Transit’s Accountable Executive is the City Manager for the City of San Luis Obispo.
The City Manager is accountable for ensuring that the Agency’s SMS is effectively
implemented throughout the Agency’s public transportation system. The City Manager is
accountable for ensuring action is taken, as necessary, to address substandard
performance in the Agency’s SMS. The City Manager may delegate specific
responsibilities, but the ultimate accountability for SLO Transit’s safety performance
Public Transportation Agency Safety Plan Regulation (49 CFR Part 673)
Page 12 of 29
cannot be delegated and always rests with the City Manager. The City Manager is
accountable for ensuring that the Agency’s SMS is effectively implemented, and that
action is taken, as necessary, to address substandard performance in the Agency’s SMS.
The Accountable Executive may delegate specific responsibilities, but not accountability
for SLO Transit’s safety performance.
The City Manager’s roles include, but are not limited to:
• Decision-making about resources (e.g. people and funds) to support asset
management, SMS activities, and capital investments;
• Signing SMS implementation planning documents;
• Endorsing SMS implementation team membership; and
• Ensuring safety concerns are considered and addressed in the agency’s ongoing
budget planning process.
• Ensuring transparency in safety priorities: for the Board and for the employees.
• Establishing guidance on the level of safety risk acceptable to the agency.
• Assuring safety policy is appropriately communicated throughout the agency.
• Other duties as assigned/necessary.
Subsection 5.4.2 Chief Safety Officer
The Chief Safety Officer is the City’s Contracting General Manager and has the authority
and responsibility for day-to-day implementation and operation of SLO Transit’s SMS.
Chief Safety Officer’s Roles include:
• Decision-making about resources (e.g., people and funds) 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; and
• Developing and organizing annual audits/reviews of SMS processes and the
Agency Safety Plan to ensure compliance with 49 CFR Part 673 requirements.
• Maintaining safety documentation.
• Other duties as assigned/necessary.
Subsection 5.4.3 Agency Leadership and Executive Management
The contracting General Manager, Operations Manager, Safety Manager, and
Maintenance Manager comprise Agency Leadership. Some of their responsibilities
include:
Public Transportation Agency Safety Plan Regulation (49 CFR Part 673)
Page 13 of 29
• 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 this Agency Safety Plan and the Agency’s SMS.
• Ensuring that 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 in a timely
manner.
• Ensuring that resources are sufficient to carry out employee training/certification
and re-training as required by their job classifications.
Subsection 5.4.4 Key Staff
The agency Key Staff/Employees may include managers, supervisors, specialists,
analysts, database administrators, and other key employees who are performing highly
technical work and overseeing employees performing critical tasks and providing support
in the implementation of this Agency Safety Plan and SMS principles in various
departments throughout the agency.
SLO Transit’s Key Staff/Employees responsibilities include:
• Ensuring that employees are complying with the safety reporting program.
• Ensuring supervisors are conducting their toolbox safety meetings
• Promoting safety in employee’s respective area of responsibilities – That means:
zero accidents; absence of any safety concerns; perfect employee performance;
and compliance with agency rules and procedures and regulatory requirements.
• Ensuring safety of passengers, employees, and the public.
• Responding to customer complaints and expectations for frequency, reliability, and
convenience of service.
• Replacing and maintaining aging facilities, equipment, and infrastructure.
• Meeting increasing demands for fixed route, commuter service and paratransit
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.
• Establishing clear lines of safety communication and holding accountability for
safety performance.
• Assisting as subject matter experts in safety risk assessment and safety risk
mitigation processes.
Public Transportation Agency Safety Plan Regulation (49 CFR Part 673)
Page 14 of 29
Section 6 Safety Risk Management (SRM)
The second component of SLO Transit’s SMS is Safety Risk Management, which
includes processes and procedures to provide an understanding of the Agency’s
operations and vehicle maintenance to allow individuals to identify hazards associated
with those activities.
SLO Transit has implemented a Safety Risk Management process for all elements of its
transportation system. The Safety Risk Management process includes the following
activities: safety hazard identification, safety risk assessment, and safety risk mitigation.
Subsection 6.1 Safety Hazard Identification
Hazard identification is the first step in the Safety Risk Management process and a key
component. It involves these fundamental safety-related activities: Identifying safety hazards
and their consequences; assessing the risks associated with the consequences of the
hazards; and developing mitigations to reduce the potential consequences of the identified
hazards.
The following is SLO Transit’s methods and processes to identify hazards. The Agency
considers, as a source for hazard identification, data and information provided by an
oversight authority and the FTA. Hazards are identified through a variety of sources,
including:
• Employee safety reporting,
• Review of vehicle camera footage,
• Review of monthly performance data and safety performance targets,
• Observations from supervisors,
• Maintenance reports,
• Comments from customers, passengers, and third parties,
• Safety committee, driver and all-staff meetings,
• Results of audits and inspections of vehicles and facilities,
• Results of training assessments
• Investigations into safety events, incidents and occurrences, and
• Information from FTA and oversight authorities.
When a hazard has been identified, whatever the source, it is reported to the SLO Transit
Chief Safety Officer, who enters it into the Hazard Log. The Chief Safety Officer also may
enter hazards into this log based on reviews of operations and maintenance activities and
procedures.
The Chief Safety Officer will investigate hazards to collect information and determine if
hazards need to be entered into the safety risk assessment process. In following up on
identified hazards, the Chief Safety Officer may:
• Reach out to the reporting party, if available, to gather all known information about
the reported hazard,
Public Transportation Agency Safety Plan Regulation (49 CFR Part 673)
Page 15 of 29
• Conduct a walkthrough of the affected area, assessing the possible hazardous
condition, generating visual documentation (photographs and/or video), and taking
any measurements deemed necessary,
• Conduct interviews with employees in the area to gather potentially relevant
information on the reported hazard,
• Review any documentation associated with the hazard (records, reports,
procedures, inspections, technical documents, etc.),
• Contact other departments that may have association with or technical knowledge
relevant to the reported hazard,
• Review any past reported hazards of a similar nature, and
• Evaluate tasks and/or processes associated with the reported hazard.
Any identified hazard that poses an immediate risk to transit operations, the health and
safety of employees or the public, or equipment must immediately be brought to the
attention of the Accountable Executive and placed through the Safety Risk Management
process for safety risk assessment and mitigation. Otherwise, hazards will be prioritized
for further Safety Risk Management activity.
Subsection 6.2 Safety Risk Assessment
Safety risk assessment defines the level or degree of the safety risk by assessing the
likelihood and severity of the consequences of hazards and prioritizes hazards based on
the safety risk. The Chief Safety Officer, with assistance from key staff subject matter
experts, is responsible for assessing identified hazards and ratings using the safety risk
matrix below. Prioritizing safety risk provides the Accountable Executive with the
information needed to make decisions about resource application.
The following matrix, adopted from the TSI Participation Guide – SMS Principles for
Transit, facilitates the ranking of hazards based on their probability of occurrence and
severity of their outcome.
Probability Levels
Description Level Specific Individual Item Fleet Inventory
Frequent A Likely to occur often in the life of an
item. Continuously experienced.
Probable B Will occur several times in the life of
an item. Will occur frequently.
Occasional C Likely to occur sometime in the life of
an item. Will occur several times.
Remote D Unlikely, but possible to occur in the
life of an item.
Unlikely, but can reasonably be
expected to occur.
Public Transportation Agency Safety Plan Regulation (49 CFR Part 673)
Page 16 of 29
Improbable E
So unlikely, it can be assumed
occurrence man not be experienced in
the life of an item.
Unlikely to occur, but possible.
Eliminated F
Incapable of occurrence. This level is
used when potential hazards are
identified and later eliminated.
Incapable of occurrence. This level is
used when potential hazards are
identified and later eliminated.
The measuring goes from A to F with A being frequent or likely to occur frequently and E
being improbable or expected that this event will most likely never occur. The designation
F is used when potential hazards are identified and later eliminated.
Severity Levels
Description Level Mishap Result Criteria
Catastrophic 1
Could Result in one or more of the following: death, permanent total disability,
irreversible significant environmental impact, or monetary loss equal to or
exceeding $10M
Critical 2
Could result in one or more of the following: permanent partial disability, injuries
or occupational illness that may result in hospitalization of at least three
personnel, reversible significant environmental impact, or monetary loss equal
to or exceeding $1M but less than $10M
Marginal 3
Could result in one or more of the following: injuries or occupational illness
resulting in one or more lost work day(s), reversible moderate environmental
impact, or monetary loss equal to or exceeding $100k but less than $1M
Negligible 4
Could result in one or more of the following: injuries or occupational illness not
resulting in lost work day, minimum environmental impact. Or monetary loss
less than $100k.
The Safety Risk Severity Table presents a typical safety risk. It includes four categories
to denote the level of severity of the occurrence of a consequence, the meaning of each
category, and the assignment of a value to each category using numbers. In this table, 1
is considered catastrophic meaning possible deaths and equipment destroyed and 4 is
considered negligible or of little consequence with two levels in between.
Safety Risk Probability and Safety Risk Severity are combined into the Safety Risk Index
Ranking to help prioritize safety risks according to the table below.
Safety Risk Assessment Matrix
Severity →
Probability ↓
Catastrophic
1
Critical
2
Marginal
3
Negligible
4
A-Frequent 1A 2A 3A 4A
B- Probable 1B 2B 3B 4B
C-Occasional 1C 2C 3C 4C
D- Remote 1D 2D 3D 4D
E- Improbable 1E 2E 3E 4E
F- Eliminated
Safety Risk Index Ranking
Public Transportation Agency Safety Plan Regulation (49 CFR Part 673)
Page 17 of 29
1A, 1B, 1C, 2A, 2B High Unacceptable
1D, 2C, 3A, 3B Serious Undesirable - With management decision required
1E, 2D, 2E, 3C, 3D, 3E, 4A, 4B, Medium Acceptable - with review by management
4C, 4D, 4E Low Acceptable - without review
The Chief Safety Officer documents recommendations regarding hazard rating and mitigation
options and reports this information to the Accountable Executive.
Subsection 6.3 Safety Risk Mitigation
The Chief Safety Officer, assisted by Key Staff subject matter experts, reviews current
safety risk mitigations and establish procedures to 1) eliminate; 2) mitigate; 3) accept
specific risks. Prioritization of safety remediation measures is based on risk analysis and
a course of action acceptable to SLO Transit management.
The safety risk must be mitigated if ranked as Unacceptable (High- Red). Those safety
risks that have been mitigated, even those mitigated risks shown as Acceptable status
(Low -Green) undergo regular and consistent monitoring to ensure the mitigation strategy
is effective.
Key strategies to minimize the types of risks that potentially exist include:
• Development and deployment of policies and procedures that address known
hazards and risks,
• Discussion of other actions, strategies and procedures that might help safeguard
against unknown/unforeseen risks,
• Training of drivers and other agency staff on all safety policies and procedures,
• Training of drivers and other agency staff on methodologies for handling
emergencies, and
• Training of drivers and staff on proper and effective use of emergency equipment
and communication technologies and protocol.
Safety risk mitigations are tracked and updated in the Hazard Log by the Chief Safety
Officer.
Section 7 Safety Assurance
The third component of the Agency’s SMS is Safety Assurance, which ensures the
performance and effectiveness of safety risk controls established under safety risk
management. Safety assurance also helps ensure that the organization meets or exceeds
its safety objectives through the collection, analysis, and assessment of data regarding
the organization's performance. Safety assurance includes inspection activities to support
oversight and performance monitoring.
Public Transportation Agency Safety Plan Regulation (49 CFR Part 673)
Page 18 of 29
SLO Transit monitors its operations and maintenance protocols and procedures, and any
safety risk mitigations to ensure that it is implementing them as planned. Furthermore,
the Agency investigates safety events (as defined in Appendix C) and any reports of non-
compliance with applicable regulations, standards, and legal authority. Finally, the
Agency continually monitors information reported to it through any internal safety
reporting programs, including the employee safety reporting program.
Some of the key elements of SLO Transit’s Safety Performance Monitoring and
Measurement are shown below in subsection 7.1:
Subsection 7.1 Safety Performance Monitoring and Measurement
As part of the Safety Assurance Process, SLO Transit:
• Monitors the system for compliance with, and sufficiency of, the Agency’s
procedures for operations and maintenance through:
o Safety audits,
o Informal inspections,
o Regular review of on-board camera footage to assess drivers and specific
incidents,
o Safety surveys,
o Employee safety reporting program,
o Investigation of safety occurrences,
o Safety review prior to the launch or modification of any facet of service,
o Daily data gathering and monitoring of data relating to the delivery of
service,
o Regular vehicle inspections and preventative maintenance, and
o Continuous feedback loop between leadership and all levels of the agency.
• Monitors its operations to identify any safety risk mitigations that may be
ineffective, inappropriate, or were not implemented as intended through:
o Reviewing results from accident, incident, and occurrence investigations,
o Monitoring employee safety reporting,
o Reviewing results of internal safety audits and inspections, and
o Analyzing operational and safety data to identify emerging safety concerns.
• Conducts investigations of safety events to identify causal factors; and
• Monitors information reported through any internal safety reporting programs.
o The Chief Safety Officer routinely reviews safety data captured in employee
safety reports, safety meeting minutes, customer complaints, and other
safety communication channels. When necessary, the Chief Safety Officer
ensures that the issues and concerns are investigated or analyzed through
the safety risk assessment process.
o The Chief Safety Officer also reviews the results of internal and external
reviews, including audits and assessments, with findings affecting safety
performance, compliance with operations and maintenance procedures, or
Public Transportation Agency Safety Plan Regulation (49 CFR Part 673)
Page 19 of 29
the effectiveness of safety risk mitigations. The Chief Safety Officer
discusses relevant safety issues and concerns with the Accountable
Executive and executive management and documents the results of these
reviews in the Hazard Log.
In the event of a fatality, SLO Transit complies with all FTA drug and alcohol requirements.
In California, every driver involved in an accident that results in death, injury, or property
damage over $1000, effective January 1, 2017, must report the accident on a Report of
Traffic Accident Occurring in California (SR 1) form to DMV. The report forms are
available at www.dmv.ca.gov, by calling 1-800-777-0133, and at CHP and DMV offices.
Also, under California Vehicle Code §16002(b) the driver of a vehicle that is owned or
operated by a publicly owned or operated transit system, or that is operated under
contract with a publicly owned or operated transit system, and that is used to provide
regularly scheduled transportation to the general public or for other official business of
the system shall, within 10 days of the occurrence of the accident, report to the transit
system any accident of a type otherwise required to be reported pursuant to subdivision
(a) of Section 16000 . SLO Transit requires driver notification to SLO Transit immediately
and maintains records of any report filed pursuant to this paragraph.
Section 8 Safety Promotion
The fourth component of the Agency’s SMS is Safety Promotion, which includes a
combination of training and communication of safety information to employees to enhance
the Agency’s safety performance. Safety Promotion sets the tone for the SMS and helps
SLO Transit to establish and maintain a robust safety culture. Safety Promotion has two-
components: (1) Safety Communication; and (2) Competencies and Training.
Subsection 8.1 Safety Communication
SLO Transit communicates safety and safety performance information throughout the
organization that, at a minimum, conveys information on hazards and safety risks relevant
to employees’ roles and responsibilities and informs employees of safety actions taken in
response to reports submitted through an employee safety reporting program.
Ongoing safety communication is critical and SLO Transit ensures communication occurs
up, down, and across all levels of the organization. Any lessons learned are
communicated to all concerned. Management commitment to address safety concerns
and hazards is communicated on a regular basis. Management encourages and
motivates employees to communicate openly, authentically, and without concern for
reprisal; ensures employees are aware of SMS principles and understand their safety-
related roles and responsibilities; conveys safety critical information such as accident
Public Transportation Agency Safety Plan Regulation (49 CFR Part 673)
Page 20 of 29
data, injuries, and reported safety concerns and hazards and their resolutions to
employees. SLO Transit’s tools to support safety communication include:
• Safety bulletins
• Safety notices
• Posters
• CDs or Thumb drives or online safety video access
• Newsletters
• Briefings or Toolbox talks
• Seminars and workshops
• New employee training and refresher training
• Intranet or social media
• Monthly Safety Meetings
Competencies and Training: Executive Management ensures that all employees attend
the training provided to understand their specific roles and responsibilities for the
implementation of SMS. SLO Transit provides SMS training in the following areas:
All Employees:
• Understanding of Safety Performance Targets
• Understanding of fundamental principles of SMS
• Understanding of Safety Reporting Program – Reporting unsafe conditions and
hazards/near misses
• Understanding of their individual roles and responsibilities under SMS
Managers and Supervisors
• Understanding of Safety Risk Management
• Understanding of Safety Assurance
• Understanding of Safety Promotion
• Understanding of their individual roles and responsibilities for SMS
Executive Management:
• Understanding of management commitment to and support of all SMS activities.
All employees are required to acquire the competencies and knowledge for the consistent
application of their skills as they relate to safety performance objectives. SLO Transit
dedicates resources to conduct effective safety-related skill training. The scope of the
safety training is appropriate to each employee’s individual safety-related job
responsibilities and their role in SMS. Components of SLO Transit’s skill-related training
include:
• Conducting training needs analyses to ensure that the right information is being
taught to the right employees using the most efficient training methods.
• Communicating purpose, objectives, and outcome.
Public Transportation Agency Safety Plan Regulation (49 CFR Part 673)
Page 21 of 29
• Ensuring relevant content by directly linking training to the trainee’s job
experiences so trainees are more motivated to learn.
• Using active hands-on demonstrations and practice to demonstrate skills that are
being taught and provide opportunities for trainees to practice skills.
• Providing regular feedback during hands-on practice and exercises.
• Reinforcing training concepts in the post-training work environment by giving
employees opportunities to perform what they’ve learned.
Section 9 Strategies to Minimize Exposure to Infectious Diseases
Pursuant to the Bipartisan Infrastructure Law, SLO Transit takes precautions to reduce
risks of infectious diseases consistent with Centers for Disease Control and Prevention.
SLO Transit monitors transit service levels and adjusts as necessary to continue providing
basic lifeline services for the public and allow for services that help promote social
distancing and other individual risk minimization recommendations.
Public Transportation Agency Safety Plan Regulation (49 CFR Part 673)
Page 22 of 29
Precautionary Steps:
• SLO Transit has enhanced its cleaning efforts to include disinfecting vehicles every
24 hours along with individual spot cleaning during daily routes. The cleaning
agents used in this effort are deemed effective for these purposes and contain
antiviral components such as bleach/water mixes and disinfectant sprays. As an
extra level of precaution, SLO Transit has implemented an enhanced cleaning
process, focusing more attention on areas and surfaces which are touched most
frequently, including: bus doors, door handles, handrails, Token Transit Validator,
farebox, handles, interior windows and window frames, pull cords, seats and
interior walls.
• SLO Transit encourages the use of onboard hand sanitizer stations when entering
the vehicle.
• SLO Transit encourages riders to refrain from using cash for fare and instead
purchase a physical or digital bus pass.
• Although face coverings are no longer required on public buses and at
transportation hubs, SLO Transit is encouraging riders to wear a face covering
over their nose and mouth while riding the bus, especially if they are feeling sick,
have been recently exposed to someone who had COVID-19, or are unvaccinated.
Wearing a mask is a courtesy to other riders.
• When possible, SLO Transit riders are asked to maintain a minimum of six feet
distance from fellow riders.
SLO Transit follows the Centers for Disease Control’s (CDC) best practices to prevent
the spread of COVID-19 and advises employees and riders to do the same.
Best Practices and Recommendations for Employees and Riders:
• Avoid touching your eyes, nose and mouth.
• Avoid close contact with people who are sick.
• Wash hands often with soap and water for at least 20 seconds, especially after
using the bathroom; before eating; and after blowing your nose, coughing or
sneezing.
• Clean and disinfect frequently touched objects and surfaces such as cell phones,
keyboards, door handles, etc.
• Cover your cough or sneeze with a tissue, then dispose of tissue in trash.
• Please stay home when you are feeling sick.
SLO Transit encourages riders to be socially conscious and maintain responsible
hygiene. If
someone is feeling sick and showing signs of illness or has been near someone with
symptoms and signs of illness, SLO Transit asks that they keep their fellow passengers
mind and kindly refrain from using the transit system.
Public Transportation Agency Safety Plan Regulation (49 CFR Part 673)
Page 23 of 29
Section 10 Documentation
Pursuant to 49 CFR Part 673.31, SLO Transit maintains records related to this Safety
Plan and SMS implementation for a minimum of three years. These documents include
but are not limited to the results from SMS processes and activities. SLO Transit will make
these documents available to FTA Region 9, Caltrans, and other Federal and state
agencies upon request.
Appendices
A – Council Resolution – SLO Transit Public Transportation Agency Safety Plan (PTASP)
B – Organizational Chart (FY 2023-24)
C – Examples of Safety Event Investigation (Transdev)
Public Transportation Agency Safety Plan Regulation (49 CFR Part 673)
Page 24 of 29
Appendix A – Board Approval – Signed Council Resolution
Signed Council resolution to be included following Board approval.
Public Transportation Agency Safety Plan Regulation (49 CFR Part 673)
Page 25 of 29
Appendix B - Organizational Chart FY 2023-24
Approving Board
San Luis Obispo City
Council
Accountable Executive
City Manager
Chief Safety Officer
Contracting General
Manager
Key Staff
Contracting Safety
Manager
Key Staff
Contracting Operations
Manager
Key Staff
Contracting
Maintenance Manager
Supporting Review
Team
Mobility Services
Business Manager &
Transit Coordinator
Public Transportation Agency Safety Plan Regulation (49 CFR Part 673)
Page 26 of 29
Appendix C – Examples of Safety Event Investigation (Transdev North America, Inc.)
Report of Unusual Incident
Public Transportation Agency Safety Plan Regulation (49 CFR Part 673)
Page 27 of 29
Near Miss and Hazard Report
Public Transportation Agency Safety Plan Regulation (49 CFR Part 673)
Page 28 of 29
Root Cause Analysis
Public Transportation Agency Safety Plan Regulation (49 CFR Part 673)
Page 29 of 29
R ______
RESOLUTION NO. _____ (2024 SERIES)
A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SAN LUIS
OBISPO, CALIFORNIA, APPROVING THE PUBLIC TRANSPORTATION
AGENCY SAFETY PLAN (PTASP) FOR SAN LUIS OBISPO (SLO)
TRANSIT
WHEREAS, the City of San Luis Obispo receives funds from the Federal Transit
Administration (FTA) under the Urbanized Area Formula Grants program (Section 5307);
and
WHEREAS, the FTA requires transit operators to submit an update of their Public
Transportation Agency Safety Plan (PTASP) to be eligible to receive Section 5307 funds;
and
WHEREAS, the City has prepared a PTASP update in accordance with FTA 49
Code of Federal Regulations (CFR) Part 673; and
WHEREAS, San Luis Obispo Council of Governments (SLOCOG) has reviewed
and concurs with the City’s PTASP update.
NOW, THEREFORE, BE IT RESOLVED by the Council of the City of San Luis
Obispo hereby take the following actions:
1. Approve the Public Transportation Agency Safety Plan for San Luis Obispo
(SLO) Transit; and
2. Authorize the San Luis Obispo (SLO) Transit’s Accountable Executive, the
City Manager for the City of San Luis Obispo, to sign the final version of the
Public Transportation Agency Safety Plan.
Resolution No. _____ (2024 Series) Page 2
R ______
SECTION 1. Environmental Review. The California Environmental Quality Act
(CEQA) does not apply to the recommended action because the action does not
constitute a “Project” under CEQA Guidelines Sec. 15378.
Upon motion of Council Member ___________, seconded by Council Member
___________, and on the following roll call vote:
AYES:
NOES:
ABSENT:
The foregoing resolution was adopted this _____ day of _________ 2024.
___________________________
Mayor Erica A. Stewart
ATTEST:
______________________
Teresa Purrington
City Clerk
APPROVED AS TO FORM:
______________________
J. Christine Dietrick
City Attorney
IN WITNESS WHEREOF, I have hereunto set my hand and affixed the official seal of the
City of San Luis Obispo, California, on ______________________.
___________________________
Teresa Purrington
City Clerk