FTA BUS SAFETY & SECURITY PROGRAM

1. FTA BUS SAFETY & SECURITY PROGRAM TRANSIT SAFETY, SECURITY, and EMERGENCY PREPAREDNESS PRESENTATION CalACT Spring Conference 2009 Presenter: Ream Lazaro

2. Overview of the FTA Transit Bus Safety & Security Program Federal Transit Administration Office of Program Management Office of Safety and Security

3. Program BACKGROUND “How did the program evolve?” • History of Bus Program • NTSB Recommendations to US DOT • Initial Model Program Development • Difficulties with Initial Model Program • New Bus Program Initiative

4. Specific NTSB Recommendations to US DOT • Develop & implement oversight program to assess & ensure safety of transit bus operations that receive Federal funding (H-98-43) • Collect accurate, timely, sufficient data so thorough assessments can be made relating to transit bus safety (H-89-44) • Evaluate collected data to identify underlying causes of transit bus accidents which lead to identification of safety deficiencies at transit agencies (H-98-45) • Develop, in cooperation w/ APTA, CTAA, & AASHTO, model comprehensive safety program(s) & provide to all transit agencies (H-98-46)

5. Initial Model Program Development • Memorandum of Understanding for Model Program Development (H-98-46) was signed by FTA & APTA, CTAA, AASHTO • A Model Program was drafted which set forth “core” & “enhanced” program elements

6. Difficulties with Initial Model Program • Single model developed for all transit agencies regardless of size or operating characteristics & “one size” did not fit all • Core & enhanced elements of Model were difficult for transit systems to interpret & apply to their individual operating realities • Coordination with & involvement of State DOTs in addressing Model Program implementation for small urban & rural transit agencies was limited • Model Program never moved out of draft stage

7. New Bus Program Initiative • FTA re-birthed & re-energized its Transit Bus Model Program in 2005 • Established Working Group of MOU partners & industry stakeholders to assist in Program design/development • Renamed program “FTA Transit Bus Safety and Security Program” since no single ‘model’ will be offered

8. New Program Initiative cont’d New Bus Program Initiative • New Program tasked with providing voluntary guidelines for safety, security & emergency preparedness that are flexible & beneficial to all size transit agencies • New Program is dynamic, ongoing & designed to be responsive to changing needs in the transit safety & security environment • New Program is focused on needs of rural & small urban transit while still embracing larger bus agency mission

9. Program FOUNDATION “What is the Program infrastructure?” • Scope of New Program • Program Building Blocks • Make up of Working Group • Responsibilities of Working Group • Program Guideline Elements • Technical Assistance Info Database

10. Scope of New Bus Safety & Security Program • Establish Working Group of MOU partners & key stakeholders • Research bus transit industry safety, security & emergency preparedness needs • Develop guidelines for bus safety, security & emergency preparedness excellence • Identify safety/security gaps between guidelines & existing performance within small, medium, large transit operations

11. Scope of New Bus Safety & Security Program Program Scope cont’d • Collect and/or develop technical assistance information/materials to fill identified safety/security gaps • Create mechanisms for agencies to access technical assistance information • Monitor Bus Transit Safety & Security Program outcomes on ongoing basis & re-engineer needs, guidelines & technical assistance information as necessary

12. Bus Program Building Blocks Bus Program Building Blocks • Utilize Working Group to assist in creation of general template for safety, security & emergency preparedness activities involving transit systems of varying sizes & operating characteristics • Create set of comprehensive & flexible guidelines for elements that individual transit agencies should address in their safety, security & emergency preparedness programs • Create questionnaire for identifying best practices & gaps during voluntary on-site reviews of individual transit agency safety, security & emergency preparedness activities

13. Bus Program Building Blocks Building Blocks cont’d • Research existing transit operation materials including policies, procedures, protocols, forms, handbooks, lesson plans, other technical assistance materials to identify useful templates • Utilize Working Group to provide input on technical assistance material review & selection • Develop new technical assistance materials to fill gaps identified when researching existing industry materials • Construct information technology mechanism to house technical assistance materials & allow access to materials by transit providers

14. Working Group Make-up • MOU Partner representatives including APTA, CTAA, AASHTO • Representatives from small, medium, large bus transit agencies • Representatives from State DOTs • Representatives from Federal partners, including Transportation Security Administration (TSA), Federal Highway Administration (FHWA), National Rural Transit Assistance Program (NRTAP) • Other key industry stakeholders

15. Working Group Responsibilities • Provide input to FTA on Bus Safety & Security Program design & implementation • Assist in identification & screening of technical assistance material • Assist in outreach & delivery of Bus Safety & Security Program initiatives

16. Bus Safety & Security Guidelines Elements of Bus Safety & Security Excellence • Management • Equipment, Systems Operation and Maintenance • Human Resources • Safety Activities • Security Activities • Emergency / All-hazards Management

17. Creation of Technical Assistance Database Purpose Build & continuously update collection of transit industry safety & security best practices including policies, procedures, protocols, forms, handbooks, lesson plans, other technical assistance materials that can be used to fill individual agency gaps based on identified need Process Based on Guideline of Elements for Safety, Security & Emergency Preparedness Excellence Research, review, select & categorize existing transit industry technical assistance materials from all available sources. Develop new materials where no appropriate existing materials are identified.

18. Program DELIVERY “How is the Program accessed” • Voluntary On-site Reviews • Self Assessment Tool • Web Site Resource Library • Workshops, Training & Outreach • State DOTs • Transit Associations

19. Voluntary On-Site Reviews Voluntary On-site Reviews • Solicit volunteer transit agencies of varying sizes, operating characteristics & locations to participate in on-site reviews • Conduct on-site review of volunteer agency safety, security & emergency preparedness activities using assessment questionnaire as catalyst for discussion • Develop post-site review report identifying agency best practices & gaps. Include recommendations for improvement. • Provide technical assistance materials to agency from Program resource library as may be appropriate / helpful

20. Self Assessment Tool • Consistent with on-site review findings, define categories of transit agency activity in safety, security & emergency preparedness that lead to performance excellence • Create on-line assessment instrument, based on defined categories, for individual transit agencies to identify their safety, security & emergency preparedness best practices, gaps, needs.

21. Self Assessment Tool • Link post-self assessment identification of gaps/ needs to appropriate web site resource library materials to assist agency in filling those gaps / needs. • Encourage transit agencies, in lieu of on-site review, to utilize this tool as mechanism for achievement of safety, security & emergency preparedness excellence.

22. Web Site Resource Library • Create web site for electronic access of technical assistance information of transit safety, security & emergency preparedness best practices. • Construct “log on” methodology to capture individual transit system operational characteristic baseline information. • Assign password for ongoing agency access to web site resource library.

23. Web Site Resource Library Web Site Library cont’d • Direct transit agencies to web site Self Assessment Tool to complete a safety, security & emergency preparedness self assessment. • Link post-assessment results to technical assistance materials to assist filling gaps/needs identified during self assessment process. • As best practices/needs in transit industry evolve, continuously add to, update, develop Web Site Resource Library technical assistance materials, including policies, procedures, protocols, forms, handbooks, lesson plans, other appropriate / helpful information.

24. Workshops, Training and Outreach • Held State DOT Invitational Workshop. Other attendees - FTA headquarters/regional staff, Working Group members, other key industry stakeholders. • State regional workshops co-hosted by FTA & state DOTs to orient all state transit agencies on FTA Program. • Develop / deliver regional specialized training workshops for appropriate transit agency staff on high priority safety, security & emergency preparedness topics. • Aggressively pursue opportunities for outreach to transit industry on bus transit safety, security, emergency preparedness concerns

25. Communication Paths for Program Success Program success depends on timely, effective & pro-active communication between: • Internal FTA elements & staff • FTA & other federal agencies • FTA & state DOTs • FTA & 5307 grant recipients • State DOTs & 5311 grant recipients • FTA, MOU Partners, Working Group, other key stakeholders

26. Beneficiaries of FTA Bus Program • Individual transit agencies Program provides mechanism to evaluate current safety, security & emergency preparedness activities; identify gaps/needs; access technical assistance to meet gaps/needs to improve mission accomplishment • Transit employees Program provides resources to assist in enhancement of individual technical skill sets & safety, security & emergency preparedness professionalism • Transit passengers Program assists in decreasing operational safety risks to passengers while enhancing their security when using transit • Communities transit serves Program emphasizes importance of transportation readiness to respond to community emergencies; provides tools for carrying out that response

27. Beneficiaries of FTA Bus Program • FTA and US Dept. of Transportation Program meets NTSB recommendations & encourages achievement of safety, security & emergency preparedness excellence within framework of nationally standardized guidelines • Department of Homeland Security (DHS) & other Federal agencies Program provides mechanism for FTA to partner with other federal agencies • State DOTs Program provides guidance/support to state DOTs to assist in elevating level of safety, security & emergency preparedness of bus transit agencies in their state • Transit associations Program provides template for associations n designing safety, security & emergency preparedness conference /workshop presentations & technical assistance activities

28. Elements of Safety, Security & Emergency Preparedness Excellence TRANSIT BUS SAFETY AND SECURITY PROGRAM FTA Transit Bus Safety and Security Program

29. Key Functions in Safety, Security & Emergency Preparedness • Management • Equipment and Systems Operations and Maintenance • Human Resources • Safety Activities • Security Activities • Emergency / All Hazards Management

30. Elements of Management Excellence • Management Commitment • Mission, Goals and Objectives • Organizational Structure • Safety Plan Development • Security Plan Development • Procurement Strategies • Contractor Management • Insurance • Labor / Management Relations

31. Sub-elements of Management MANAGEMENT COMMITMENT • Formally defined & expressed • Key stakeholders involved in decision making • Approved plans & procedures • Input from employees, customers, community

32. Sub-elements of Management MISSIONS, GOALS & OBJECTIVES • Safety & security captured in mission statement • Safety & security goals/objectives established • Goals/objectives communicated to employees • Goals/objectives achievement monitored

33. Sub-elements of Management ORGANIZATIONAL STRUCTURE • Management & employee roles defined • Internal liaison for external contact identified • Individuals tasked with safety and security • Written job descriptions define roles • Culture of open communication exists • Safety & security complaints documented

34. Sub-elements of Management SAFETY PROGRAM DEVELOPMENT • Approved written safety plan • Internal stakeholders input into plans & procedures • Plans/procedures shared with external stakeholders • Safety plans/procedures reviewed/revised periodically

35. Sub-elements of Management SECURITY PROGRAM DEVELOPMENT • Approved security/emergency preparedness plan • Security plans coordinated with law enforcement • Plans coordinated with emergency management

36. Sub-elements of Management PROCUREMENT STRATEGIES • Safety and security included in strategies • Safety/security concerns communicated to State DOT

37. Sub-elements of Management CONTRACTOR MANAGEMENT • Formal contracts executed • Language addresses safety, security, training • Language addresses federal/state requirements • Contracts specify penalties for non-achievement • Mechanisms to ensure compliance

38. Sub-elements of Management INSURANCE • Safety/security activities impacting costs identified • Coverage of resources used in community emergencies

39. Sub-elements of Management LABOR / MANAGEMENT RELATIONS • Positive relationship on safety/security concerns • Employee input on hazards & threats • Mandatory safety & security rules defined

40. Elements of Equipment & System Operations & Maintenance Excellence • Regulations & Standards • Safety & Security in Design, Acquisition & Procurement • Passenger & Operator Related Safety Concerns • Maintenance Planning & Guidance • Maintenance Procedures • Operations & Maintenance Performance Measures • Maintenance Records & Documentation • Hazardous Materials Program • Radio / Communication Equipment

41. Sub-elements of Equipment / System Operations / Maintenance REGULATIONS & STANDARDS • Access to federal guidelines/requirements • Access to state guidelines/requirements

42. Sub-elements of Equipment / System Operations / Maintenance SAFETY & SECURITY IN DESIGN, ACQUISITION, PROCUREMENT • Safety/security considered in design/construction • Employee input into facility/vehicle safety/security • OSHA type compliance monitored

43. Sub-elements of Equipment / System Operations / Maintenance PASSENGER & OPERATOR RELATED SAFETY CONCERNS • Policies on: • refusal of service • passenger oxygen tanks • passenger emergencies • bloodborne pathogens • service animals • wheelchair securement • weight capacity for lifts

44. Sub-elements of Equipment /System Operations / Maintenance MAINTENANCE PLANNING & GUIDANCE • Vehicle maintenance consistent w/accepted practices • Written vehicle maintenance plan • Facilities maintained consistent with safety/security • Individual tasked with vehicle maintenance oversight

45. Sub-elements of Equipment / System Operations / Maintenance MAINTENANCE PROCEDURES • Standardized documentation exists • Preventive maintenance meets vendor recommendation • Vehicle defects documented on form • Procedure exists for pulling vehicle out of service • Documented pre/post trip inspections are required • Vehicles equipped with basic safety equipment • Alternative fuel vehicles maintained per guidelines

46. Sub-elements of Equipment / System Operations / Maintenance OPERATIONS & MAINTENANCE PERFORMANCE MEASURES • Maintenance performance measures utilized • Operations performance measures utilized • Supervisor/ghost rider on-board audits

47. Sub-elements of Equipment / System Operations / Maintenance MAINTENANCE RECORDS & DOCUMENTATION • Hard copy vehicle maintenance files • Maintenance recording & tracking system

48. Sub-elements of Equipment / System Operations / Maintenance HAZARDOUS MATERIALS PROGRAM • Formal hazmat inventory • MSDS sheets • Approved plan for hazmat disposal • Employees trained on hazmat use / storage • Approved plan for hazmat emergencies

49. Sub-elements of Equipment / System Operations / Maintenance RADIO / COMMUNICATION EQUIPMENT • Dispatcher/manager on duty all service hours • Redundant communication • Access to emergency response channels

50. Elements of Human Resources Excellence • Agency Policies & Procedures • Drug & Alcohol Program • Workplace Violence • Wellness / Fitness for Duty • Operator / Employee Recruitment & Selection • Training Management • Training Delivery • Retraining & Refresher Training • Rules / Procedures Review