Equipment & Operational Safety Standards Overview (Chapter FAC) 17 th Annual Transportation Disadvantaged Training and Technology Conference August 19, 2009 Equipment & Operational Safety Standards Overview (Chapter FAC) 17 th Annual Transportation Disadvantaged Training and Technology Conference August 19, 2009

Overview of Session Four Major Goals: Four Major Goals: Overview of Chapter (FAC) Overview of Chapter (FAC) System Safety Program Plan Requirements System Safety Program Plan Requirements Security Program Plan Requirements Security Program Plan Requirements Pre/Post Trip Inspection Process Pre/Post Trip Inspection Process Respond to Related Questions Respond to Related Questions

Rule Sections Definitions Definitions Bus Transit System Operational Standards Bus Transit System Operational Standards Medical Examinations for Bus Transit System Drivers Medical Examinations for Bus Transit System Drivers Operational and Driving Requirements Operational and Driving Requirements Vehicle Equipment Standards and Procurement Criteria Vehicle Equipment Standards and Procurement Criteria Bus Safety Inspections Bus Safety Inspections Certification Certification Safety and Security Inspections and Reviews Safety and Security Inspections and Reviews

System Safety Program Plan Describes Policies, Procedures and Requirements Describes Policies, Procedures and Requirements Followed by management, maintenance and operators Followed by management, maintenance and operators Provides a safe and secure environment for employees and the general public Provides a safe and secure environment for employees and the general public Integrates the transit system safety activities into a coordinated adopted document which defines and describes the agency safety program Integrates the transit system safety activities into a coordinated adopted document which defines and describes the agency safety program Tool to measure accountability for safety Tool to measure accountability for safety

SSPP Elements Safety Policy Statement Safety Policy Statement Authority Statement Authority Statement Purpose Statement Purpose Statement Goals and Objectives Goals and Objectives System Description System Description Organizational Structure Organizational Structure Program Elements Program Elements Program Maintenance Program Maintenance

Elements Safety Policy Statement/Purpose Addresses the intent of the SSPP and defines why it is being written. Addresses the intent of the SSPP and defines why it is being written. Establishes the safety philosophy of the whole organization and provides the means for implementation Establishes the safety philosophy of the whole organization and provides the means for implementation

Elements Authority Statement Clearly defines the authority for establishing and implementing the SSPP and how the authority has been delegated through the organization. Clearly defines the authority for establishing and implementing the SSPP and how the authority has been delegated through the organization. Safety is the number one priority of [Agency Name]. In support of that goal, the primary importance of the System Safety Program Plan policies and procedures is the reduction of accidents and injuries to transit customers, employees and the general public. Safety is a shared responsibility between system management and employees. Safety is the number one priority of [Agency Name]. In support of that goal, the primary importance of the System Safety Program Plan policies and procedures is the reduction of accidents and injuries to transit customers, employees and the general public. Safety is a shared responsibility between system management and employees.

Elements Goals and Objectives Goals establishes levels of responsibility and accountability, and methods of documentation for the organization. Goals establishes levels of responsibility and accountability, and methods of documentation for the organization. Objectives are the working elements of the SSPP, the means by which identified goals are achieved. Objectives are to be specific, clearly defined, measurable and provide a framework of day to day activities that are in place Objectives are the working elements of the SSPP, the means by which identified goals are achieved. Objectives are to be specific, clearly defined, measurable and provide a framework of day to day activities that are in place

Elements System Description Describes the history and current service provided by Transit System Describes the history and current service provided by Transit System Organizational Structure Organizational Chart of the Transit System’s Structure Organizational Chart of the Transit System’s Structure

Elements Program Maintenance SSPP should contain a statement that identifies the process to annually review and update of the SSPP. SSPP should contain a statement that identifies the process to annually review and update of the SSPP. Annual safety and security certification letter for prior year Annual safety and security certification letter for prior year

Hazard Assessment SSPP include a hazard identification and resolution process to be used by employees. SSPP include a hazard identification and resolution process to be used by employees. Policy Statement- that states how hazards are identified and resolved in a manner acceptable to general management. Policy Statement- that states how hazards are identified and resolved in a manner acceptable to general management.

Core Safety Elements Driver/Employee Selection Driver/Employee Selection Driver/Employee Training Driver/Employee Training Vehicle Maintenance Vehicle Maintenance Drug & Alcohol Programs Drug & Alcohol Programs Safety Data Acquisition and Analysis Safety Data Acquisition and Analysis Security Security

Driver/Employee Selection Policies and statements addressing issues related to driver and employee selection. Job descriptions Job descriptions Driver licensing requirements Driver licensing requirements Driver and criminal background checks Driver and criminal background checks Physical requirements Physical requirements Drug and Alcohol Drug and Alcohol

Driver/Employee Training Basic operations and maneuvering Basic operations and maneuvering Bus equipment familiarization Bus equipment familiarization Boarding and alighting Boarding and alighting Operation of wheelchair lifts Operation of wheelchair lifts Driving conditions Driving conditions Defensive driving Defensive driving Passenger assistance and securement Passenger assistance and securement Handling of emergencies and security threats Handling of emergencies and security threats Communication Communication Pre-Trip Activities, including vehicle inspection Pre-Trip Activities, including vehicle inspection

Vehicle Maintenance Maintenance Plan Maintenance Plan Procedures for preventive and routine maintenance Procedures for preventive and routine maintenance Data Analysis (Recording and tracking system for inspections, maintenance, lubrication intervals with date and mileage Data Analysis (Recording and tracking system for inspections, maintenance, lubrication intervals with date and mileage Pre-Trip Inspection Pre-Trip Inspection

Drug & Alcohol Programs Drug Free Workplace Policy Statement Drug Free Workplace Policy Statement Drug Free Workplace Act Title 49, CFR part 29 Drug Free Workplace Act Title 49, CFR part 29 Substance Abuse Management and Testing Program Substance Abuse Management and Testing Program 49CFFR part 40 and CFFR part 40 and 655

Safety Data Acquisition and Analysis Written policy or procedure (s) for any event involving a bus or on transit property Written policy or procedure (s) for any event involving a bus or on transit property Investigations are done for: Investigations are done for: A fatality or individual confirmed dead within 30 day of an event A fatality or individual confirmed dead within 30 day of an event Injuries involving medical treatment away from the scene for two or more individuals Injuries involving medical treatment away from the scene for two or more individuals Evacuation of the bus Evacuation of the bus

Safety Data Acquisition and Analysis Events are investigated and documented in a final report. Events are investigated and documented in a final report. Description of investigation activities Description of investigation activities Identified causal factors Identified causal factors Corrective actions Corrective actions Schedule of implementation of corrective actions Schedule of implementation of corrective actions

Bus Incident Reporting, Tracking and Analysis System Available for download on the Bus Safety Resource Guide under Core Element- Safety Data Acquisition & Analysis.

Security Program Plan (SPP)

A Security Program Plan (SPP) is a template for producing a transit agency security plan. A Security Program Plan (SPP) is a template for producing a transit agency security plan. Includes documents, responsibilities, training assignments, and related materials. Includes documents, responsibilities, training assignments, and related materials. Uses an “all hazards” framework—an approach flexible enough to be applied more than one type of event or situation Uses an “all hazards” framework—an approach flexible enough to be applied more than one type of event or situation The Security Program Plan The Security Program Plan

Security & Emergency Preparedness: Your Areas of Prime Responsibilities Prevent incidents within control and responsibility of transit system Prevent incidents within control and responsibility of transit system Respond to situations and events, mitigate loss, protect passengers, personnel and critical assets Respond to situations and events, mitigate loss, protect passengers, personnel and critical assets Support community response with equipment and capabilities Support community response with equipment and capabilities Recover from major events with available resources and programs Recover from major events with available resources and programs

Introduction to SPP Process

The SPP Process Five steps Five steps 1. Recognize the Need 2. Establish Policies 3. Determine Organization, Roles, and Responsibilities 4. Prepare Countermeasures 5. Maintain Plan

Overview of Section 1: Defining the Plan  What does SPP do?  When is SPP activated?  What are the agency’s basic assumptions?

Section 1: Establish Policies Purpose of the Security Program Plan (SPP) Purpose of the Security Program Plan (SPP) Situations covered by the SPP Situations covered by the SPP Statements of Belief and Limitations Statements of Belief and Limitations

Purpose of the Security Program Plan “…set out Your Community Transit’s procedures for maintaining a safe and secure operations and service environment for passengers, employees and volunteers, and the surrounding community.”

The Inventory Step What is possible? What is possible? What could happen and what is the impact? What could happen and what is the impact? What are reasonable policies for our organization? What are reasonable policies for our organization?

What is Possible?  Security Incidents Vandalism/Graffiti, Theft/Burglaries, Assault, Disruptive Behavior, Trespassing  Severe Weather Floods, Windstorms/Hurricanes, Tornadoes, Thunderstorms, Wildfire

What is Possible? Man-Made Emergencies Man-Made Emergencies Terrorism, Acts of Extreme Violence, National Emergency, Weapons of Mass Destruction (WMD) Technological Hazards Technological Hazards Hazardous Materials, Accidents, Radiological Emergencies, Transportation Accidents Hazardous Materials, Accidents, Radiological Emergencies, Transportation Accidents

What Is Possible? Energy-Related Hazards and Energy Shortages/Outages Energy-Related Hazards and Energy Shortages/Outages Natural Gas/ Petroleum/ Electrical Transmission Power Shortages & Outages Natural Gas/ Petroleum/ Electrical Transmission Power Shortages & Outages Energy & Food Shortages Energy & Food Shortages Water Shortages Water Shortages Other Other Evacuations through Service Area Evacuations through Service Area

Overview of Section 2: Organization, Roles and Responsibilities  Who does what?  What if the responsible party is unavailable?  How do I contact the right person?

Section 2: Organization, Roles, and Responsibilities of Agencies and Personnel Responsibilities Responsibilities Continuity of services Continuity of services Contact information Contact information

Responsibilities Who does what, when? Who does what, when? Not limited to your agency personnel Not limited to your agency personnel A comprehensive statement of all relevant personnel in your area A comprehensive statement of all relevant personnel in your area What agencies will you need to involve in preparing your SPP? What agencies will you need to involve in preparing your SPP? Who currently leads any county-declared emergency in your home area? Who currently leads any county-declared emergency in your home area?

Continuity of Services Lines of Authority/Responsibilities Lines of Authority/Responsibilities Backup Facilities Backup Facilities Backup Records Backup Records Succession of Personnel Succession of Personnel

Lines of Authority/Responsibility Who directs activity at each level – operations, communications, management, etc. Who directs activity at each level – operations, communications, management, etc. Who interacts with EOC? Who interacts with EOC? How does the line of authority change with activity directed by the EOC? How does the line of authority change with activity directed by the EOC?

Backup Facilities What are some considerations when selecting a backup facility? What are some considerations when selecting a backup facility?

Backup Records What are your essential records and what problems do you anticipate in establishing backup records? What are your essential records and what problems do you anticipate in establishing backup records?

Succession of Personnel What are two possible uses of a list of succession? What are two possible uses of a list of succession? What would be some criteria for succession? What would be some criteria for succession?

Contact Information How often should the contact list be revisited and updated? How often should the contact list be revisited and updated? Who should be responsible for updates? Who should be responsible for updates? What procedures could you put in place to update the contact list? What procedures could you put in place to update the contact list? Electronic versus paper records? Electronic versus paper records? Who should contact list be sent to? Who should contact list be sent to?

Overview of Section 3: Countermeasures and Strategies Menu of policies and procedures Menu of policies and procedures Use expert guidance and other agency experience Use expert guidance and other agency experience Ready to implement (fill-in format, but can be tailored to agency needs) Ready to implement (fill-in format, but can be tailored to agency needs) Divided into categories by type of countermeasure Divided into categories by type of countermeasure

Section 3: Countermeasures and Strategies A. Prevention B. Mitigation C. Preparedness D. Response E. Recovery

Prevention Take actions to reduce the likelihood that an event will occur Take actions to reduce the likelihood that an event will occur What could this include? What could this include?

Prevention 1. Driver’s Vehicle Checklist 2. Mechanic’s Vehicle Checklist 3. Employee Badge Policy 4. Visitor Badge Policy 5. Vehicle Key Policy 6. Facility Keys 7. Securing Vehicles During the Shift

Prevention 7. Securing Vehicles at the End of the Shift 8. Securing the Facility 9. Route Maintenance Issues 10. Prohibited Items on the Bus 11. Shipping and Receiving Security Policies 12. Petty Cash Use Policy

Prevention 13. Fare Evasion Policy 14. Screening New Employees 15. Workplace Conflict Resolution Process 16. Bullying Policy 17. Hazard Reporting

Prevention 18. Communication with Passengers 19. Security System Ready and Up to Date 20. Review of Bus Stops for Safety and Security 21. Update SPP 22. Include Security Design Considerations into New Building Construction/Selection

Mitigation: A Working Definition Actions you take to reduce the asset loss or human consequences of an event. Actions you take to reduce the asset loss or human consequences of an event.

Preparedness: A Working Definition Actions you take to anticipate and minimize the impacts of events. Actions you take to anticipate and minimize the impacts of events. Planning measures taken to ensure reactions to events are efficient and effective. Planning measures taken to ensure reactions to events are efficient and effective.

Preparedness Which activities do you already engage in? Which activities do you already engage in?

Preparedness 1. On-board Emergency Supplies 2. Supervisors’ Role in Security/Emergency Management 3. Mechanics’ Role in Security/Emergency Management 4. Dispatchers’ Role in Security/Emergency Management 5. Policy for Backing up Computers 6. Policy for Storage of Computer Backup Data at an Off-site Location

Preparedness 7. Policy for Storage of Key Agency Documents at an Off-site Location 8. Policy for Understanding Local Threats 9. Security System Upgrades 10. Fiscal Security Planning 11. Test Fire Alarms, Fire Suppression Equipment, and Smoke Detectors 12. Electric Power Backup 13. Conduct Agency Emergency Response Drills

Preparedness 14. Participate In Local/Regional Drills 15. Mutual Aid Agreement with Law Enforcement 16. Mutual Aid Agreement with Fire Department 17. Mutual Aid Agreement with Emergency Medical Services (EMS) 18. Mutual Aid Agreements with Emergency Planning Organization

Preparedness 19. Mutual Aid Agreements with Others 20. General Manager and/senior level management take NIMS on-line training 21. New Employee Training on Security Awareness 22. Disciplinary Actions of Employees Who Are Potential Threats to the Agency 23. Policy for Processing Homeland Security or FTA Alerts 24. Emergency Service Changes 25. Facilities Inspections at Elevated Alert Levels

Response: A Working Definition Those activities you take to react to events Those activities you take to react to events

Response What is the central theme of all the response activities? What is the central theme of all the response activities? “ COMMUNICATION” What do you need to do to make sure that theme is advanced at your agency? What do you need to do to make sure that theme is advanced at your agency?

Response  Which response activities do you already have in place?  Rate each activity with regard to your resources as “easy” or “hard.”

Response 1. Policy for Requesting Agency Assistance for Security Incidents and Other Hazards 2. Evaluating and Managing Suspicious Activities 3. Evaluating Suspicious Substances or Packages 4. Handling a Suspicious Package, Device, or Substance

Response 6. Radio Usage Policy 7. Cell Phone Policy 8. Aborting or Changing Route Due to a Hazard 9. Policy for Filing an Incident Report 10. Notification of Emergency 11. Bomb Threat Checklist 12. Checklist to Use When Contacted by the Designated Local Emergency Manager

Response 13. Normal Hours Emergency Response Policy 14. After Hours Emergency Response Policy 15. Mobilization Resource List 16. Emergency Press Release 17. Evacuation Procedures 18. Policy for Requesting Outside Assistance for Security Incidents and Other Hazards 19. Short-Term Response 20. Emergency Escape Procedures and Routes

Response Activities When selecting emergency drop points what should you consider? When selecting emergency drop points what should you consider?

Response Activities Radio Use: How would you assess your current radio use? Radio Use: How would you assess your current radio use? If you do not use 2-Way radios, what are your plans for communicating when needed? If you do not use 2-Way radios, what are your plans for communicating when needed?

Recovery: A Working Definition Actions you take to get things back to normal Actions you take to get things back to normal

Recovery: A Working Definition 1. Review Insurance Policies 2. Review SPP 3. Review Backup Location Plan 4. Cleanup/Inspection 5. Documentation of Vehicle Use, Staff Hours, Other Equipment Utilization 6. Evaluation Response 7. Oversee Recovery/Restoration

Overview of Section 4: Plan Maintenance  When should the plan be reviewed?  How should it be updated?  Who should get a copy?

Section 4: Plan Maintenance A. Review and Changes B. Assessment Checklist C. Distribution

Review and Changes The SPP must be reviewed and updated at least once a year, but which elements should be reviewed more frequently? The SPP must be reviewed and updated at least once a year, but which elements should be reviewed more frequently? What would cause you to revise your SPP? What would cause you to revise your SPP? How will you insure that the SPP is coordinated with all your policies? How will you insure that the SPP is coordinated with all your policies? “It is a bad plan that admits of no modification.” -Publius Syrus (42 BC)

Assessment Review “FTA Top 20 Security Program Action Items for Transit Agencies” Review “FTA Top 20 Security Program Action Items for Transit Agencies” (go to For other resources to assist in performing assessments For other resources to assist in performing assessments

Distribution Who in your organization should receive a copy of the SPP document? Who in your organization should receive a copy of the SPP document? Who outside of your organization should receive a copy of the SPP? Who outside of your organization should receive a copy of the SPP?

Not Difficult: Requires Due Care Other Considerations

Budget Considerations In developing the SPP, the agency should ask the following questions: How much money is available, both in the short and long term, to fund physical protection, training, and preparedness enhancements? Are additional funding sources available from federal, state, local, and/or private sources? Is there a process for accounting for emergency response cost by the agency?

Summary and Review  For what areas of the SPP do you feel you need more assistance or background material?  Additional resources available on

System Safety & Security Resources Transit agencies are encouraged to seek help… Transit agencies are encouraged to seek help… Law enforcement Law enforcement Local emergency managers Local emergency managers State EOC and local EOC State EOC and local EOC Review State and regional plans Review State and regional plans Reference materials (such as FEMA How-To guides) Reference materials (such as FEMA How-To guides) Work with other transit agencies Work with other transit agencies Transit Bus Safety Resource Guide Transit Bus Safety Resource Guide Toolbox for Promoting Bus Safety and Security Programs in Your State Toolbox for Promoting Bus Safety and Security Programs in Your State Various website resources (detailed on next slide) Various website resources (detailed on next slide)

Resources Transit Security Reference Resource Transit Security Reference Resource CUTR Safety/Security Website CUTR Safety/Security Website Substance Abuse Management Resource Site Substance Abuse Management Resource Site Department of Homeland Security Department of Homeland Security Federal Emergency Management Agency Federal Emergency Management Agency American Red Cross American Red Cross

 Funded by FDOT, in partnership with MTAP to assist states and transit systems in development of bus system safety program.  Resource for State Departments of Transportation and transit systems of any size in developing bus safety and security programs.  Materials are:  Scalable  Can be used as outlines, models and templates Transit Bus Safety Resource Guide

The web site provides resource material on: Safety Policies & Plans Safety Policies & Plans Driver/Employee Selection and Training Driver/Employee Selection and Training Vehicle Maintenance Vehicle Maintenance Drug and Alcohol Abuse programs Drug and Alcohol Abuse programs Safety Data Acquisition and Analysis Safety Data Acquisition and Analysis Security Security Best Practices Best Practices Transit Insurance Pools Transit Insurance Pools State Legislation State Legislation Training & Assistance Training & Assistance Transit Bus Safety Resource Guide

Toolbox for Promoting the Bus Safety and Security Program in Your State: Training Curriculum for Implementation

Toolbox for Promoting the Bus Safety and Security Program in Your State: Training Curriculum for Implementation Funding provided by NCHRP Project (02) Funding provided by NCHRP Project (02) - Support from AASHTO SCOPT and the SCOPT Safety and Security Taskforce - Support from AASHTO SCOPT and the SCOPT Safety and Security Taskforce Linked to Transit Bus Safety Resource Guide web site Linked to Transit Bus Safety Resource Guide web site Basic steps and the core elements needed in developing a System Safety Program Plan (SSPP). Basic steps and the core elements needed in developing a System Safety Program Plan (SSPP). Provides examples of how different agencies of various sizes incorporate the core elements into their system safety plan. Provides examples of how different agencies of various sizes incorporate the core elements into their system safety plan. Uses the Transit Bus Safety Resource Guide to provides resources and examples on developing and implementing a bus system safety program plan. Uses the Transit Bus Safety Resource Guide to provides resources and examples on developing and implementing a bus system safety program plan.

Transit Security Reference Resource Website

Reports - APTA, AASHTO, CTAA, TSI,FTA, FEMA, FBI, GSA, GAO, EPA, AFT & other federal agencies. Reports - APTA, AASHTO, CTAA, TSI,FTA, FEMA, FBI, GSA, GAO, EPA, AFT & other federal agencies. Tools - Emergency preparedness/response plans Tools - Emergency preparedness/response plans Best Practices – 6 Case studies from the report Best Practices – 6 Case studies from the report Organizations - Links to on-line resources involved in national security, weapons of mass destruction and chemical, biological, radiological or nuclear attacks. Organizations - Links to on-line resources involved in national security, weapons of mass destruction and chemical, biological, radiological or nuclear attacks. Federal Government Agencies, Federal Government Agencies, Public Transportation Organizations Public Transportation Organizations Think Tanks Think Tanks Other National Organizations Other National Organizations

Substance Abuse Management Resource Site Quick reference tool that provides information for FTA covered employers to aid in implementation of required drug and alcohol testing programs. Training materials, regulatory guidance, forms, and toolkits are available for download Links to websites and being training offered

Resources Resources Transportation Research Board Transportation Research Board Federal Transit Administration Federal Transit Administration Volpe Center Volpe Center

THANK YOU! QUESTIONS ??? Center for Urban Transportation Research University of South Florida Contact Information: Ed Hank Cusack Jay