FTA BUS SAFETY SECURITY PROGRAM TRANSIT SAFETY, SECURITY, and EMERGENCY PREPAREDNESS PRESENTATION CalACT Spring Confe

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 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. 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 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. 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. 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 Working Group Make-up

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

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

33. 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 Sub-elements of Management

34. 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 Sub-elements of Management

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

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

37. 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 Sub-elements of Management

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

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

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

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

43. 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 Sub-elements of Equipment / System Operations / Maintenance

44. 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 Sub-elements of Equipment /System Operations / Maintenance

45. 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 Sub-elements of Equipment / System Operations / Maintenance

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

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

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

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

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

51. AGENCY POLICIES & PROCEDURES Personnel policy Operations policy Driver handbook Customer service policy All policies disseminated & signed for Personnel file confidentiality Sub-elements of Human Resources

52. DRUG & ALCOHOL PROGRAM Access to all federal regulations Drug & alcohol policy compliant Drug & alcohol testing compliant Drug & alcohol collection & MRO compliant Substance abuse training Reasonable suspicion training Contractors monitored for compliance Drug & alcohol program files locked Prescription/OCT medication addressed Sub-elements of Human Resources

53. WORKPLACE VIOLENCE Workplace violence prevention program Workplace violence training Employee assistance program or other counseling Sub-elements of Human Resources

54. WELLNESS / FITNESS FOR DUTY Formal plan for employee wellness/fitness Fatigue management issues training / monitored Driver medical examinations required at hire Driver medical exams required periodically Fitness for duty evaluations utilized, if necessary Sub-elements of Human Resources

55. RECRUITMENT, SELECTION & RETENTION Safety/security responsibilities within job functions Job descriptions reviewed / updated periodically Targeted recruitment Formal employment / screening process Employment application information verified Structured interview process documented Driver license checks at hire and annually thereafter NCI checks performed at hire Employee commendation / incentive programs Formal annual evaluations conducted Coaching, counseling, retraining, discipline documented Behind the wheel evaluations performed / documented Sub-elements of Human Resources

56. TRAINING MANAGEMENT & DOCUMENTATION Comprehensive training needs analysis Training / development plan Initial / refresher training efforts funded Training records complete / comprehensive Sub-elements of Human Resources

57. TRAINING DELIVERY Formally trained full / part-time agency trainers Lesson plans / curriculum Prepackaged training modules Drivers trained on reacting to dangerous passengers Drivers trained on reacting to vehicle fires Documented orientation on all vehicle prototypes Dispatcher/mechanics/supervisor appropriate training Drivers trained on: Pre/post trip inspections - Communication protocols Defensive driving - Bio-hazards Passenger sensitivity/assistance - Emergency procedures Security awareness / response Sub-elements of Human Resources

58. RETRAINING & REFRESHER TRAINING On-going & refresher training plans Drivers re-trained based on performance issues All training/retraining documented Sub-elements of Human Resources

59. RULES / PROCEDURES REVIEW Safety/security policies periodically reviewed Timely employee orientations on revised policies Sub-elements of Human Resources

60. Elements of Safety Activities Excellence Roles & Responsibilities Hazard Management Accident Reporting, Investigation & Review Safety Data Acquisition & Analysis Internal Safety Audit & Review Process Contractor Safety Audits

61. ROLES & RESPONSIBILITIES Clearly identified safety priorities / strategies Safety records used to establish priorities Safety roles / responsibilities identified Periodic & documented safety meetings Sub-elements of Safety Activities

62. HAZARD MANAGEMENT Formal process for identifying safety risks Safety risks analyzed for impact Risk reduction activities formalized / prioritized Safety risks & impact formally documented Protocol for receiving info on weather / hazards Sub-elements of Safety Activities

63. ACCIDENT REPORTING, INVESTIGATION & REVIEW Formal vehicle accident guidelines / protocols Formal passenger incident guidelines / protocols Formal employee accident/incident guidelines/protocol Trained on written accident investigation procedures Accident/incident report forms Document accident/incident probable cause Accidents/incidents reviewed for proper action taken Accidents/incidents evaluated to reduce re-occurrence Preventable/non-preventable determination documented Employee responsibility assigned on preventable Sub-elements of Safety Activities

64. SAFETY DATA ACQUISITION & ANALYSIS All safety related data collected / recorded Data includes accidents/incidents/near misses Importance of reporting data emphasized Safety related data periodically analyzed for trends Use safety trends to determine proactive measures Sub-elements of Safety Activities

65. INTERNAL SAFETY AUDIT & REVIEW PROCESS Documented periodic facility inspections Documented periodic internal safety audits Action plans to improve safety performance Sub-elements of Safety Activities

66. CONTRACTOR SAFETY AUDITS Periodic / documented contractor safety audits Deficiencies reviewed for corrective action Sub-elements of Safety Activities

67. Elements of Security Activities Excellence Threat & Vulnerability Assessment Security Awareness & Reporting Revenue Facilities & Procedures Vehicle Storage & Transit Facility Protection Security Data Acquisition & Analysis Internal Security Audit Process Contractor Security Audits

68. THREAT & VULNERABILITY ASSESSMENT Completed Threat & Vulnerability Assessment Documented Critical Asset Analysis Threat information shared with law enforcement Employees provide input on security threats Emergency management provides input on threats Documented strategies to reduce vulnerabilities Sub-elements of Security Activities

69. SECURITY AWARENESS & REPORTING Vehicles inspected for suspicious items Trained on how to report / react to security threats Protocol to report in-service security emergencies Transit Watch Program Security awareness materials distributed Frontline employees receive BOLO notices Vehicles kept under driver control at all times Employee photo ID badges Bomb threat protocols Computer security Sub-elements of Security Activities

70. REVENUE FACILITIES & PROCEDURES Written security protocols for revenue handling Secure revenue handling area Sub-elements of Security Activities

71. VEHICLE STORAGE & TRANSIT FACILITY PROTECTION Local security standards for vehicle storage Local security standards for facility security Facility access controlled Uniformed law enforcement visible deterrence Sub-elements of Security Activities

72. SECURITY DATA ACQUISITION & ANALYSIS Security data collected / recorded Data includes actual events / perceived threats Good communication with law enforcement Good communication with emergency management Homeland Security Information Network � Transit Data periodically reviewed for trends Identified trends determine proactive measures Sub-elements of Security Activities

73. INTERNAL SECURITY AUDIT PROCESS Periodic internal security audits Periodic internal security exercises Sub-elements of Security Activities

74. CONTRACTOR SECURITY AUDITS Periodic security related performance audits Contractor deficiencies reviewed / corrective action Sub-elements of Security Activities

75. Elements of Emergency/All Hazard Management Excellence Preparation Incident Management Recovery Coordination with Emergency Responders Drills, Simulations & Exercises

76. PREPARATION Formal SSEPP All-hazard emergency response protocols Protocols shared with external stakeholders Employees trained on protocols Written protocols for drivers/dispatchers/supervisor Agency resource capabilities / emergency management Reviewed community emergency management plan Agency call down lists to key external stakeholders Established triggers for service shutdown Sub-elements of Emergency / All Hazard Management

77. INCIDENT MANAGEMENT NIMS certified � managers/supervisors Incident command training / frontline employees Employees trained on reacting to IEDs Externals trained on agency vehicle operation & lifts Emergency radio protocols established Alternative emergency communication protocols Formal internal notification system Emergency information dissemination policy Sub-elements of Emergency /All Hazard Management

78. RECOVERY Post incident recovery strategy Formal after action reports on emergency events Prepared to document vehicle/staff use Sub-elements of Emergency /All Hazard Management

79. COORDINATION WITH EMERGENCY RESPONDERS Strong relationship with emergency management Strong relationship with local fire/police/EMS Staff trained by law enforcement/fire personnel Assists in identifying transit dependent individuals Transit staff attends LEPC meetings Sub-elements of Emergency /All Hazard Management

80. DRILLS, SIMULATIONS & EXERCISES Agency vehicles support community exercises Participate in community emergency simulations Agency internal emergency drills held Evaluate / document performance in all exercises Sub-elements of Emergency / All Hazard Management

81. STEPS FOR IMPLEMENTATION OF FTA BUS SAFETY & SECURITY PROGRAM EXCELLENCE ELEMENTS

82. Steps for Implementation Using self-assessment instrument, evaluate agency safety, security & emergency preparedness: Strengths Gaps and needs Prioritize gaps & needs to establish practical & flexible action plan based on: Criticality of identified gaps / needs Impact of gaps/needs on employees, passengers, community Reality of hazards, risks, threats within operating environment Limitations of budget, staffing, resources Utilize FTA Program website to download resources that assist filling gaps & needs

83. Build action plan utilizing web resources that fill prioritized gaps & needs to create: New plans, policies and procedures New operating and maintenance protocols New documentation templates New employee training programs New human resource management practices New relationships with external stakeholders Carry out action plan, monitor progress, reengineer approach, as may be necessary Steps for Implementation

84. THANK YOU VERY MUCH AND KEEP UP THE GREAT WORK