Introduction

Introduction

Throughout the United States, bus transit systems work hard to move millions of people each day to where they need to go. Transit operators traverse public thoroughfares, sharing roadway facilities with the general public and other vehicles that operate on local roadways. Patrons of transit service expect prompt, courteous and above all, safe operations of their transit systems. While transit systems want to move people effectively and efficiently, their overall goal is to move patrons in a safe and secure manner.
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Introduction > Model Transit Bus Safety Program

Model Transit Bus Safety Program

With those goals in mind, the "Model Transit Bus Safety Program" was endorsed by the Federal Transit Administration (FTA), the American Association of State Highway and Transportation Officials (AASHTO), American Public Transit Associations (APTA), and the Community Transportation Association of America (CTAA), and a Memorandum of Understanding (MOU) was signed in December 2003. A major responsibility of the MOU was to promote a voluntary development and implementation of bus safety and security plans at the state and transit system levels.

The Model Program contains two general categories of program elements: Core Safety Program Elements and Enhanced Safety Program Elements. Collectively, these elements define the comprehensive FTA Model Transit Bus Safety and Security Program.

The Core Safety Program Elements are those elements that all transit providers are encouraged to implement. Core Elements apply to all Section 5307 and 5311 transit providers. Section 5310 provider participation in a safety and security program is subject to state discretion.

Core Safety Program Elements include:

• Driver /Employee Selection
• Driver/Employee Training
• Vehicle Maintenance
• Drug and Alcohol Abuse Programs
• Safety Data Acquisition and Analysis
• Security

The Enhanced Safety Program Elements improve the transit provider’s safety program beyond the Core Safety Program Elements. Transit providers in urban areas typically include these elements. Enhanced elements are more applicable for large urbanized areas, but respectively reduced requirements are encouraged to be used by smaller urbanized areas and medium-sized urban areas. Other transit providers, such as Section 5311 grantees, may expand their safety program as their services, resources and infrastructures grow to include enhanced safety program elements as a part of a continuous improvement approach to transit bus safety and security. As is the case with core elements, where service is contracted with 5307 or 5311 funds, the grantee is responsible for ensuring that the contractor will implement the enhanced safety program elements as applicable.

The Enhanced Safety Program Elements are grouped into three general categories:
• Safety Process-Centric Elements – These elements focus on understanding the safety issues within the transit bus operations (accidents, incident, hazards) so that resources can be properly directed.
• Human-Centric Elements – These elements focus on processes or procedures that are directed toward driver and employee safety issues.
• Infrastructure and Equipment-Centric Elements – These elements address safety issues related to the transit system vehicles and general infrastructure.
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Introduction > Transit Bus Safety Respurce Guide Website

Transit Bus Safety Resource Guide Website

The web-based "Transit Bus Safety Resource Guide" was developed by the Florida Department of Transportation in partnership with AASHTO’s Multi State Technical Assistance Program (MTAP) to promote the bus transit resource guide and model program.

The website is a useful resource for State Departments of Transportation and transit systems for developing bus safety and security programs. The materials provided in the guide are scalable for systems of any size, but are particularly suitable for small urban and rural transit systems. The materials are intended to be used as outline models and templates for states and transit systems in developing their safety and security programs. (close)

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Introduction > Report Outline

Report Outline

The following report using the Transit Bus Safety Resource Guide website as a resource provides state Departments of Transportation, and transit systems, resources and examples on developing and implementing a bus system safety program plan. The report walks through the basic steps and core elements needed in developing a System Safety Program Plan (SSPP). This report also provides examples of how different agencies of various sizes incorporate the core elements into their system safety plan.

In addition to the Introduction, the report is broken down into the following chapters and topics:

Chapter 1 – Bus System Safety Program Plan Development

All system safety program plans (SSPP) describes policies, procedures and requirements to be followed by management, maintenance and operators to provide a safe and secure environment for employees and the general public. The SSPP integrates the transit system safety activities into a coordinated adopted document which defines and describes the agency safety program. The (SSPP) is the primary tool through which the transit system will measure accountability for safety.

This chapter will provide an overview of the following elements that need to be addressed in an SSPP:

• Safety Policy Statement	• Authority Statement
• Purpose Statement	• Goals and Objectives
• System Description	• Organizational Structure
• Program Elements/Tasks	• Program Implementation/Maintenance

Chapter 2 – Driver/Employee Selection

Driver selection is critical to safe transit operations. The driver of a bus transit vehicle is directly responsible for the safety of passengers and other motorists that share the road with transit buses. The transit provider is encouraged to have a clear definition of driver qualifications and background. This applies to all safety-critical employees and bus operators, both paid and volunteer. A safety plan may contain several policies and statements addressing the issues related to Driver and Employee Selection. Items such as job descriptions, driver licensing requirements, driving record requirements, physical requirements and drug and alcohol testing may all be included in an SSPP. Some of this information may be contained in other documents, such as employee hiring policies, or with the transit system’s drug and alcohol policy.

Included in this chapter are examples of how some transit agencies have addressed elements of Driver/Employee Selection in their system safety program plans.

Chapter 3 – Driver/Employee Training

Once qualified candidates are identified and hired, initial and on-going training is critical to insure proper operations and adherence to the transit providers’ rules and regulations. Proper qualification of operating and maintenance personnel is a vital part of a safe transit environment. It is recommended that Driver training address specific safety-related issues appropriate to the type of vehicle and driving assignment.

It recommended that a safety plan contain specific elements related to operator and employee training. Some of the information may be contained in other documents, such as employee hiring policies, or with the system’s drug and alcohol policy.

The following are just a few of the issues discussed in this chapter:
• Agency policies and procedures
• Scheduling
• Radio procedure manual
• Emergency procedures
• Organizational structure
• Reporting/documentation of events
• Emergency management procedures
• Personal safety
• Fires
• Bomb threats
• Hazard identification and pocedures
• Accident reporting
• Drug and alcohol programs
• First-Aid bloodborne pathogens
• Passenger awareness and sensitivity training (PASS)

Also included in this chapter are examples of how some transit agencies address Driver/Employee Training in their System Safety Program Plan.

Chapter 4 – Vehicle Maintenance

Proper maintenance of vehicles and equipment is critical to the continued safe operation of the transit system. Unsafe vehicles present unnecessary hazards to the driver, passengers, and other vehicles on the road. Basic vehicle maintenance practices recommended to regularly address safety-related vehicle equipment to ensure that no unsafe vehicles are dispatched for service.

Topics covered within Chapter 4 include:
• An outline of schedule maintenance for major vehicle components
• Check list of complete maintenance
• List of replacement parts and lubricants
• Record of ongoing maintenance concerns
• Maintenance Programs suggested by the Vehicle’s Manufacturer Warranty Maintenance schedule for vehicles and equipment.
• Maintenance audits
• Training

Also included in this chapter are examples of how some transit agencies address issues related to Vehicle Maintenance in their System Safety Program Plan.

Chapter 5 – Drug & Alcohol Abuse Program

Since many transit providers receive FTA operating and capital funds, the FTA Drug Testing Requirements form the basis for agencies’ drug abuse programs. An alcohol abuse program is also required. The bottom line is protection of the riding public and transit employees, and all efforts are geared toward this end. The transit provider safety program outlines the specific policies, procedures and responsibilities, or reference the appropriate master document containing that information.

The following issues are discussed in Chapter 5:
• Federal/state/local regulations related to drug & alcohol testing and policies
• Anti-drug programs
• Prescription and over the counter drug statements
• Drug & alcohol testing

Also included in this chapter are examples of how some transit agencies address issues related to Drug and Alcohol Abuse Programs in their system safety program plan.

Chapter 6 – Safety Data, Acquisition and Analysis

Understanding safety data is an important step toward allocating important (and often scarce) resources to implement safety program elements. Safety data relative to transit provider operations can be used to determine safety trends in system operation. These data include information gathered from within the system on safety-related events such as passenger injuries or claims, employee injuries, accidents, and incidents. Driver reports (sometimes called logs) can be an important source of safety problems, such as dangerous stop locations, problems with bus equipment, safety problems with the route, and other issues. The data are useful in a formal hazard identification and resolution process to help identify hazards before they cause accidents. The data may also help improve system performance, not only in respect to safety, but also in overall delivery of service to the riding public. In addition, trend analyses of safety data can help determine the effectiveness of safety initiatives that have been implemented.

The following issues are discussed in Chapter 6:
• Establishment/role of safety review committees
• Accidents/incidents
• Accident/incident investigation and analysis
• Hazard identification
• Hazard resolution
• Safety data analysis techniques

There are also examples of how transit agencies of varying sizes address issues related to Safety Data, Acquisition and Analysis in system safety program plans.

Chapter 7 – Internal Safety Audit Process

In addition to a development of a SSPP, transit agencies are encouraged to establish an internal audit process to periodically assess that key safety elements are being addressed for the overall safety of employees and passengers of the transit agency. APTA has developed a comprehensive internal safety audit process that can be tailored to transit agencies of all sizes.

Included in Chapter 7 is the Internal Safety Audit Process developed by APTA.

Security Program Planning

Hazard and Security Plan development will not be addressed in this report. The TCRP Project J-10D “Hazard and Security Plan, A Template to Develop A Plan Addressing Routine And Catastrophic Hazards and Security Issues Facing Small And Rural Transportation Providers”, is a excellent resource for small and rural agencies to use for developing hazard and security plans.

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Chapter 1

CHAPTER 1
BUS SAFETY SYSTEM PROGRAM PLAN DEVELOPMENT

There are many resources available to the states and transit agencies that outline the issues that need to be addressed in the development of Bus System Safety Programs. This document attempts to provide insight as well as specific examples for both, large and small, urban and rural, transit systems to utilize in the development and implementation of such programs. Resources used in the development of this report came from many agencies actively involved in the safe delivery of transit services such as the FTA, APTA, CTAA, AASHTO and many State agencies and local transit providers. As noted in APTA’s Manual for the Development of Bus Transit System Safety Program Plans:

"The primary purpose for the existence of a transit system is to move people safely. In order to accomplish this goal, an individual transit system must be able to identify all hazards in order to eliminate, minimize or control them, and identify all safety-related responsibilities, delegating these responsibilities to the proper units within the organization and providing these units with the resources to carry out their assigned responsibilities. A transit system has the responsibility of applying operating, technical, and management techniques and principles to the safety aspects of the system throughout its life cycle to reduce hazards to the lowest practical level through the most effective use of available resources. This process is known as system safety."

This full document is available on the Transit Bus Safety Resource Guide website Best Practices page.

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Chapter 4

CHAPTER 4
VEHICLE MAINTENANCE

Proper maintenance of vehicles and equipment is critical to the continued safe operation of the transit system. Unsafe vehicles present unnecessary hazards to the driver, passengers, and other vehicles on the road. Basic vehicle maintenance practices must regularly address safety-related vehicle equipment to ensure that no unsafe vehicles are dispatched for service. (close)

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Chapter 4 > Safety Sensitive Employee Positions

Safety Sensitive Employee Positions

All employees both paid and volunteer that are directly involved in the movement of a vehicle are considered safety sensitive employees. These employees include: bus operators, operations that require a commercial driver’s license, dispatchers, hostlers, mechanics and maintenance technicians, security personnel carrying firearms, supervisors and managers. (close)

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Chapter 4 > Activities to Include

Activities to Include

A Vehicle Maintenance Program includes:

- An outline of schedule maintenance for major vehicle components
- Check list of complete maintenance
- List of replacement parts and lubricants
- Record of ongoing maintenance concerns
- Maintenance Programs suggested by the Vehicle’s Manufacturer Warranty Maintenance schedule for vehicles and equipment.
- Maintenance audits
- Training

The Ohio Model Safety Plan provides an extensive list of maintenance activities that may included in a Vehicle Maintenance Plan depending on the size of the agencies. A Vehicle Maintenance Plan Outline is also available on the Transit Bus Safety Resource Guide Core Element Vehicle Maintenance page to help agencies develop a Vehicle Maintenance Plan. (close)

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Chapter 4 > Preventive Maintenance Program

Preventive Maintenance Program

A preventive maintenance program outlines the activities necessary to keep vans, small vehicles and buses operating cleanly, efficiently, and reliably. Through the extensive record-keeping program, maximum utilization of labor, parts, and fluids can be achieved. Quality management information also means tracking and warranty services available through the manufacturer, vehicle dealer, or third party warranty service. However, no program can be considered to be static. Continual monitoring and updating of the program is necessary to achieve the maximum preventive maintenance effect.

Washington State Asset Management Plan

The plan includes taking regular preventative maintenance measures to avoid more costly repairs throughout an asset's useful life. Washington State law requires transit agencies, as a condition of receiving state funding, to submit an asset management plan for certification by the Transportation Commission. The plan must include an inventory of all transportation system assets and a preservation plan based on the Lowest Life Cycle Cost Methodology (LLCC). The plan includes Sample Preventative Maintenance Inspection Sheets, Preventative Maintenance Inspection Sheets and Sample Contractor Review Checklists. (close)

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Chapter 4 > Pre-and Post -Trip Inspections

Pre-and Post -Trip Inspections

For any driver holding a Commercial Drivers License (CDL), a pre-trip vehicle safety inspection is mandated by law. (FMCSR396.11) Pre-trip inspections identify major problems that need to be corrected before a vehicle is put into service. Minor problems are also caught before they become major problems, reducing the cost of repair. The pre-trip inspection acts as a catch-net to detect problems before they manifest on the roadway. Pre-trip vehicle inspections include examining various parts of the vehicle including:

Engine Compartment - Check oil, radiator and brake fluids and coolant levels. Check for cracks, splits and worn spots in belts and hoses. Check battery cables.
Driver’s Area - Check horn, windshield washer, wipers, instrument gauges, mirrors, seat, radio, air condition, heat, doors.
Lights - exterior lights, parking lights, brake lights, turn signals, destination signs, passenger doors, flashers.
General Walk Around - Check tires, windows, bumpers, overall body condition, exhaust system.
Brakes and Suspensions - Check parking brakes, service brakes, springs, shocks.
Passenger Area - Emergency exits, entire steps, handrail, roof hatches
Wheel Chair Lifts - Check operating and structural conditions.

Below are examples of pre-trip, and post-trip inspection sheets from a variety of sources including the North Carolina Resource Guide, the Utah and the Iowa Departments of Transportation. To view the forms click on the links below:

North Carolina Pre-Trip & Post Inspection Sheets

Pre – Trip Inspection Sheet 1
Pre – Trip Inspection Sheet 2
Pre – Trip Inspection Sheet 3
Pre – Trip Inspection Sheet 4
Pre – Trip Inspection Sheet 5
Pre – Trip Inspection Sheet 6
Pre – Trip Inspection Sheet 7
Post – Trip Vehicle Defect Sheet 1
Post – Trip Vehicle Defect Sheet 2
Post – Trip Vehicle Defect Sheet 3

Utah Pre-Trip Inspection Sheets

Vehicle Pre-Trip Inspection

Iowa Daily Inspection Sheets

Daily Vehicle Inspection Form

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Chapter 4 > Emergency Equipment on the Vehicles

Emergency Equipment on the Vehicles

Every vehicle that is used within the transit system is encouraged to have the necessary emergency equipment aboard. It is recommended that the emergency equipment be checked daily to make sure that they are present and operational. It is extremely important that the driver knows what equipment is on the vehicle and how to use it. All drivers must familiarize themselves with where the equipment is located in the vehicle. Emergency equipment that is recommended to be aboard the vehicle includes:

• Flares
• Fire extinguisher
• First Aid kit
• Spare tire
• Jack and lug wrench
• Reflective triangles
• Flashlight with batteries
• Bloodborne pathogens clean up kit
• Reflective vest for driver
• Seat belt cutter

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Chapter 4 > Analysis of Maintenance Data

Analysis of Maintenance Data

An important factor in the vehicle maintenance program is tracking vehicle and fleet failure/repair frequency and trends. Trend analyses are useful for agencies in determining the changes in vehicle and or fleet performance. Analysis may include the review of inspections and preventive maintenance records. Reviewing maintenance records also can be used to determine a “fleet defect” or warrant claim adjustments with the vehicle manufacturer. The effectiveness of vehicle repair campaigns to correct a defect found in a specific fleet (buses of the same model, year, and manufacturer) can be tracked with maintenance data analysis. Transit systems can use their maintenance records to provide input to vehicle specification requirements for future vehicle procurements. (close)

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Chapter 4 > Maintenance Audits

Maintenance Audits

Regular audits of vehicle maintenance records are recommended to ensure that vehicles are maintained in a safe and proper manner. Audits may include an inspection of the vehicle. Audits and quality assurance practices can help to determine that the required inspections and maintenance activities are accomplished correctly and at the appropriate intervals. If vehicle maintenance is contracted out it is recommended that audits be conducted periodically. (close)

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Chapter 4 > Vehicle Maintenance in System Safety Plans

Vehicle Maintenance in System Safety Plans

The system safety plan addresses the responsibilities and requirements for performing maintenance. Some of this information may be contained in other documents, such as employee hiring policies, training policies, or with the system’s drug and alcohol policy. Following are four examples of how transit agencies address Vehicle Maintenance in their system safety program plan.

North Carolina Rural Transit Agency

6. Maintenance Audits/Inspections (all items listed may be found in the Transportation Coordinator’s office)

A. Daily Inspections
All transportation department drivers conduct a daily vehicle safety checklist on their vehicles. This includes checking the essentials of the vehicle along with the safety and accessibility equipment. A post trip inspection is not necessary because the employees are assigned vehicles and never rotate.
B. Maintenance Records (including a bi-monthly vehicle cleaning)
The county has developed a maintenance database computer program for all county vehicles. This program and information is located on the transportation department main computer.
C. Preventive maintenance
All county vehicles go to the garage for preventative maintenance at least bi-monthly or sooner if needed. A preventative maintenance checklist is used. The monthly checklist for vehicles inspected is located at the County Finance office.

7. Rules – Procedure Review
An annual report that assesses the adequacy and effectiveness of all phases of the system safety plan will be submitted to the Local Transportation Advisory Committee at one of their quarterly meetings.

Indiana Comprehensive Response Plan

VEHICLE MAINTENANCE
INTRODUCTION

Proper maintenance of vehicles and equipment is critical to the continued safe operation of the transit system. Unsafe vehicles present unnecessary hazards to the operator, passengers, and other vehicles on the road. Basic vehicle maintenance practices must regularly address safety-related vehicle equipment to ensure that no unsafe vehicles are dispatched for service.

Employees or Job Categories Included in Vehicle Maintenance are as follows:

• Mechanics
• Supervisors (maintenance)
• Operators

Operators are required to complete daily pre and post trip inspections of their vehicles utilizing appropriate vehicle inspection forms. All inspection forms are to be turned in at the end of each shift. All deficiencies identified during inspection are to be reported on the form and to the supervisor. All deficiencies identified that could affect the safety of the vehicle or its passengers are to be reported immediately and the vehicle is not to be put into operation. Necessary repairs are to be scheduled and a back up vehicle will be utilized to continue service.

Both mechanics and drivers should inspect the vehicle through observations and check during routine servicing procedures. It is quite possible, for example, to perform a complete vehicle check while the oil is being drained. *Exhibit 4 (as listed in the Indiana Preventative Maintenance Manual, Feb. 2000) lists items that your agency should include in the mechanic’s inspection at service intervals.

Finally, your agency should hold drivers and mechanics accountable for filling out checklists via random paperwork inspections. In other words, if you are going to require it, check it.

*Indiana Preventative Maintenance Manual is written by: Indiana Department of Transportation/Public Transit Section in conjunction with the Indiana Rural Transportation Assistance Program

Pasco County, FL Public Transportation
B. Vehicle Maintenance

Pasco County Fleet Maintenance currently performs all vehicle maintenance, under the direction of Fleet Management. Associated documentation on Preventive Maintenance Services A and C, when completed and checked by the shop supervisor, will be filed with the repair order in the applicable Equipment History folder. If, at any time, an authorized PCPT supervisor requires access to an Equipment History folder pertinent to a PCPT assigned asset, the request will be made through the Fleet Maintenance Services Manager. Preventive maintenance scheduled inspection interval requirements:

Inspection Type A	Inspection Type C
Days or Miles (whichever occurs first)	Days or Miles (whichever occurs first)
90 or 4,000	Yearly or 16,000

All vehicles must be determined safe and serviceable prior to use in public transportation service. All drivers are required to perform a vehicle inspection prior to operating their assigned vehicle using a Pre-trip Inspection Report. Defects noted are documented and reported to a supervisor, who will determine vehicle status, replace the vehicle, if needed, and arrange for the repairs. The Pre-trip Inspection Report consists of the applicable portion of the Daily Driver Report found in Attachment 8, Exhibit 2. The Pasco County Fleet Service Maintenance and Request form is found in Attachment 8, Exhibit 3.

If a driver experiences equipment failure while enroute, he/she will report the problem by radio to the Dispatch Center. When appropriate, the applicable supervisor will arrange for another driver and vehicle to complete the route and notify the maintenance facility of the vehicle’s location and problem. However, the driver may be instructed to proceed to the maintenance facility if safety or further mechanical damage is not jeopardized.

Any defects, which may adversely affect operational safety, or which may cause further damage to the vehicle when placed in operation, will not be authorized for use under any circumstances.

Additional operator maintenance information and procedural requirements are provided in the PCPT Operations Manual attached to this Plan as Attachment 8

Ohio Model Safety Plan













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Chapter 4 > North Carolina Safety Resource Guide

North Carolina Safety Resource Guide

The Vehicle Maintenance forms from the North Carolina Safety Resource Guide are another excellent resource for forms for vehicle inspection sheets, pre-trip and post trip inspection, preventive maintenance sheets and wheel-lifts inspection forms. There are a number of forms that are provided in this guide that can be easily downloaded and printed.

06 [10] Maintenance Audits – Inspections

Vehicle Maintenance**

Daily Inspections

Daily Vehicle Inspection Sheets

Daily Vehicle Inspection and Defect Report

Daily Vehicle Inspection Sheet 1

Daily Vehicle Inspection Sheet 2

Daily Vehicle Inspections Sheet 3

Post-Trip

Post – Trip Vehicle Defect Sheet 1

Post – Trip Vehicle Defect Sheet 2

Post – Trip Vehicle Defect Sheet 3

Post – Trip Inspectio n Sheet

Pre-Trip

Pre – Trip Inspection Sheet 1

Pre – Trip Inspection Sheet 2

Pre – Trip Inspe ction Sheet 3

Pre – Trip Inspection Sheet 4

Pre – Trip Inspection Sheet 5

Pre – Trip Inspection Sheet 6

Pre – Trip Inspection Sheet 7

Pre- & Post- T rip Inspection Sheet

Maintenance Records

Maintenance Records

Ve hicle Maintenance Master Record

Vehicle Ma intenance Work Order

Periodic Maintenance & Inspections

Annual Vehicle Inspection

24,000 Miles Inspection Report

Monthly Vehicle Maintenance Performance Report

Monthly Vehicle Preventative Maintenance Check

3,000 Miles Inspection Report

Seat Maintenance

Vehicle Cleanliness Inspection – Task Sheet

Vehicle Exterior Inspection

Vehicle Maintenance Inspection

Vehicle Wash Sheet

Preventive Maintenance

Inspection Sheet

Preventative Maintenance Guide and Checklist

Preventive Maintenance and Inspection Sheet

Preventive Maintenance Inspection Report

Wheelchair Lift

Wheelchair Lift Preventative Maintenance Schedule 1

Wheelchair Lift Preventative Maintenance Schedule 2

Preventative Maintenance Schedule

Preventive Maintenance Standards

Safety

Emergency Equipment on Vehicles and Usage

General Safety Inspection – Van

Onboard Safety Equipment

Preparing Vehicles for Max Safe Performance

Required Vehicle Equipment and Devices

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Chapter 4 > Transit Bus Safety Resource Guide Core Element - Vehicle Maintenance

Transit Bus Safety Resource Guide Core Element - Vehicle Maintenance

The "Transit Bus Safety Resource Guide" Core Element Vehicle Maintenance page contains vehicle inspections and pre-trip forms from Utah and Iowa. The vehicle maintenance page also contains vehicle procurement procedures and training information, APTA's Standard Bus Procurement Guidelines and a document on Transit Vehicle Inspections: A Handbook for Rural Transit Providers developed by Kansas Department of Transportation and FTA. This report looks at delivery, pre-trip and annual inspection procedures for rural transit agencies.

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Chapter 5

Chapter 5
DRUG & ALCOHOL PROGRAMS

Since many transit providers receive FTA operating and capital funds, the FTA Drug Testing Requirements form the basis for agencies’ drug abuse programs. An alcohol abuse program is also required. The bottom line is protection of the riding public and transit employees, and all efforts are geared toward this end. The transit provider safety program outlines the specific policies, procedures and responsibilities, or reference the appropriate master document containing that information. (close)

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Chapter 5 > Regulations

Regulations

The Omnibus Transportation Employee Testing Act of 1991 mandated that the Federal Transit Administration (FTA) publish two regulations, issued in February 1994, 49 CFR Part 653, Prevention of Prohibited Drug Use In Transit Operations, and 49 CFR Part 654, Prevention of Alcohol Misuse in Transit Operations, prohibiting drug use and alcohol misuse by transit employees and requiring that transit agencies test for prohibited drug and alcohol misuse.

In 2001, these two regulations were updated and consolidated into CFR 49 Part 655, Prevention of Alcohol Misuse and Prohibited Drug Use in Transit Operations. 49 CFR Part 40 Procedures for Transportation Workplace Drug and Alcohol Testing Programs interim final rule was issued in November 2004. A checklist for the Requirements for a Valid Substance Abuse Policy is available on the FTA website. More detailed information on FTA Drug and Alcohol requirements, newsletters, and drug and alcohol training are available from the FTA Drug and Alcohol web page.

The FTA’s "Implementation Guidelines for Drug and Alcohol in Mass Transit" is available on the FTA Drug and Alcohol web page.

Transit providers who receive FTA operating or capital funds are required to have an alcohol and other drug abuse programs. FTA requires four elements to be included in the drug and alcohol testing program: a policy statement, training program, a drug and alcohol testing program, and a referral treatment and evaluation program.

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Chapter 5 > Safety Sensitive Employee Positions

Safety Sensitive Employee Positions

All employees both paid and volunteer that are directly involved in the movement of a vehicle are considered safety sensitive employees. These employees include: bus operators, operations that require a commercial driver’s license, dispatchers, maintenance workers, security personnel carrying firearms, supervisors and managers.

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Chapter 5 > Anti-Drug Program

Anti-Drug Program

Transit systems must establish an anti drug program that focuses on testing safety-sensitive employees, along with training for those employees and their supervisors. FTA regulations specify that safety-sensitive employees may not use any of five prohibited substances (or their metabolites): marijuana; cocaine; opiates; phencyclidine; or amphetamines. An alcohol abuse program is also required. FTA requirements include six testing situations.

Pre- Employment Testing

Employee or applicant must successfully pass a pre-employment drug test required by FTA regulations 49 CFR Part 655 before they are allowed to perform safety-sensitive function for the first time. Applicants applying for safety sensitive positions must comply with drug and alcohol testing requirements as outlined in the agency drug and alcohol policy.

Reasonable Suspicion Testing

Drug and/or alcohol tests are to be performed when the employer has determined by reasonable suspicion that an employee has used a prohibited drug and/or engaged in alcohol misuse. Determining reasonable suspicion shall be based on specific, observations on the appearance, behavior, speech, or body odors of the employee; these observations must be made by a supervisor or company official trained to detect the appropriate signs and symptoms (§655.43).

Random Testing

Employers are required to administer random drug tests and alcohol tests for their employees on an annual basis. The random selection must be made by a scientifically valid method where each employee has an equal chance of being selected; the random test must be unannounced and unpredictable throughout the calendar year (§655.45).

Return to Duty Testing

Drug and/or alcohol tests in accordance with 49 CFR Part 40 must be performed when an employee refuses to submit to a test, has a verified positive drug test result, and/or has a confirmed alcohol test result of 0.04 or greater (§655.46).

Follow-Up Testing

Drug and/or alcohol follow-up tests in accordance with 49 CFR Part 40 Subpart O are required for each employee who returns to duty. (§655.47).

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Chapter 5 > Prescription and Over the Counter Medications

Prescription and Over the Counter Medications

In May 2000, in response to the NTSB directive, the Acting FTA Administrator Nuria Fernandez issued a "Dear Colleague" letter to all recipients of FTA funding requesting that they review current policies on employees’ use of over-the-counter (OTC) and use of prescription (Rx) medications that could compromise public safety and establish a program to educate safety-sensitive employees about the potential dangers associated with the use of Rx and OTC medications.

To assist the transit agencies in responding to the Administrator’s challenge, FTA has assembled a Prescription and Over-the-Counter Medications Tool Kit - 2003 with examples of practices for ensuring the safe use of medications by safety-sensitive employees. The examples include transit agency policies; forms, lists, and other procedures used by the transit agencies to implement their policies; and various training aids ranging from several short awareness pamphlets to comprehensive training programs and presentations.

In addition to developing a policy on use of OTC and Rx medications and developing procedures and a training program for implementing the policy, transit agencies should identify use of medications in their drug and alcohol post-accident investigations. The toolkit provides a FTA Post Accident Decision Form which includes an item on the use of medication by employees involved in an accident. This item serves as a reminder for supervisors to consider the use of prescription or over the counter medications in the accident investigation.

Also included is a Prescription and Over the Counter Medication Post Accident Investigation Form which should be completed when the employee indicated use of a medication before the accident. The information recorded on this form should be kept confidential and is considered a medical report and is afforded the same protections.

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Chapter 5 > Drug and Alcohol in System Safety Plans

Drug and Alcohol in System Safety Plans

The safety plan outlines or reference drug and alcohol policies and/or statement, procedures and responsibilities. The following are examples of how transit agencies address drug and alcohol abuse in their system safety program plans.

Indiana Comprehensive Response Plan

Drug & Alcohol Testing

Substance Abuse Awareness and testing is a necessary requirement of all safety sensitive employees who could affect public safety and the success of the organization. The drug and alcohol testing program is intended to detect and deter the use of illegal substances and misuse of alcohol in the transit industry and is required by the Federal Transit Administration for recipients of 5311 funds. This program requires testing for the five main drug categories including: Marijuana, PCP (phencyclidine), Cocaine, Opiates and Amphetamines.

The regulations for this program are 49 CFR Part 655 Prevention of Alcohol Misuse and Prohibited Drug Use in Transit Operations and 49 CFR Part 40 Procedures for Transportation Workplace Drug and Alcohol Testing Programs as amended. Because substance abuse and alcohol misuse has a direct affect on safety education of the dangers associated with drug abuse and alcohol misuse is critical to supervisors and employees alike. The regulations clearly indicate the required training for both supervisors and employees as:

• Covered employees must receive at least 60 minutes of training on the effects and consequences of prohibited drug use on personal health, safety, and the work environment, and on the signs and symptoms that may indicate prohibited drug use.

• Supervisors and/or company officers authorized by the employer to make reasonable suspicion determinations shall receive at least 60 minutes of training on the physical, behavioral, and performance indicators of probable drug use and at least 60 minutes of training on the physical, behavioral, speech, and performance indicators of probable alcohol misuse.

• Additional educational components should include display and distribution to every covered employee of: informational material and a community service hot-line telephone number for employee assistance, if available.

Employees subject to substance abuse testing are identified in the companies’ drug and alcohol testing policy, which is separate from the Emergency Response Plan. Please refer to the agency Substance Abuse Policy for a complete outline of the requirements for this program.

North Carolina Rural Transit Agency Drug and Alcohol Abuse Program

(rural) County’s Transportation Department has a substance abuse policy that adheres to the guidelines issued by the Federal Transit Administration as administered by NCDOT/PTD. This policy was approved by the County’s Board of Commissioners on May 12, 2003. A copy of the policy along with training documentation is on file in the Transportation Coordinator’s office. The program is administered by the County’s Human Resource Department. A copy of the results along with all forms and logs are kept under lock in the Human Resource Department. Florida Rural Transit Agency Substance Abuse Policy
Was adopted June 1, 1999, by Florida Agency in compliance with FTA, U.S. Department of Transportation set guidelines for collection and testing or urine and breath specimens for all safety sensitive employees. (The Substance Abuse Policy is attached as Appendix to the System Safety Program Plan.)

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Chapter 5 > North Carolina Safety Resource Guide

North Carolina Safety Resource Guide

The North Carolina Safety Resource Guide has a number of Drug and Alcohol Testing Policies and Substance Abuse Policies and forms that can be easily downloaded and printed for use by other agencies.

16 [20] Drug & Alcohol Abuse Programs**

Forms and Logs

Form – Log Key

Master Forms

Master Logs

Policies

Drug & Alcohol Testing

Drug and Alcohol Testing Policy 1

Drug and Alcohol Testing Policy 2

XYZ Model Policy 2002

Substance Abuse

Substan ce Abuse Policy – Long

Substance Abuse Policy – Short

Drug an d Alcohol Policy

Drug Policy Outline

Drug & Alcohol Compliance Checklist

Following is an example of the Drug and Alcohol Testing and Substance Abuse policy from the North Carolina Safety Resource Guide. Substance Abuse Policy This administrative policy was adopted by the [Agency Name] County Transportation Advisory Board on:
____________________________________
(Day)             (Month)                      (Year)

____________________________        _______________________________________
Signature of System Manager              Signature of Transportation Advisory Board Chair

Description:

The [Agency Name] System is dedicated to providing safe, dependable, and economical transportation services to our transportation system passengers.

The [Agency Name] System employees are our most valuable resource, and it is our goal to provide a healthy, satisfying working environment which promotes personal opportunities for growth. In meeting these goals, it is our policy to (1) assure that employees are not impaired in their ability to perform assigned duties in a safe, productive, and healthy manner; (2) create a workplace environment free from the adverse effects of drug abuse and alcohol misuse; (3) prohibit the unlawful manufacture, distribution, dispensing, possession, or use of controlled substances; and (4) to encourage employees to seek professional assistance anytime personal problems, including alcohol or drug dependency, adversely affect their ability to perform their assigned duties.

• Drug use and alcohol misuse is prohibited by [Agency Name] employees.

• [Agency Name] employee possession of illicit drugs or alcohol on or in transit system property is prohibited

• [Agency Name] employees must complete drug and alcohol training session

• [Agency Name] must implement and maintain an approved drug and alcohol-testing program that is consistent with Federal Transit Administration (FTA) regulations as amended.

• Drug and alcohol testing must be administered to all safety sensitive employees. [Agency Name] must comply with all federal regulations pertaining to drug and alcohol testing requirements. [Agency Name] employees must pass the drug and alcohol tests. Employees who do not pass the drug and alcohol tests will be dismissed.

([Agency Name] employees are governed by the formally established Substance Abuse Policy of [Contractor]. County employees are governed by the formally established Substance Abuse Policy of [County Name].) (close)

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Chapter 5 > Transit Bus Safety Resource Guide Core Element - Drug & Alcohol Program

Transit Bus Safety Resource Guide Core Element - Drug & Alcohol Program

The “ Transit Bus Safety Resource Guide” - Drug & Alcohol page contains a number of FTA Drug and Alcohol Program documents, guidelines, checklists, forms, training information and links to the FTA Drug and Alcohol website. FTA documents available on the Drug and Alcohol web page include:

• Implementation Guidelines for Drug & Alcohol Regulations in Mass Transit - Revised November, 2003
• Drug & Alcohol Testing Reasonable Suspicion
• Prescription and Over-the-Counter Medications Tool Kit - 2003
• Drug & Alcohol Regulations, Updates and Newsletters
• Drug & Alcohol Testing Program
• Approved Post Accident Decision Form
• 2004-2005 Substance Abuse Training

This web page also contains drug & alcohol documents from the Florida, Kansas, Iowa and Washington Departments of Transportation. Documents that are available from their states include:

• Florida Zero Tolerance Policy
• Florida Second Chance Policy
• Florida Reasonable Suspicion Determination Chart and Form
• Florida Collection Site Monitoring Toolkit
• Iowa DOT Drug & Alcohol Reporting Materials
• Kansas Rural Transit Provider Handbook Chapter 18: Drug & Alcohol Program Information
• Washington Drug & Alcohol Checklist

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Chapter 6

Chapter 6
SAFETY DATA ACQUISITION AND ANALYSIS

Understanding safety data is an important step toward allocating important (and often scarce) resources to implement safety program elements. Safety data relative to transit provider operations can be used to determine safety trends in system operation. These data include information gathered from within the system on safety-related events such as passenger injuries or claims, employee injuries, accidents, and incidents. Driver reports (sometimes called logs) can be an important source of safety problems, such as dangerous stop locations, problems with bus equipment, safety problems with the route, and other issues. The data are useful in a formal hazard identification and resolution process to help identify hazards before they cause accidents. The data may also help improve system performance, not only in respect to safety, but also in overall delivery of service to the riding public. In addition, trend analyses of safety data can help determine the effectiveness of safety initiatives that have been implemented. (close)

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Chapter 6 > Safety Sensitive Employees Positions

Safety Sensitive Employees Positions

All employees both paid and volunteer are responsible for safe operations. Some key personnel involved in the Safety Data Acquisition and Analysis (including hazard identification and resolution) process include: operators, road supervisors, safety officers, risk management officers, accident/incident investigator, accident/incident review committee, police, transit director, operation supervisor, and EMS/hospital. (close)

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Chapter 6 > Safety Review Committee

Safety Review Committee

All agencies are encouraged to establish a safety review committee to oversee hazards, unsafe conditions and safety problems identified through the daily operation of the agency. Committee activities include: developing strategies for reporting safety problems, evaluating effectiveness of safety programs, and accident/incident investigation and resolution as well as addressing other safety related issues.

Below are links to the North Carolina Safety Resource Guide that outlines the creation of a safety committee. These guidelines could be used by other agencies for establishing and operating a safety committee.

Organizing a Safety and Accident Review Committee
Safety and Accident Review Committee Guidelines
Safety Committee Minutes
Safety Committee
Vehicle Accident Prevention Committee Policy
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Chapter 6 > Accidents/Incidents

Accidents/Incidents

Accidents/Incidents are described as:

• Collisions (with vehicle, fixed objects or pedestrians)
• Off the Road operations
• Incidents at stop or station
• Fire onboard vehicle
• Non-collision injury
• Medical emergency
• Security Incidents (unforeseen events or occurrences that endanger human or property.)

When a transit vehicle is involved in any of these events, the operator is encouraged to immediately contact the dispatcher or designated person.

Following is an example North Carolina Dispatcher Emergency Notification Sheet

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Chapter 6 > Accident Investigation and Analysis

Accident Investigation and Analysis

Accident Investigation involves collecting, documenting, and analyzing data to help identify the cause of the accident. If an accident is investigated by law enforcement the transit system may have a policy or practice in place to receive a copy of the police report in addition to the information they collect.

The information from the accident investigation can be used in the review and analysis of the accident/ incident, along with reports from other sources such as police reports, witness reports, drug and alcohol screens, vehicle maintenance records, operator/employee training, accident/incident, and substance abuse records.

The Minnesota Department of Transportation "Transit Safety and Security Workbook" has examples of forms, checklists and procedures that are used in collecting accident data.

On the following page is an example of an accident/incident report form used by the North Carolina Department of Transportation. The full form and other examples of accident and incident forms are available for download on the North Carolina Safety Resource Guide.

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Chapter 6 > Findings and Recommendations

Findings and Recommendations

Results of accident/incident investigations can identify specific problems with vehicle malfunctions or failure, operators/employee actions, and location and weather conditions. If the results of the analysis indicate specific problems with equipment, operators, or the location were major causes of an accident or contributed to the accident, corrective actions are identified to address these issues. A process should be established to monitor and evaluate the corrective actions taken to address the identified problems. (close)

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Chapter 6 > Accident/Incident Database

Accident/Incident Database

If accident/incident data collected by the agency is not readily available and easily organized by type and occurrence, it will be impossible to use the results to improve system safety. A computerized accident/incident database is an essential safety management tool for most transit agencies. Examples of accident databases developed in Excel and Access are available from North Carolina and Florida Departments of Transportation. By using an accident/incident database a transit agency can efficiently conduct trend analysis to identify trends of various accident/incident types. Frequency analysis is also used to identify the frequent accident/ incident types or locations with the most frequent accident/incidents.

Used as part of the Hazard Resolution process, data collection and analysis can be used to identify hazards before they cause serious accidents by such techniques as trend analysis, and thus becomes a vital component of efforts to improve system performance not only in respect to safety but also in overall delivery of service to the riding public.

Additional information is available from Texas Department of Transportation, Public Transportation Division- “Safety Data Acquisition and Analysis Guide” and the North Carolina Safety Resource Guide.

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Chapter 6 > Hazard Identification

Hazard Identification

A hazard is a condition that makes an accident/incident more likely to occur. There are hazards that increase the likelihood of transit bus accidents and hazards in the workplace for office, maintenance, and yard personnel. Identification of hazards can be an observation by any transit employee, or identification of hazards through accident/incident analysis or safety analysis. Developing a hazard identification system is a task generally performed by the safety review committee.

Following is a Hazard Description/Resolution Process-Description of Element from the North Carolina Safety Resource Guide.

HAZARD IDENTIFICATION/RESOLUTION PROCESS DESCRIPTION OF ELEMENT

7. HAZARD IDENTIFICATION/RESOLUTION PROCESS

A. The Hazard Identification/Resolution Process is perhaps the heart of the SSPP.

B. It provides a mechanism, accessible to all levels of the organization, by which hazards are identified, analyzed for potential impact on the operating system and resolved in a manner acceptable to management.

C. Three (3) primary components:

1. Hazard Identification

2. Hazard Categorization

3. Hazard Resolution

D. Hazard Identification

1. Describe the methods used for ensuring that as many hazards as possible can be identified and entered into the hazard resolution process before they cause problems.

2. With established systems the input of operating and maintenance personnel can provide the type of data that can be used for a sufficient hazard analysis process.

3. Establish procedures to document the results of the hazard analysis.

4. Tie it into other activities such as accident/incident investigation.

E. Hazard Categorization

1. To determine which hazards are:

a. Acceptable

b. Acceptable with certain conditions applied, or

c. Unacceptable.

2. In terms of severity and probability of occurrence.

a. Hazard severity - a subjective measure of the worst credible mishap resulting from personnel error, environmental condition, design inadequacies or procedural efficiencies for system, subsystem, or component failure or malfunction.

• Categorized as follows:

1. Catastrophic Death or system loss.

2. Critical Severe injury, severe occupational illness, or major system damage.

3. Marginal Minor injury, minor occupational illness, or system damage.

4 . Negligible Less than minor injury, occupation illness, or system damage.

b. Hazard probability - the probability that a specific hazard will occur during the planned life expectancy of the system element, subsystem or component. It can be described subjectively in potential occurrences per unit of time, events, population, items or activity.

• Ranked as follows:

1. Frequent

- Likely to occur frequently (individual)

- Continuously experienced (fleet/inventory)

2. Probable

- Will occur several times in life of an item

- Will occur frequently in fleet/inventory

3. Occasional

- Likely to occur sometime in life of an item

- Will occur several times in fleet/inventory

4. Remote

- Unlikely, but possible to occur in life of and item

- Unlikely, but can be expected to occur in fleet/inventory

5. Improbable

- So unlikely, it may not be experienced

- Unlikely to occur, but possible in fleet

F. Hazard Resolution

a. The analysis and subsequent actions taken to reduce to the lowest level practical risk associated with the identified hazard.

b. Some hazards are impossible to eliminate and others are highly impractical to eliminate.

c. This is nothing more than a formalized, predetermined procedure for Risk Acceptance by the transit management staff.

d. Reduction of risk can be accomplished in a variety of ways, from protective and warning devices to special procedures.

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Chapter 6 > Hazard Resolution Method

Hazard Resolution Method

After working to identify possible hazards that exist within the transit system operating environment, the magnitude and likelihood of possible accidents due to apparent hazards must be assessed. Once hazards have been categorized (based on the previous criteria) the probabilities of occurrence for each hazard must be prioritized into risk categories. Each hazard will be identified to be:

• unacceptable or undesirable (management decision required);
• acceptable with management review; or
• acceptable without management review.

	I. Catastrophic	II. Critical	III. Marginal	IV. Negligible
A. Frequent	Unacceptable	Unacceptable	Unacceptable	Acceptable/WR*
B. Probable	Unacceptable	Unacceptable	Undesirable	Acceptable/WR*
C. Occasional	Unacceptable	Undesirable	Undesirable	Acceptable
D. Remote	Undesirable	Undesirable	Acceptable/WR*	Acceptable
E. Improbable	Acceptable/WR*	Acceptable/WR *	Acceptable/WR*	Acceptable
* Acceptable/WR -- Acceptable with review by management staff

The safety review committee is encouraged to be the lead for this activity. Each hazard and a recommendation on how the potential hazard could be categorized must be developed and included in the SSPP. This assessment is to be recorded and become part of the permanent record of the safety and accident review committee’s activities. In addition, investigators are to be prepared to discuss several alternative solutions to each safety problem and its associated costs. These procedures are established to expedite the process of implementing solutions.

The order of priority in finding solutions for potential hazards is elimination of the hazard; control of the hazard; and acceptance of the hazard. Measures that may be recommended by the safety and accident review committee to counteract potential hazards can include:

• design changes
• safety devices
• warning devices and/or
• safety procedures

When attempting to mitigate a potentially hazardous situation, members of the safety and accident review committee are encouraged to conduct trade-off analyses that take into account both safety issues and costs, potential losses and service impacts. For this reason, resolution strategies must be flexible to match an appropriate solution to each system.

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Chapter 6 > Safety Data Analysis Techniques

Safety Data Analysis Techniques

In addition to hazard identification and resolution, there are several other methods to analyze safety issues. While organizational size may affect which analysis methods may be utilized, each of the following methods of analysis may be useful to transit agencies:

Root Cause Analysis - a methodology for finding and correcting the most important reasons for performance problems. It differs from troubleshooting and problem-solving in that these disciplines typically seek solutions to specific difficulties, whereas root cause analysis is directed at underlying issues for how a particular outcome was achieved.

Trend Analysis – trend analysis compares similar data over a particular time period. Transit agencies may use trend analysis when reviewing accidents and incidents, as well as with bus maintenance issues. Trend studies are uniquely appropriate for assessing change over time.

Frequency Analysis – considers how often an outcome is realized, (i.e. the number of events during a specified period of time, at a specific location, involving a specific vehicle type, or certain employee or group of employees).

Fault-Tree Analysis - A fault-tree analysis (FTA) is a deductive, top-down method of analyzing system design and performance. It involves specifying a top event to analyze (such as a catastrophic accident or security incident), followed by identifying all of the associated elements in the system that could cause that top event to occur.

Accident/Incident Rate Analysis – the analysis of the number of accidents/incidents occurring per unit of exposure, such as: the number of accidents per million vehicle-miles or the number of passenger slips and falls per million passengers.

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Chapter 6 > Safety Plan Contents

Safety Plan Contents

Following are examples of how other transit agencies address Safety Data Acquisition and Analysis within their system safety program plans. Indiana Comprehensive Response Plan

SAFETY AND SECURITY DATA ANALYSIS & ACQUISITION
INTRODUCTION
Understanding safety data is an important step toward allocating important and often scarce resources to implement safety program elements. Safety data relative to transit provider operation can be used to determine safety trends in system operation. These data include information gathered from within the system of safety-related events such as passenger injuries or claims, employee injuries, accidents and incidents. The data are useful in a formal hazard identification and resolution process to help identify hazards before they cause accidents. The data may also help improve system performance, not only in respect to safety, but also in overall delivery of service to the riding public.
The following employees or job categories are included in safety data acquisition and analysis:

• Operators	Staff
• Management	Supervisors
• Maintenance	Customer service

The database of safety elements includes the following:

Minimum	Additional as applicable
Who: operator ID, passengers, others involved (pedestrians, drivers, cyclists)	Light / Visibility Collision diagram
What: transit vehicle type, route #, incident type	Operator narrative Roadway condition
When: date, time
Where: location, direction of travel

Data Collection/Forms

- Operator report

- Supervisor report

- Police report Witness cards

- Customer complaint / Public comment

- Trouble reports / Internal complaints

- Video if available

North Carolina Rural Transit Agency

1. Hazard Identification

Employees are asked to report unsafe conditions and practices to their supervisors at once. Once the condition is reported, a hazard assessment is conducted (by using the hazard assessment matrix). After the assessment is completed, the condition is addressed and resolved.

2. Accident – Incident Reporting and Investigation

The procedure for employees to report an on-the job injury and/or a vehicle accident is described on page 11 and 20 in the Employees Safety Handbook. The accident investigation process with forms is detailed in Section 7 of the County Safety Policy Handbook. Both the Employee Safety Handbook and the Safety Policy Handbook are located in the Transportation Coordinator’s office.

Safety Committee Meetings

The County’s Safety Committee conducts a monthly meeting. Information on these meetings is located in the Transportation Coordinator’s office. The Transportation Department conducts a monthly safety meeting with employees. Documentation of these meetings are located in the Transportation Coordinator’s office.

Florida Rural Transit Agency

Accidents
(Agency Name) shall maintain a comprehensive accident procedure, reporting, evaluation, and record maintenance system. All accidents are to be reported to the transportation office immediately (as outlined in (Name Agency)" Driver's Training Manual") and an "Incident/Accident Report" must be completed (see Appendix C). Any accident involving a fatality shall be reported to the Department of Transportation district office and a written report made on such accidents and submitted to the DOT district office within 30 days after the accident occurs. All accidents shall be reviewed by Transportation Director Coordinator to determine the nature, cause(s) and to determine what actions or procedures should be implemented to prevent any reoccurrence. It is the responsibility of (Name Agency) management to review all accidents to determine future preventative measures. (Name Agency) Management will evaluate and determine contributing factors to determine/recommend preventative procedures.

System Safety Tasks and Implementation

Tasks
The primary task for ensuring the safest operations for (Agency Name) is to properly identify and assess possible hazards or conditions that could result in accidents. The method of identifying, analyzing, assessing and resolving causes of accidents is done by all sections or areas of the system and all available information and resources. Strong efforts shall be made toward remedies for the more severe hazards that result in accidents. Assessment of hazards shall result in resolution by either minimizing the hazard, or making the hazard acceptable by the use of safety devices and/or new or improved procedures. Safe operations and a reduction in hazards are accomplished by proper and adequate training for new employees and refresher training courses for existing employees. Random inspections of operational functions shall be made by management to identify hazards not normally identified in day to day activities. Ohio Model Safety Plan










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Chapter 6 > North Carolina Safety Resource Guide

North Carolina Safety Resource Guide

The North Carolina Safety Resource Guide is an excellent resource for accident/incident, hazard identification, passenger client involvement forms and other information that may be useful for data acquisition and analysis.

03 [7] Hazard Identification – Resolution Process

Safety Concern Forms

Employee Report of Unsafe Condition

Vehicle Operator Safety Concern Form

Chapter/Element Description

Corrective Action Identification and Tracking

Hazard Analysis

Hazard Assessment Matrix

Hazard Identification and Analysis Methodology

Hazard Resolution Methods

Potential Work Site Hazards Identification

04 [8] Accident – Incident Reporting & Investigation

Accident & Incident Policies

Accident – Incident Reporting Policy

Policy 1

Policy 2

Accident Response and Reporting Policy

Accident & Incident Reports

Accident Forms

Accident Report Form 1

Accident Report Form 2

Accident Report Form 3

Backing Accident Information

Accident or Incident Forms

Accident – Incident Report Form 1

Accident – In cident Report Form 2

Accident – Incident Report Form 3

Acciden t - Incident Rep ort Form 4

Incident Forms

Incident Report Form 1

Incident Report Form 2

Incident Report Form 3

Security Incident Recording Form

Accident & Incident Response

Accident & Incident Review

Accident and Injury Response Procedures

Dispatcher Emergency Notification Sheet 1

Di spatcher Emergency Notification Sheet 2

Incident Investigation

Incident Investi gation Form

In cident Investigation Policy and Procedures

Preventability

Accident-Incident Review to Determine Preventability

Interview Questions to Determine Preventability

Preventable Accident Analysis Form

Preventable Accidents – Injuries

Corrective Action Identification and Tracking

Employee Review of On-the-Job Accident – Incident 1

Employee Review of On-the-Job Accident – Incident 2

Employee’s Statement of Incident

Sample Post Accident Questions

Supervisor Review of On-the-Job Accident – Incident

Passenger-Client Involved

Client Incident Report

Passenger Accident – Incident Report

Passenger I.D. Form

Passenger Injury Form

Passenger Injury or Witness Form

Passenger Injury or Witness Report of Accident

Record of Injured Passenger

Safety Committee Meetings Committee

Organizing a Safety and Accident Review Committee

Safety and Accident Review Committee Guidelines

Safety Committee Minutes

Safety Committee

Vehicle Accident Prevention Committee Policy

Meetings

Monthly Safety Meeting Report

Safety Meeting Checklist

Supervisor’s Worksheet for Planning a Safety Meeting

Incident Log

Refusal of Treatment and Transportation

11 [15] Safety Data Acquisition & Analysis**

Data Collection

Employee Development and Driver Training Courses

Employee Development and Driver Training Reporting Instructions

Employee Development and Driver Training Spreadsheets

Incident Reporting Instructions

Incident Independent Spreadsheet

Memorandum – NCDOT Reporting Requirements

Safety Data Collection and Reporting

Falsification of Information Policy

Safety Data Definitions

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Chapter 6 > North Carolina Safety Resource Guide

North Carolina Safety Resource Guide

The “ Transit Bus Safety Resource Guide” - Safety Data Acquisition and Analysis page contains accident/incident databases from North Carolina and Florida, the “ Safety Data Acquisition and Analysis Guide” from the Texas Department of Transportation, and the Washington State Transit Insurance Pool Standards for Operations . This page also provides information on Traffic Accident Reconstruction Origin (TARO) , FTA‘s “ Critical Incident Management Guidelines” and training classes offered by the Transportation Safety In stitute (TSI).

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Chapter 7
INTERNAL SAFETY AUDIT PROCESS

In addition to the development of a SSPP, transit agencies are encouraged to establish an internal audit process to periodically assess that key safety elements are being addressed for the overall safety of employees and passengers of the transit agency. APTA’s Manual for the Development of Bus Transit System Safety Program Plans has a comprehensive internal safety audit process that can be tailored to transit agencies of all sizes. Following is the process developed by APTA.

26. INTERNAL SAFETY AUDIT PROCESS

System Safety is the formal process of managing a system to ensure that all identified safety elements in a given environment are in place and performing as designed. In a transit environment, it is difficult to identify any elements that are not safety-related, even if only indirectly so. Thus the Internal Safety Audit Process becomes extremely important in determining if all organizational elements, equipment, procedures and functions are performing as intended from a system safety perspective, which requires constant attention and activity.

A thorough Internal Safety Audit Process must provide top management with a mechanism for documenting the fact that key elements of the organization are performing specified functions. These organizational elements must include all key elements with identified system safety responsibilities.

26.1 Audit Responsibility

Normally the System Safety Unit of the transit system would be responsible for implementation and oversight of the Internal Safety Audit Process, however, each transit system must be able to tailor such responsibilities to its own unique organizational structure. The overriding philosophy, which must be protected regardless of structure, is the independent nature of the audit process. The unit in charge of auditing must not be the unit in charge of implementation of the items being audited.

26.2 Audit Reporting

In order for an internal audit to be effective, the results of the audit must be used for positive, all-encompassing corrective actions. This does not occur if the audit report is not an official document that is automatically provided to all appropriate levels of management. This would minimally include a departmental summary report being provided to the chief executive officer and the individual departments. Various techniques such as audit coordination meetings and management briefings can be used to make the process as unobtrusive as possible, while still providing valuable input to each department being audited as to areas of concern and possible corrective actions. It is also important to design the process so that it is construed as a positive force in the organization. While the internal audit should be as cooperative as possible, there must also be an administrative process to deal with any problems or disagreements which develop. It should be emphasized that the audit process is only a management tool that provides an opportunity for departments to demonstrate compliance, good performance and high standards as well as assistance in discovering possible problem areas. By itself it should not be considered an internal regulatory or decision making process. Final authority for all decisions always rests within the management structure as prescribed by the individual organization.

26.3 Audit Objectives And Techniques

Internal safety audits provide a mechanism for determining the effectiveness of the System Safety Program Plan and an assessment of the implementation level for Program elements.

a) The objectives of the agency’s internal safety audit program include:

• Verify safety programs have been developed/implemented in accordance with system safety program plan requirements

• Assess effectiveness of the agency’s system safety programs

• Identify program deficiencies

• Identify potential hazards in the operational system and weaknesses in the system safety programs

• Verify prior corrective actions are being tracked for closure

• Recommend improvements to the system safety program

• Provide management with assessment of status and adequacy of system safety program

• Assure continuing evaluation of safety-related programs, issues, awareness and reporting

The internal safety audit program determines compliance with an agency’s safety policies, rules, regulations, standards, codes, procedures, and assigned system safety activities and requirements as prescribed within the System Safety Program Plan.

b) The internal safety audit program encompasses all aspects of auditing including:

• Responsibilities

• Planning

• Scheduling

• Checklists

• Audit Performance

• Notifications

• Reporting

• Corrective action plans

• Closeout of findings

The safety manager usually performs the internal safety audit; however, this varies from agency to agency. The audit is performed in accordance with the System Safety Program Plan, procedures, Audit Plan, and checklist related to the safety elements to be audited. It is a process of examination of objective evidence to determine compliance with the system safety program plan, reference documents, and accepted federal, state and local criteria.

Utilizing the audit plan and checklist, the auditor evaluates data and information for compliance with the provisions of the system safety program plan and other reference documentation. This process should provide the auditor with sufficient facts and observations to identify discrepancies and provide recommendations as to corrective actions.

c) The major issues and activities involved in performing the internal safety audit include:

• Examination of documentation

• Analysis of safety data and information

• Observation of equipment, facilities and in-process tasks

• Evaluation of system operation and employee workplace

• Interviews with management and relevant staff

d) During the audit, the audit team should have authority to:

• Access records and facilities

• Issue reports

• Recommend corrective action plans

e) As part of the audit preparation, the safety mnager should request the appropriate agency and department documents for developing the list of reference documentation for the audit plan and the checklist issues. In general, sufficient information and documentation should be gathered to make a reasonable determination of the safety issues being examined. The documentation to be evaluated during the internal safety audit falls into the following types: Agency, Departmental, Inter-Agency and Historical.

Examples of departmental type documentation include:

• Maintenance procedures

• Training manuals

• Proceedings of meetings

• Equipment specifications

• Rules/regulations

• Management program plans

Examples of agency-type documentation include:

• System Safety Program Plan

• Standard Operating Procedures

• Emergency Procedures

• Configuration Management Plan

• Hazardous Materials Management Plan

• Administrative Procedures

• Rule Book

• Safety Rules

• Fire Codes

• Regulations

• Engineering Design Criteria

• Drug and Alcohol Abuse Program

• Hazard Identification Procedures

• Accident/Incident Procedure

• “As-Built” System Drawings

• Process Specifications

Examples of Inter-Agency documentation include:

• Fire and Rescue Agency Response Agreements

• Construction Safety Manual

• Contractor Safety Plan

Examples of Historical-type documentation include:

• Hazard Analysis

• Accident Investigations

• Audit Reports

• Surveys

• Test Results

• Log Books

• Files

• Maintenance Inspections/Repairs

• Material Safety Data Sheets

• Chemical Inventory

26.4 Audit Completeness

While the audit process usually relies on the concept of spot-checking of sample areas being audited for compliance with internal procedures and requirements, it should not contain any surprises or unexpected events. All departments involved need to know when audits will be conducted and how they will examine departmental documents. While ongoing inspections may be conducted on an unannounced basis, actual audits should be done on a coordinated basis, with full management support. Once general management approves schedules, all involved departments must provide absolute cooperation. The following minimum audit components must be prescribed as part of the documented audit procedure:

26.4.1

Cycle/Schedule - Audited departments must know when to expect audits. Audits must be scheduled so that they are as unobtrusive as possible. Unannounced inspections or spot audits must be approved as part of the overall audit process with concurrence of general management.

26.4.2

Checklists - A list of items to be audited must be prepared in advance. When necessary, audited departments should be given time to produce necessary documentation. This does not preclude spot check of individual records, such as maintenance records or personnel qualification records; however, the cooperative nature of the audit process must be maintained.

26.4.3

Documentation - Formal documentation of all aspects of the internal audit process must be maintained. Included in this documentation should be all necessary reports to general management and individual departments.

26.4.4

Follow-Up/Corrective Action - A summary of recommended corrective actions, if any, must be included in the audit report process. Corrective action plans approved by general management must then be formally tracked for compliance.

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Chapter 8
Conclusion

This report, using the Transit Bus Safety Resource Guide website as a resource provides state Departments of Transportation and transit systems with informational resources and examples on developing and implementing a bus system safety program plan. The report provides basic steps and the required elements needed to develop a system safety program plan . This document provides examples of how agencies of various sizes incorporate the required elements into their system safety plan. The materials are intended to be used as outline models and templates for states and transit systems in developing their safety and security programs. This report will be continued to be updated as new resources become available.

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Appendix A

System Safety Program Plans

Safety Policies & Plans

Colorado
   Colorado Safety Plan

Florida
   Pasco County SSPP

Indiana
   Indiana Safety Plan

Louisiana
   DOTD Bus Standard
   DOTD Transit Providers Model Safety Program
   DOTD Transit Provider Model Security Program
   DOTD Model Emergency Response Plan

Ohio
   Model Safety Plan

North Carolina
   Safety Resource CD
   Safety Policy Samples:
      • Sample Policy 1
      • Sample Policy 2
      • Sample Policy 3
   System Safety Program Plan Elements Rural County
      • 1 • 2

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APPENDIX B – OTHER RESOURCES

References available on the Transit Bus Safety Resource Guide Web Site

 

State Best Practices

Florida

Design Handbook for Florida Bus Passenger Facilities

http://www.dot.state.fl.us/transit/Pages/AccessingTransitHandbook.pdf

 

Florida Paratransit Maintenance Consortium

http://www.paratransit-fl.org/(2jw0dpiaogbva23cngfxvn55)/dotweb2.aspx

 

Florida RTAP Program

http://www.rtap.cutr.usf.edu/

 

Bus Transit System Safety Review Form
http://www.cutr.usf.edu/bussafety/documents/review-forms.pdf

Iowa

Iowa Office of Public Transit Manager's Handbook

http://www.iatransit.com/links/handbook/index.asp

Iowa Office of Public Transit Resources

http://www.iatransit.com/resources/resources.asp

 

Minnesota

Guidebook for Minnesota Transit Providers

http://www.dot.state.mn.us/transit/5311/index.html

Transit Safety and Security Workbook

http://www.cutr.usf.edu/bussafety/documents/MN- How to write a Safety Plan/table of contents.doc

 

North Carolina

NCDOT Public Transit Training Resource Database

http://apps.dot.state.nc.us/PTD/default.asp

 

Training Material for Resource Guide

http://www.cutr.usf.edu/bussafety/documents/safety-plan.doc·

 

System Safety Program Plan Elements

http://www.cutr.usf.edu/bussafety/documents/safety-plan.doc

Final Safety Workshop

http://www.cutr.usf.edu/bussafety/documents/safety-wrkshp.ppt

Final Safety Element Worksheet

http://www.cutr.usf.edu/bussafety/documents/safety-wrksht.doc

 

Texas

Texas Transit Safety Guidebook

http://www.cutr.usf.edu/bussafety/documents/0-4008-P1_1.pdf

 

Utah

Utah Transit Program Compliance Forms

http://www.dot.state.ut.us/index.php?m=s&q=/progdev/transit/program_compliance_forms.htm

 

Washington

Washington State Transit Insurance Pool Standards for Operations

http://www.wstip.org/services/bpfo.html

Volunteer Drivers - A Guide to Best Practices

http://www.wsdot.wa.gov/transit/vdg/default.htm

 

APTA

Manual for System Safety Program Plans

http://www.cutr.usf.edu/bussafety/documents/apta-sspp.pdf

 

 

Safety Management Audit Program

http://www.apta.com/services/safety/smap.cfm

 

FTA

FTA Drug & Alcohol Information

http://transit-safety.volpe.dot.gov/Safety/DATesting.asp

 

FTA Drug & Alcohol Testing Program

http://transit-safety.volpe.dot.gov/Publications/safety/BestPractices/BestPractices.pdf

 

TCRP

TCRP Report 66 - Practices to Reduce Bus Accidents

http://trb.org//publications/tcrp/tcrp_rpt_66.pdf

 

TCRP Report 81 - Toolbox for Transit Operator Fatigue

http://gulliver.trb.org/publications/tcrp/tcrp_rpt_81.pdf

TCRP Synthesis 13 - Risk Management for Small-Mid Transit Agencies

http://www.cutr.usf.edu/bussafety/documents/tsyn-13.pdf

 

Other

National RTAP Resource Catalog

http://www.nationalrtap.org/ResourceCatalog/MaterialsReport.asp

 

National Transit Library Transit Safety & Security Webpage

http://ntl.bts.gov/display.cfm?sub=m7&cat=13

Pre-Trip Inspection Procedures

http://www.ctaa.org/data/safetyinspect.pdf

Transit Insurance Pools

California Transit Insurance Pool

http://www.caltip.org/

 

Washington State Transit Insurance Pool

http://www.wstip.org/

Wisconsin Transit Insurance

http://www.cutr.usf.edu/bussafety/documents/rpo-trn110.pdf

 

NCHRP Digest 295 Availability and Accessibility of Liability and Excess Insurance for Public- Transit and Private Coach Operators

http://trb.org/publications/nchrp/nchrp_rrd_295.pdf

State Legislation

Florida

FDOT Legislation and Policy

http://www.dot.state.fl.us/publictransportation/policylegis.htm

 

Public Bus Safety Standards

http://www.dot.state.fl.us/publictransportation/Documents/FAC/fac14090.pdf

New York

NYS Public Transportation Safety Board

http://www.dot.state.ny.us/ts/ptsb.html

 

NYS Public Operator Information

http://www.dot.state.ny.us/pubtrans/progrequire.html

 

 

Security Core Elements

APTA

APTA Public Transportation Security Issues

http://www.apta.com/services/security/

APTA Terrorism & Public Transportation Resource Page
http://www.cutr.usf.edu/bussafety/documents/apta-terror.pdf

 

ATU
ATU Security Information

http://www.atu.org/docs/safety_security/safety_transitsecurity.html

FTA
FTA Top 20 Security Program Action Items for Transit Agencies

http://transit-safety.volpe.dot.gov/security/SecurityInitiatives/Top20/default.asp

 

FTA Public Transportation System Security Plan and Emergency-Preparedness Planning Guide

http://transit-safety.volpe.dot.gov/Publications/security/PlanningGuide.pdf

 

FTA Transit Security Design Considerations

http://transit-safety.volpe.dot.gov/security/Security Initiatives/ Design Considerations /default.asp

 

FTA-Guidance Document, Immediate Actions (IAs) for Transit Agencies- for Potential and Actual Life -Threatening Incidents

http://www.cutr.usf.edu/bussafety/documents/ias.pdf

 

FTA Critical Incident Management Guidelines

http://www.cutr.usf.edu/bussafety/documents/cim-guidelines.pdf

 

FTA Transit System Security Program Planning Guide

http://www.cutr.usf.edu/bussafety/documents/cim-guidelines.pdf

 

GAO

Challenges in Securing Transit Systems (GAO Report)
http://www.cutr.usf.edu/bussafety/documents/gao-secure.pdf

 

NCTR
Cops, Cameras, and Enclosures
http://www.nctr.usf.edu/pdf/Cops%20Cameras%20Enclosures.pdf

 

NTI
NTI Training - Workplace Safety & Security

http://www.ntionline.com/topic.asp?TopicArea=5

 

Mineta Transportation Institute

Protecting Public Surface Transportation Against Terrorism

http://www.cutr.usf.edu/bussafety/documents/terrorism-final.pdf

 

Protecting Surface Transportation & Patrons from Terrorist Activities

http://www.cutr.usf.edu/bussafety/documents/terrorism2.pdf

 

TCRP

TCRP Digest 59 - Guide to Public Transportation Security Resources

http://www.cutr.usf.edu/bussafety/documents/tcrp-59.pdf

TCRP Report 86 - Intrusion Detection for Public Transit Facilities

http://www.cutr.usf.edu/bussafety/documents/tcrp-86v4.pdf

 

TCRP Synthesis 21 - Improving Transit Security

http://www.cutr.usf.edu/bussafety/documents/tsyn-21.pdf

TCRP Synthesis 27 - Emergency Preparedness for Transit Terrorism
http://www.cutr.usf.edu/bussafety/documents/tsyn-27.pdf

 

Transport Canada

Emergency Response Guidebook 2000
http://www.cutr.usf.edu/bussafety/documents/emer-gdbk.pdf

 

TSI
TSI Transit Safety & Security Program
http://www.tsi.dot.gov/divisions/Transit/TSSP.htm

 

Washington
Washington DOT Mutual Aid Agreement
http://www.cutr.usf.edu/bussafety/documents/wdot-mutual.doc

 

Washington DOT Emergency Response Agreement http://www.cutr.usf.edu/bussafety/documents/wdot-era.doc

 

WMATA

Emergency Preparedness Information (WMATA)

http://www.wmata.com/riding/safety/emergency_preparedness.cfm

 

Training & Assistance

Transportation Safety Institute (TSI)

http://www.tsi.dot.gov/

National Transit Institute (NTI)

http://www.ntionline.com/

CTAA’s Safety Review Program

http://www.ctaa.org/training/safety/

Kansas RTAP Program

http://www.kutc.ku.edu/cgiwrap/kutc/rtap/index.php/tech

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APPENDIX C-SAMPLE SAFETY SYSTEM PROGRAM PLANS

(SSPP)
(rural) County Transportation

1. General Safety Plan Management

A. Safety Policy and Authority Statement

A county safety policy handbook that lists and describes all safety policies that pertains to county employees is located in the Transportation Coordinator’s office. A resolution to implement the Transportation System Safety Program from NCDOT and a signed safety policy statement from the County’s Board of Commissioners are attached to this plan.

B. Purpose

The responsibilities of every employee regarding safety are defined in the County Safety Policy Handbook – Section 3 Loss Control Guidelines. The policy handbook is located in the Transportation Coordinator’s office. The County’s philosophy, principles, and general rules concerning safety are outlined in the employee safety handbook. A copy is located in the Transportation Coordinator’s office.

C. Goals and Objectives

Goals are reviewed for success and updated on an annual basis at a safety planning retreat. Minutes of these retreats are kept in the Transportation Coordinator’s office. Objectives are adjusted to meet goals.

D. System Descriptions and Organizational Structure

A copy of the county and departments organizational structure is located in the County’s Human Resource Department. A system description is located in the county’s most recent Community Transportation Program grant application.

2. Plan Control and Update Procedures

The SSPP will be reviewed and updated on an annual basis. If the need arises, the plan may be revised on an as needed basis.

3. Hazard Identification

Employees are asked to report unsafe conditions and practices to their supervisors at once. Once the condition is reported, a hazard assessment is conducted (by using the hazard assessment matrix). After the assessment is completed, the condition is addressed and resolved.

4. Accident – Incident Reporting and Investigation

The procedure for employees to report an on-the job injury and/or a vehicle accident is described on page 11 and 20 in the Employees Safety Handbook. The accident investigation process with forms is detailed in Section 7 of the County Safety Policy Handbook. Both the Employee Safety Handbook and the Safety Policy Handbook are located in the Transportation Coordinator’s office.

A. Safety Committee Meetings

The County’s Safety Committee conducts a monthly meeting. Information on these meetings is located in the Transportation Coordinator’s office. The Transportation Department conducts a monthly safety meeting with employees. Documentation of these meetings are located in the Transportation Coordinator’s office.

5. Facilities Inspections

Information concerning facility inspections that include inspection forms and previous facility inspections are located in Section 2 of the County Safety Policy Handbook located in the Transportation Coordinator’s office.

6. Maintenance Audits/Inspections (all items listed may be found in the Transportation Coordinator’s office)

A. Daily Inspections

All transportation department drivers conduct a daily vehicle safety checklist on their vehicles. This includes checking the essentials of the vehicle along with the safety and accessibility equipment. A post trip inspection is not necessary because the employees are assigned vehicles and never rotate.

B. Maintenance Records (including a bi-monthly vehicle cleaning)

The county has developed a maintenance database computer program for all county vehicles. This program and information is located on the transportation department main computer.

C. Preventive maintenance

All county vehicles go to the garage for preventative maintenance at least bi-monthly or sooner if needed. A preventative maintenance checklist is used. The monthly checklist for vehicles inspected is located at the County Finance office.

7. Rules – Procedure Review

An annual report that assesses the adequacy and effectiveness of all phases of the system safety plan will be submitted to the Local Transportation Advisory Committee at one of their quarterly meetings.

8. Training and Certification Review

A. Driver – Employee Section

1. Background Check

A driver licenses and criminal check is conducted in the State of North Carolina on all potential employees. An annual check of driving records is conducted on all transportation drivers and results kept in their personnel file in the Human Resource office. If the employee will be working around small children, a criminal check is conducted before hiring and annually.

2. Medical Exam

All drivers have a pre-employment physical and must pass a pre-employment drug test before they can be hired. (we have no CDL employees)

3. Procedures

After the interview process, each driver must meet the requirements of the job description. A list of job descriptions is kept in the Human Resource office.

B. Driver – Employee Training

1. Performance Evaluation

In November, an annual performance evaluation is completed and reviewed with each employee. A copy of this review is kept in the employees personnel file.

2. Ride Clerks

The Child Development Department annually rides with the Child Development Van. A record of this is kept at the Child Development Department.

3. Child Safety

A copy of the child transportation policy is located in the folder of this plan located in the Transportation Coordinators office.

4. Employee Conduct

Proper employee conduct is outlined in the County’s Personnel Policy. A copy is located in the Transportation Coordinator’s office.

5. Passenger Behavior

A copy of the passenger van rules is located in the folder of this plan located in the Transportation Coordinator’s office.

6. Office Safety Procedures

An outline concerning office safety is listed on page 10 and 11 of the Employee Safety Handbook.

7. Training

A copy of training items covered each month is located in the Transportation Coordinator’s office.

9. Emergency Response Planning, Coordination and Training

The proper steps to take in case of an emergency are listed in the Employee’s Safety Handbook. A copy is located in the Transportation Coordinator’s office.

10. System Modification Review – Approval Process

All capital equipment for transportation is purchased through NCDOT. Any changes in the current system would be conducted by NCDOT. Procedures for capital equipment acquisition are located at NCDOT with Nancy Painter.

11. System Data Acquisition and Analysis

The Transportation Department submits on a quarterly basis a report to NCDOT, which covers Employee Development and Driver Training as well as an Incident Independent Spreadsheet. A copy of this, along with information covering reported incidents and information for the OSHA 300 Log are located in the Transportation Coordinator’s office.

12. Interdepartmental/Interagency Coordination

A Transportation Memorandum of Understanding was signed by every agency served by Transportation and was included in the 2003-2004 Section 5311 Grant. A copy of the most updated contracts between agencies served and Transportation is located in the coordinator’s office. Since Transportation is a County Department, a MOU is not needed with other County Emergency Agencies.

13. Configuration Management

The Transportation Department is not currently in the process of a new or renovating facility project. For all other equipment concerns, see element 10 of the report.

14. Employee Safety Program

A. Awards

The County gives awards for $50/month for getting a safety slogan listed on checks to $100/employee if we go 365 consecutive days without an OSHA recordable. Documentation of these programs is located in the Transportation Coordinator’s office.

B. All Other Aspects of the Employee Safety Program

They are located in the Safety Policy Handbook, the Employee Safety Handbook, or the County’s Personnel Policy. Each of these items are located in the Transportation Coordinator’s office.

15. Hazardous Material Program

A copy of the County’s Hazard Communication Policy is located in the County’s Safety Policy Handbook. A copy of this along with all MSDS is located in the Coordinator’s office.

16. Drug and Alcohol Abuse Program

(rural) County’s Transportation Department has a substance abuse policy that adheres to the guidelines issued by the Federal Transit Administration as administered by NCDOT/PTD. This policy was approved by the County’s Board of Commissioners on May 12, 2003. A copy of the policy along with training documentation is on file in the Transportation Coordinator’s office. The program is administered by the County’s Human Resource Department. A copy of the results along with all forms and logs are kept under lock in the Human Resource Department.

17. Contractor Safety Coordination

The County’s Social Services Department contracts with the local cab company for Medicaid transportation. The Transportation Department coordinates the transportation between the cab and the clients, but the contract is between DSS and the Cab.

18. Procurement

(rural) County goes by the NCDOT procurement procedure.

19. Alternate Fuels and Safety

(rural) County Transportation does not use alternate fuels at this time but would like to leave this element open for future reference.

20. Operating Environment and Passenger Facility Management

(rural) County Transportation does not use any buses or conducts roadway inspections but would like to leave this element open for future reference.

21. Security

All aspects of the security program are outlined in the County’s Employee Safety Handbook and the County’s Safety Policy Handbook. Both are located in the Transportation Coordinator’s office.

22. Internal Safety Audit Process

The County’s Transportation Department will conduct an annual system safety audit and submit it with the annual report outlined in element 7 of this report. The audit form to be used is the one listed in the System

Example 2
FLORIDA
RURAL TRANSIT AGENCY

System Safety Program Plan
May 2002

I. Statement of Safety Policy:

This System Safety Program Plan (SSPP) is (Agency Name) commitment to provide a safe and efficient transportation system for all transportation users in Rural County. The purpose of the SSPP is to ensure that (Agency Name) continues to develop departmental regulations, maintain those mandated by local, state, and federal agencies and to assure compliance of all existing safety regulations.

As the Community Transportation Coordinator, (Agency Name) shall strive to operate as safely as possible. All personnel and appropriate contractors are charged with the responsibility of ensuring the safety of passengers, employees, property, and all of those who come in contact with the system. This responsibility includes the right to cease any operation(s) which is determined to be hazardous or creating an unsafe condition.

It is the duty and obligation of each employee to provide any requested information necessary to ensure the safest possible transportation services to the residents of Rural County.

II. Introduction and Purpose:

The SSPP outlines the established functions, responsibilities, and obligations that shall be complied to as well as those that shall be implemented in an effort to establish, increased levels of safety. The SSPP shall allow for improved communication, documentation, and coordination within the entire system to decrease injuries, property damage, and delays in service. The SSPP applies to all aspects of (Agency Name) services including design, procurement, administration, operations, and maintenance. The SSPP is updated annually.

III. Goals and Objectives:

The overall goal of (Agency Name) is to provide transportation services in a safe, reliable manner, and reduce costs associated with accidents. The objectives for attaining the safest operating conditions and environments are as follows: In the effort to attain this goal (Agency Name) will identify unsafe conditions and develop methods to eliminate or control those hazards that could cause unsafe conditions. The most effective solutions to control hazards will be determined in an effort to eliminate any estimated losses as a result of the hazard. These objectives shall be applied to all aspects of the system in reducing accidents and all employees shall be trained accordingly.

IV. Regulatory Agencies

State law requires (Agency Name) to develop a transit system safety program plan that complies with state minimum equipment and operational safety standards. It is the intent of (Agency Name) to comply with these standards and to certify that it is operating within its SSPP. Any (Agency Name) operation(s) that poses an immediate danger to public safety shall be suspended.

(Agency Name) shall comply with the procedures established, within those Florida laws governing transportation. (Agency Name) will inspect all equipment operated in accordance with the established standards and will certify compliance to The Department of Transportation.

V. System Description:

(Agency Name) was created in 1970, as a department inside Community Services, Inc., in response to an identified need to have transportation for the elderly and transportation disadvantaged.

Initially, part-time services were offered in A and B County using one van. Some months later a second van and driver were added and services expanded to include other agencies. In time, Community Services was offered accepted the role of designated provider in A County. Resources were assigned to A County exclusively and services were offered three days a week. As of January 1, 1988, (Agency Name) has arranged for or personally provided all transports for Transportation Disadvantaged citizens in A County.

Today, (Agency Name), as the Community Transportation Coordinator, provides or arranges non-emergency services for elderly, the economically disadvantaged, Medicaid, the physically or mentally challenged and the General Public. Everyone with the need can access (Agency Name)'s system.

Today priorities are given to medical appointments as 90% of requests are medical. Shopping, educational and work trips are performed on seat available basis.

Fare-box fees are based on economic ability to pay. Clients apply for funding assistance through an application process. Clients who complete an application and are above 100% Federal Poverty Guidelines pay $3.00 per one way trip. Clients who complete an application and are below 100% Federal Poverty Guidelines pay $1.00 per one way trip. Clients who do not want or do not complete an application are considered General Public clients pay $5.00 per one way trip.

Today's services are provided through a geographical assignment of vehicles based on current trip demand history. Scheduling requires twenty four hour advanced notice and vehicles multi-load medical, shopping, education and work force clients in a time certain pickup and drop off system. Vehicles start picking Monday through Friday at 8:00 A.M. and guaranteed delivery times are 10:00, 12:00 and 2:00, anywhere in the county. The last or latest return available in the Transportation System is 3:30.

Public transportation today is essential to the residents of A County. A County is largely populated with retirees who need public transportation to meet the basic living requirements. (Agency Name) currently provides over 4,000 trips each month for residents of A County. (Agency Name) offers a low cost means of transportation, with the availability for all residence county wide to access services for medical, shopping, educational and work purposes.

VI. System Safety Management:

The Transportation Director: is ultimately responsible for the implementation, maintenance and update of the SSPP. Safety related responsibilities for all areas of (Agency Name) are assigned to designated employees or individuals of the operation or maintenance sections. The system Coordinator and Safety Supervisor has the responsibility for system safety both on site and drivers to include vehicles. The Transportation Director shall review and monitor contractors service for compliance with all phases of the SSPP. (See System organizational chart on page 10) A. Operations and Driving Requirements

The Coordinator and Safety Supervisor shall be responsible for pre-employment qualifications for drivers, proof of valid licenses, records of licenses, training and testing, driver's work periods, driving hours, and medical examination requirements. Operational rules and procedures shall be in compliance with state law and all newly-employed drivers shall be instructed on such rules and procedures.

Drivers shall not drive more than 12 hours in any one 24-hour period, or drive more than 70 hours in any period of seven consecutive calendar days. Drivers shall have a minimum cumulative off-duty time of eight hours within anyone 24-hour period. The maximum allowed driving hours may be increased if the hours are necessitated by adverse conditions.

Driver training shall follow those guidelines established within the "(Agency Name) Driver Training and Safety Manual" (see appendix A). The "(Agency Name) Driver Training and Safety Manual" is updated as needed and kept available in the office. The manual establishes well defined written instructions and safety procedures for all drivers. A file shall be maintained on each employee to ensure proper documentation of all driving records, incidents, and safety concerns.

All (Agency Name drivers shall be responsible for the following. Documents of reports will be kept on site in the operation center:

* reporting any notice of license suspension, cancellation, or revocation, by the end of the business day following the day notice is received.
* reporting any condition(s) resulting in impaired driving ability: weather, road, traffic conditions or medical emergencies and disasters.
* completion of daily inspections and documentation- completion of "Daily Operations Report" (see appendix B). Kept on file in the operations section.
* providing interior lighting for passengers boarding and exiting, if a bus is in operation during darkness
* not permitting passengers to remain in the step wells while in motion; to occupy any area forward of the marked standee line; or to remain standing on any bus without standee provisions
* not refueling buses in a closed building or while passengers are on board .
* securing him/herself by the driver's restraining belt while operating the bus.
* not leaving buses unattended for any extended period of time
* stopping at railroad crossings
* assuring that all emergency exit doors operable by a key are unlocked during passenger operations
* proper lighting of wheelchair lifts when in use during darkness.
* proper securing of wheelchair passengers in appropriate positions while in motion

B. Maintenance

Daily Inspection

A daily inspection shall be made by the driver prior to and following use and appropriate documentation maintained:
"Daily Operations Report" (see appendix B).

The Inspection includes an examination of the following items:

lights/signals/flashers
horn
wipers
tires and wheels
mirrors
doors
exhaust system
steering
brakes: parking, service
emergency equipment: first aid kit, fire extinguisher
gauges
radio
seat belt
cleanliness: inside, outside
wheelchair lift equipment
fluids*

*fluids are checked at least weekly and filled if necessary A "Daily Operations Report" shall be completed and turned in daily for each bus in use. Drivers shall report any mechanical problems which may constitute a hazard and not drive a vehicle if the safety of the vehicle is questionable. All files will be kept in Coordinators office.

Preventative Maintenance
Vehicles are scheduled with mechanic for preventative maintenance in accordance with D.O.T. specifications on a quarterly basis or 3,000-4,000 miles whichever comes first. Preventative maintenance is conducted in order to maintain vehicles in a manner to conform with safety regulations and to ensure that all vehicles are properly equipped with all required parts and accessories in good, safe working condition. These quarterly services include changing all fluids and filters, inspecting for tire wear, brake wear, and oil leaks.

Proper documentation of services performed are recorded by Mechanic and verified and maintained by Transportation Coordinator. All preventative maintenance and repair actions shall be documented and include positive means of bus maintenance or inspection. Officers or persons designated by the Department of Transportation shall be permitted to perform system reviews for compliance with state law.

C. Accidents

(Agency Name) shall maintain a comprehensive accident procedure, reporting, evaluation, and record maintenance system. All accidents are to be reported to the transportation office immediately (as outlined in (Agency Name)" Driver's Training Manual") and an "Incident/Accident Report" must be completed (see Appendix C). Any accident involving a fatality shall be reported to the Department of Transportation district office and a written report made on such accidents and submitted to the DOT district office within 30 days after the accident occurs. All accidents shall be reviewed by Transportation Director Coordinator to determine the nature, cause(s) and to determine what actions or procedures should be implemented to prevent any reoccurrence. It is the responsibility of (Agency Name) management to review all accidents to determine future preventative measures. (Agency Name) Management will evaluate and determine contributing factors to determine/recommend preventative procedures.

D. Equipment and Devices

All vehicles operated by (Agency Name) shall be equipped with all safety equipment necessary and required by Florida law. It is mandatory that all new equipment procured will be specified to include all required safety equipment, at a minimum. This equipment shall include that for transporting wheelchair bound passengers.

Equipment Maintenance:

The following minimum equipment on each bus shall receive a safety inspection for compliance with Florida Law This equipment shall be inspected as a part of preventative maintenance and/or when attention is required:

Horn	Door/Interlock Devices
Windshield wipers	Stepwells and flooring
Mirrors	Emergency exits
Wiring/Battery	Tires and wheels
Service/Parking brakes	Suspension system
Warning devices	Steering system
Directional signals	Exhaust system
Hazard warning signals	Seat belts
Lighting system	Safety equipment
Signaling devices	Wheelchair transport equipment
Handrails and stanchions

E. Safety Inspections

Safety inspections shall include, at a minimum, the equipment and devices required by Florida Law. Management shall assign personnel in vehicle maintenance to perform safety inspections, or conduct inspections with an entity or person(s) qualified by (Agency Name). Safety Inspections shall be documented and maintained in a file that is readily available for periodic review by the D.O.T. Law enforcement officers or persons designated by the Department of Transportation shall be permitted to perform system reviews for compliance with Florida Law.

VII. System Safety Tasks and Implementation

Tasks

The primary task for ensuring the safest operations for (Agency Name) is to properly identify and assess possible hazards or conditions that could result in accidents. The method of identifying, analyzing, assessing and resolving causes of accidents is done by all sections or areas of the system and all available information and resources. Strong efforts shall be made toward remedies for the more severe hazards that result in accidents. Assessment of hazards shall result in resolution by either minimizing the hazard, or making the hazard acceptable by the use of safety devices and/or new or improved procedures. Safe operations and a reduction in hazards are accomplished by proper and adequate training for new employees and refresher training courses for existing employees. Random inspections of operational functions shall be made by management to identify hazards not normally identified in day to day activities.

Implementation

The requirements of this SSPP shall be implemented upon completion. It is the responsibility of System Management, Transportation Director and Coordinator, to maintain, annually update, and make the necessary revisions to the SSPP on a required basis. The plan shall also be submitted to DOT for review and to determine compliance with Florida law.

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