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Home My WebLink AboutR-11479 approving the Federal Transit Public Transportation Agency Safety Plan (PTASP) for San Luis Obispo TransitR 11479 RESOLUTION NO. 11479 (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. DocuSign Envelope ID: F1D45A84-C94C-4B00-83D8-D144F076EB1E Resolution No. 11479 (2024 Series) Page 2 R 11479 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 Francis, seconded by Council Member Marx, and on the following roll call vote: AYES: Council Member Francis, Marx, Shoresman, and Vice Mayor Pease NOES: None ABSENT: Mayor Stewart The foregoing resolution was adopted this 19th day of March 2024. ___________________________ Vice Mayor Andy Pease 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 DocuSign Envelope ID: F1D45A84-C94C-4B00-83D8-D144F076EB1E 3/27/2024 | 8:01 AM PDT City of San Luis Obispo San Luis Obispo (SLO) Transit 1260 Chorro Street San Luis Obispo, CA 93401 Public Transportation Agency Safety Plan (PTASP) Adopted March 19, 2024 _____________________________________ ______________ Signature of Accountable Executive Date Derek Johnson, City Manager DocuSign Envelope ID: F1D45A84-C94C-4B00-83D8-D144F076EB1E 3/27/2024 | 8:51 AM PDT 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 DocuSign Envelope ID: F1D45A84-C94C-4B00-83D8-D144F076EB1E 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. DocuSign Envelope ID: F1D45A84-C94C-4B00-83D8-D144F076EB1E 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. DocuSign Envelope ID: F1D45A84-C94C-4B00-83D8-D144F076EB1E 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 DocuSign Envelope ID: F1D45A84-C94C-4B00-83D8-D144F076EB1E 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 DocuSign Envelope ID: F1D45A84-C94C-4B00-83D8-D144F076EB1E 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 DocuSign Envelope ID: F1D45A84-C94C-4B00-83D8-D144F076EB1E 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 DocuSign Envelope ID: F1D45A84-C94C-4B00-83D8-D144F076EB1E 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. DocuSign Envelope ID: F1D45A84-C94C-4B00-83D8-D144F076EB1E 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. DocuSign Envelope ID: F1D45A84-C94C-4B00-83D8-D144F076EB1E 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 DocuSign Envelope ID: F1D45A84-C94C-4B00-83D8-D144F076EB1E 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: DocuSign Envelope ID: F1D45A84-C94C-4B00-83D8-D144F076EB1E 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. DocuSign Envelope ID: F1D45A84-C94C-4B00-83D8-D144F076EB1E 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, DocuSign Envelope ID: F1D45A84-C94C-4B00-83D8-D144F076EB1E 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. DocuSign Envelope ID: F1D45A84-C94C-4B00-83D8-D144F076EB1E 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 DocuSign Envelope ID: F1D45A84-C94C-4B00-83D8-D144F076EB1E 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. DocuSign Envelope ID: F1D45A84-C94C-4B00-83D8-D144F076EB1E 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 DocuSign Envelope ID: F1D45A84-C94C-4B00-83D8-D144F076EB1E 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 DocuSign Envelope ID: F1D45A84-C94C-4B00-83D8-D144F076EB1E 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. DocuSign Envelope ID: F1D45A84-C94C-4B00-83D8-D144F076EB1E 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. DocuSign Envelope ID: F1D45A84-C94C-4B00-83D8-D144F076EB1E 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. DocuSign Envelope ID: F1D45A84-C94C-4B00-83D8-D144F076EB1E 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) DocuSign Envelope ID: F1D45A84-C94C-4B00-83D8-D144F076EB1E 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. DocuSign Envelope ID: F1D45A84-C94C-4B00-83D8-D144F076EB1E 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 DocuSign Envelope ID: F1D45A84-C94C-4B00-83D8-D144F076EB1E 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 DocuSign Envelope ID: F1D45A84-C94C-4B00-83D8-D144F076EB1E Public Transportation Agency Safety Plan Regulation (49 CFR Part 673) Page 27 of 29 Near Miss and Hazard Report DocuSign Envelope ID: F1D45A84-C94C-4B00-83D8-D144F076EB1E Public Transportation Agency Safety Plan Regulation (49 CFR Part 673) Page 28 of 29 Root Cause Analysis DocuSign Envelope ID: F1D45A84-C94C-4B00-83D8-D144F076EB1E Public Transportation Agency Safety Plan Regulation (49 CFR Part 673) Page 29 of 29 DocuSign Envelope ID: F1D45A84-C94C-4B00-83D8-D144F076EB1E