Agenda 05/12/2020 Item #16D 5 (CAT FTA Safety Plan)05/12/2020
EXECUTIVE SUMMARY
Recommendation to approve Collier Area Transit (CAT) Public Transportation Agency Safety
Plan (PTASP) in accordance with Final Rule 49 C.F.R. Part 673 requirements.
OBJECTIVE: To maintain compliance with Federal Transportation Administration (FTA) grant
requirements.
CONSIDERATIONS: On July 19, 2018, the FTA published the PTASP Final Rule, which requires
certain operators of public transportation systems that receive federal funds under FTA's Urbanized Area
Formula Grants to develop safety plans that include the processes and procedures to implement Safety
Management Systems (SMS). The PTASP regulation implements a proactive, risk-based approach to
managing transit safety and requires recipients and subrecipients of financial assistance under the
Urbanized Area Formula Program (49 U.S.C. Section 5307) to have an Agency Safety Plan in place no
later than July 20, 2020.
Each safety plan is required the include several components including:
• The documented processes of the agency’s SMS, including the agency’s Safety Management
Policy and processes for Safety Risk Management, Safety Assurance, and Safety Promotion;
• An employee reporting program;
• Performance targets based on the safety performance measures established in FTA’s National
Public Transportation Safety Plan (NSP);
• Criteria to address all applicable requirements and standards set forth in FTA’s Public
Transportation Safety Program and the NSP; and
• A process and timeline for conducting an annual review and update of the safety plan.
The FTA established a PTASP Technical Assistance Center to help agencies develop the plan and ensure
that all requirements are met. Collier Area Transit (CAT) utilized the assistance center throughout the
process and provided a draft of the plan for their review. The plan being presented to the Board of County
Commissioners (Board) for approval incorporates all the suggested modifications made by the Technical
Assistance Center.
The rule requires each safety plan to be signed by the designated “Accountable Executive” which is the
Transit Director; and approved by the authorizing Board. Each year thereafter, CAT must certify through
the FTA Certification and Assurances process that the safety plan meets the requirements of the final rule.
FISCAL IMPACT: There is no fiscal impact associated with approving this item.
GROWTH MANAGEMENT IMPACT: There is no Growth Management impact.
LEGAL CONSIDERATIONS: This item has been reviewed by the County Attorney, is approved as to
form and legality, and requires majority vote for approval. -JAK
RECOMMENDATION: To approve the CAT Public Transportation Agency Safety Plan in accordance
with Final Rule 49 C.F.R. Part 673 requirements.
Prepared By: Omar Deleon, Public Transit Manager
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05/12/2020
ATTACHMENT(S)
1. Collier County PTASP (PDF)
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05/12/2020
COLLIER COUNTY
Board of County Commissioners
Item Number: 16.D.5
Doc ID: 12224
Item Summary: Recommendation to approve Collier Area Transit (CAT) Public Transportation
Agency Safety Plan (PTASP) in accordance with Final Rule 49 C.F.R. Part 673 requirements.
Meeting Date: 05/12/2020
Prepared by:
Title: Planner, Senior – Public Transit & Neighborhood Enhancement
Name: Omar Deleon
04/15/2020 2:55 PM
Submitted by:
Title: Division Director - Pub Tran & Nbrhd Enh – Public Transit & Neighborhood Enhancement
Name: Michelle Arnold
04/15/2020 2:55 PM
Approved By:
Review:
Public Transit & Neighborhood Enhancement Caroline Soto Additional Reviewer Completed 04/15/2020 3:05 PM
Public Transit & Neighborhood Enhancement Michelle Arnold Additional Reviewer Completed 04/17/2020 3:18 PM
Operations & Veteran Services Kimberley Grant Level 1 Reviewer Completed 04/24/2020 4:28 PM
Public Services Department Joshua Hammond Level 1 Division Reviewer Completed 04/27/2020 7:56 AM
Public Services Department Steve Carnell Level 2 Division Administrator Review Completed 04/28/2020 3:05 PM
Office of Management and Budget Debra Windsor Level 3 OMB Gatekeeper Review Completed 04/28/2020 3:55 PM
County Attorney's Office Jeffrey A. Klatzkow Level 3 County Attorney's Office Review Completed 04/29/2020 10:37 AM
Budget and Management Office Ed Finn Additional Reviewer Completed 05/01/2020 7:33 PM
County Manager's Office Nick Casalanguida Level 4 County Manager Review Completed 05/04/2020 10:45 AM
Board of County Commissioners MaryJo Brock Meeting Pending 05/12/2020 9:00 AM
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APRIL 15
Collier Area Transit
Authored by: Public Transit & Neighborhood
Enhancement Division
Public Transportation
Agency Safety
2020
16.D.5.a
Packet Pg. 540 Attachment: Collier County PTASP (12224 : Collier Area Transit Public Transit Agency Safety Plan)
Final Rule 49 CFR Part 673
The Public Transportation Agency Safety Plan (PTASP) final rule (49 C.F.R. Part
673) requires certain operators of public transportation systems that are
recipients or sub-recipients of FTA grant funds to develop safety plans that
include the processes and procedures necessary for implementing Safety
Management Systems (SMS). The rule requires that safety plan include the
processes and procedures for implementing SMS.
Under Part 673, a transit agency is required to maintain documents that describe
its Safety Plan, including those related to implementation and results from
processes and activities. Also, a transit operator may have existing
documentation that describes processes, procedures, and other information
required in Part 673. These documents are referenced in our Safety Plan by the
applicable document name and its location within the appropriate sec tions of
the plan.
Documentation related to the implementation of this SMS; the programs,
policies, and procedures used to carry out this ASP; and the results from its SMS
processes and activities will be maintained for three years after creation. They
will be available to the FTA or other Federal or oversight entity upon request.
This document has been prepared by Collier County to meet the requirements
of this final rule.
“Safety is a core organizational function that focuses
on management of safety risk through all aspects of
Collier Area Transit’s operations.”
16.D.5.a
Packet Pg. 541 Attachment: Collier County PTASP (12224 : Collier Area Transit Public Transit Agency Safety Plan)
Table of Contents
Section 1. Transit Agency Information .................................... 4
Section 2. Plan Development, Approval, and Updates ........... 6
Section 3 – Safety Performance Targets .................................. 8
Section 4 – Safety Management Policy ................................. 10
Section 5 – Safety Risk Management .................................... 17
Section 6 – Safety Assurance ................................................. 25
Section 7 – Safety Promotion .................................................. 6
Definitions of Special Terms Used in the Safety Plan .............. 9
List of Acronyms Used in the Safety Plan .............................. 12
SRM Form .............................................................................. 13
Collier County System Safety Program Plan (SSPP) ............... 14
16.D.5.a
Packet Pg. 542 Attachment: Collier County PTASP (12224 : Collier Area Transit Public Transit Agency Safety Plan)
Section 1. Transit Agency Information
Collier County is located in southwest Florida and is bordered on the northwest by Lee County
and on the northeast by Hendry County, on the east by both Broward and Miami-Dade County,
on the west by the Gulf of Mexico, and on the south by Monroe County. The county is 2,305
square miles in total size, including water area and consists of three incorporated areas: Naples,
Everglades City, and Marco Island.
The Public Transit and Neighborhood Enhancement (PTNE) Division, a division of the Public
Services Department of Collier County Government is charged with providing fixed route and
demand response operations for residents and visitors of Collier County. The County utilizes a
contractor to perform the operations by utilizing County owned and maintained vehicles. A
minimum of 20% of trips are provided on non-County owned vehicles in order to meet the
demands of the system. The Contractor provides all resources required to operate a turnkey
operation to deliver services that includes, management, personnel, administration, supplies,
equipment, services to manage and administer for all of the requirements of th at contractual
agreement.
The fixed-route service is provided seven days a week from 3:30 a.m. to 8:50 p.m. from Monday
through Saturday (depending on the route) and 6:50 a.m. to 6:40 p.m. on Sunday. No services
are provided on major holidays, including on Thanksgiving Day, Christmas Day, New Year’s Day,
Memorial Day, U.S. Independence Day, or Labor Day.
For persons who are unable to use the CAT fixed -route system due to physical or mental
impairment, the Collier Area Paratransit System is available. An eligibility application process
must be completed, and the persons must qualify in order to use the para transit service. Trips
may be scheduled that begin and end within the Americans with Disabilities Act (ADA) corridor
which is three-quarters (¾) of a mile from a CAT fixed-route. Hours of operation for Collier Area
Paratransit are the same as the CAT fixed-route bus schedule.
Transportation Disadvantaged (TD) service is also available to qualifying persons with origins or
destinations outside of the ¾-mile ADA corridor. An application is required to qualify for the
service and proof of income for all household residents must be submitted. To be eligible for TD
service, an individual must be unable to transport themselves or purchase transportation
because of one of the following three criteria.
1. Mental or physical disability
2. Income status
3. Age
The TD service operates Monday through Sunday, from approximately 4 a.m. to 6 p.m.
16.D.5.a
Packet Pg. 543 Attachment: Collier County PTASP (12224 : Collier Area Transit Public Transit Agency Safety Plan)
Transit Agency Name Collier Area Transit (CAT)
Transit Agency
Address 8300 Radio Rd. Naples, FL 34104
Name and Title of
Accountable Executive Michelle Arnold, Director of PTNE
Name of Chief Safety
Officer or SMS
Executive
Omar Deleon, CAT Transit Manager
Mode(s) of Service
Covered by This Plan
Fixed Route, Demand
Response
List All FTA Funding
Types (e.g., 5307,
5310, 5311)
5307, 5310, 5311, 5339
Mode(s) of Service
Provided by the
Transit Agency
(Directly operated or
contracted service)
Motor Bus (MB), Demand Response (DR).
All operating transportation services contracted through MV Transportation,
Inc.
Does the agency
provide transit
services on behalf of
another transit agency
or entity?
Yes
No
Description of
Arrangement(s)
Name and Address of
Transit Agency(ies) or
Entity(ies) for Which
Service Is Provided
Collier County Board of County Commissioners – Collier Area Transit
Public Transit & Neighborhood Enhancement Division
8300 Radio Road
Naples, FL 34104
16.D.5.a
Packet Pg. 544 Attachment: Collier County PTASP (12224 : Collier Area Transit Public Transit Agency Safety Plan)
Section 2. Plan Development, Approval, and Updates
The following section provides information on the approval process for the Plan development.
This section will also document the annual review of the plan and track all the updates that are
made as a result of the annual review or periodic changes made to the plan to improve safety.
Section 2.1 – Plan Approval
Name of Entity That
Drafted This Plan
Collier Area Transit (CAT)
(A section of the Public Transit & Neighborhood Enhancement Division)
Signature by the
Accountable Executive
Signature of Accountable Executive Date of Signature
_______________________________________
Michelle Arnold
Approval by the Board of
Directors or an Equivalent
Authority
Name of Individual/Entity That Approved This
Plan Date of Approval
_______________________________________
Burt Saunders
Relevant Documentation (title and location)
Collier County Board of County Commissioners, Chairman
3299 Tamiami Trail East, Suite 303, Naples, Florida 34112
Certification of
Compliance
Name of Individual/Entity That Certified This Plan Date of Certification
Michelle Arnold
Relevant Documentation (title and location)
Director of Public Transit & Neighborhood Enhancement (PTNE) Division
Section 2.2 – Version Management
A record of the complete history of successive versions of the plan shall be maintained in the
table below.
Version Number and Updates
Version
Number Section/Pages Affected Reason for Change Date Issued
1 Original Original Safety Management System (SMS) Plan TBD
16.D.5.a
Packet Pg. 545 Attachment: Collier County PTASP (12224 : Collier Area Transit Public Transit Agency Safety Plan)
Section 2.3 – Annual Review and Update of the Public Transportation Agency Safety Plan
Each year during the month of June, a review of the Plan will be conducted by members of the
County Transit staff; including the Accountable Executive, and the operating contractor’s staff;
to consist of at minimum, the Area Safety Manager, and General Manager. All necessary
revisions will be made, and the updated Plan will be signed off by the Accountable Executive and
the Collier County Board of County Commissioners.
16.D.5.a
Packet Pg. 546 Attachment: Collier County PTASP (12224 : Collier Area Transit Public Transit Agency Safety Plan)
Section 3 – Safety Performance Targets
Collier Area Transit has established safety performance targets based on the safety performance
measures reported under the National Public Transportation Safety Plan. These measures will
be evaluated periodically to determine when action must be taken to address inadequate safety
performance. In conducting the assessment of the system’s safety performance, the information
may not directly show us what is wrong as much as it discloses that something is wrong. A deeper
look into the information available may be required to better determine how best to address
safety deficiencies.
A plan to address identified safety deficiencies could involve:
• Addressing underlying hazards and potential consequences through Safety Risk
Management;
• Changing data collection or analysis techniques to better understand what’s
really going on;
• Testing and evaluating new approaches to Safety Management System (SMS)
processes.
Section 3.1 – Annual Safety Performance Targets
Section 3.2 – Safety Performance Target Coordination
CAT Director and Transit Manager will communicate regularly with Collier Metropolitan Planning
Organization (MPO) and the Florida Department of Transportation (FDOT) for establishing and
maintaining safety performance targets. A bi-annual meeting schedule between FDOT, Collier
MPO and CAT will be organized and the safety activities that impact the performance targets will
be reviewed during these meetings. Upon completion of the PTASP, in which the performance
targets are established, the safety activities will be monitored regularly, and documentation of
these activities will be made available at the bi-annual meetings. The safety performance target
review shall include discussion about whether the targets are being met and if not, what steps
will be required to better meet the established targets. An evaluation of the targets shall also
consider whether the targets are realistic and attainable . If it has been determined that the
targets are not attainable, recommendations for modification or replacement of the target will
be considered.
16.D.5.a
Packet Pg. 547 Attachment: Collier County PTASP (12224 : Collier Area Transit Public Transit Agency Safety Plan)
On or around June 30th of each year the Safety Performance targets will be transmitted to the
FDOT and the Collier MPO for their records.
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Packet Pg. 548 Attachment: Collier County PTASP (12224 : Collier Area Transit Public Transit Agency Safety Plan)
Section 4 – Safety Management Policy
In accordance with Part 673, Collier Area Transit has developed a policy statement that states
our organization’s safety objectives and sets forwards policies, procedures and organizational
structures that will achieve the safety objectives.
Collier County Public Transit system is known as Collier Area Transit (CAT) and identifies safety
and safety management as core business functions, and we are committed to a proactive safety
risk management process by identifying potential hazards, analyzing risks associated with those
hazards, and putting in place necessary mitigations that can save lives, reduce injuries, and
reduce costs.
CAT refers to both Collier County personnel and its contractor team as “employees” of the CAT
system. Collier County and its contractor have adopted Safety Management System (SMS)
principles, following the safety management processes identified in this Safety Plan and in the
corresponding plan developed by the contractor. Working together, Collier County and its
contractor will implement, maintain, and continuously improve safety management processes to
ensure CAT’s employees, customers and the general public are safe when on our property and
travelling on our systems.
Section 4.1 – Policy Statement and Objectives
Safety is a core value of Collier Area Transit and its management team and we are committed to
developing, implementing, maintaining and constantly improving processes to ensure the safety
of our employees, customers and the general public.
The Safety Management System process will be utilized to set a focus of safety as a priority and
to allocate organizational resources – people, processes, and technology – at a level scaled to the
size, scope and complexity of our agency.
Collier Area Transit is committed to:
Executive Commitment to Safety: Executive management will lead the development of an
organizational culture that promotes safe operations and provides appropriate resources to
supporting this core management function by fostering and ensuring safe practices, improving
safety when needed, and encouraging effective employee safety reporting and communication.
Collier Area Transit will hold executives, County and contracted managers, and County and
contracted employees accountable for safety performance. But ultimately, the responsibility for
safety rests with the Accountable Executive.
Responsibility & Accountability: All levels of managements must ensure the performance of
CAT’s Safety Management System and take an active role in the Safety Risk Management process
and ensure that Safety Assurance functions are adequately supported. Managers also are
responsible for ensuring that Safety Risk Management is being performed in their operational
areas of control so that safety risk associated with safety hazards is assessed and mitigated.
Communication & Training: Employee engagement is crucial to a functioning Safety
Management System. Communication systems will be put in place to enable greater awareness
of CAT’s safety objectives and safety performance targets as well as to provide on -going safety
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Packet Pg. 549 Attachment: Collier County PTASP (12224 : Collier Area Transit Public Transit Agency Safety Plan)
communication up, down, and across the organization. All levels of management must
proactively engage employees and work to keep the lines of safety communication honest and
open. All employees will be made aware of the importance of CAT’s Safety Management System
and trained in safety reporting procedures.
Responsibility of Employees & Contractors: All employees and contractors will support
safety management by ensuring that hazards are identified and reported.
Employee Reporting: Executive management will establish a safety reporting program as a
viable tool for employees to voice their safety concerns. All frontline employees will be
responsible for utilizing this program as part of the Safety Management System. No action will
be taken against any employee who communicates a safety condition through the CAT’s safety
reporting program unless such disclosure indicates the following: an illegal act, gross misconduct
or negligence, or a deliberate or willful disregard of CAT’s rules, policies, and procedures.
Performance Monitoring & Measuring: Collier Area Transit will establish realistic measures of
safety performance and establish safety performance targets to ensure continual improvement
in safety performance. Managers will verify that the safety risk mitigations put in place are
appropriate and effective.
Review & Evaluation: Collier Area Transit will measure Safety Management System
performance by analyzing key safety performance indicators, reviewing inspections,
investigations and corrective action reports, and auditing the processes that support the Safety
Management System. These activities will become the basis for revising or developing safety
objectives, safety performance targets and plans with the goal of continuous safety
improvement.
Acknowledgement from Accountable Executive:
Signature: _________________________________________ Date: ______________
Michelle Arnold, PTNE Division Director
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Packet Pg. 550 Attachment: Collier County PTASP (12224 : Collier Area Transit Public Transit Agency Safety Plan)
Section 4.2 – Safety Management Policy Communication
It is the policy of Collier County CAT to maintain open communication between management and
employees on matters pertaining to safety. All input regarding safety is considered important
and is valued. Employees are encouraged to actively participate in the Employee Safety
Reporting Program (ESRP). Employees should feel free to express any safety concerns during
safety meetings, individually to supervisors or in writing without fear of retaliation. CAT takes a
non-punitive approach to safety management and encourages employee safety reporting by
providing protections to employees, with exception to illegal act, gross negligence or deliberate
or willful disregard of regulations or procedures. Detailed procedures are discussed in CAT’s,
PTASP/Safety Management System (SMS) Plan.
Management supports, encourages and accepts both positive and negative feedback.
Management assures employees that there is no fear of retaliation when it comes to safety. To
make safety reports employees can contact the employee hotline at 877-687-2338. Employees
may also submit their concerns electronically by submitting their concerns via email to
rideCAT@colliercountyfl.gov.
Safety communication methods vary but will be comprised of both internal and external
platforms and tools. The Safety Management Policy (SMP) is posted in the CAT employee area(s)
and kept electronically at the Transit Division office.
Internal Communication:
Internal communication/awareness may be accomplished using:
• Notice boards
• Intranet postings
• Regular safety meetings and/or training sessions
• Safety advisories (local, state or national)
• Telephone or email communications
• In-person, informal employee exchanges
• MV Corporate Information Monitor
The Accountable Executive, with assistance from the Chief Safety Officer, is responsible for
internal safety communication.
Internal communication will consist of ad hoc and regularly established activities designed to
communicate and reinforce the SMS policy and related elements to all affected employees, to
include:
• The importance of conformance and the potential consequences of non -
conformance with the SMS policy, processes or procedures
• Individual roles and responsibilities in achieving conformance with the SMS
process
• The risks associated with work activities revealed from safety data collected and
analyzed
• Relevant output from management safety reviews
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Packet Pg. 551 Attachment: Collier County PTASP (12224 : Collier Area Transit Public Transit Agency Safety Plan)
• Reported hazards/near-misses and incidents
• Changing safety requirements
• Safety performance data
• Key results of internal/external assessments and audits
• Other information needed to support the SMS Implementation Plan
External Communication:
Collier County CAT has determined that significant risks identified through the operation of the
SMS Implementation Plan will not be communicated to the general public unless required by
federal, state or local regulations. Information regarding general SMS operation and specific risks
identified will be communicated to the appropriate governing body, as required only.
The Accountable Executive or designee is responsible for media communications regarding safety
issues and in consultation with the county’s Risk Manager, County Attorney Office and Public
Information Officer, where appropriate.
Section 4.3 – Authorities, Accountabilities, and Responsibilities
Safety accountabilities and responsibilities span from executive management to contract
management down to front-line employees. All employees, whether County personnel or
contracted employee, are responsible for safe operations of the Transit system, as outlined in
our Commitment to Safety statement.
The Executive Officer, also titled Department Head, provides strategic direction and has the
responsibility for providing the leadership and resources to carry out the Sa fety Management
System (SMS) plan.
The following defines the roles of individuals responsible for the development and management
of Collier Area Transit’s Safety Management System (SMS).
Accountable Executive: The Director of Public Transit & Neighborhood Enhancement (PTNE)
Division is designated as the Accountable Executive and has ultimate responsibility for the safe,
effective and reliable operation of Collier county’s public transit system and accordingly, he/she
is responsible for ensuring resources are dedicated to the management of safety, through the
successful development and implementation of the Agency Safety Plan (ASP) and the SMS
implementation plan and ensuring transit operation is safe and sustainable.
Chief Safety Officer or SMS Executive: The Contractor Safety Manager, under guidance from
the Transit Manager, is responsible for developing the ASP and SMS implementation plan with
CAT leadership, including the Directors, contractor General Manager, and the County
representatives, and is also responsible for monitoring the contractor to ensure transit service is
safe and sustainable.
Agency Leadership and Executive Management: Agency Leadership and Executive
Management are tasked and authorized with making sure that the organization safety policies
and procedures are followed and communicated to their direct reports, general managers,
managers and front-line supervisors. They will provide positive leadership and direction in
maintaining the safety policy as a major priority in all operations. This group is responsible for
providing resources to acquire and maintain safety and health equipment, devices and programs.
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Packet Pg. 552 Attachment: Collier County PTASP (12224 : Collier Area Transit Public Transit Agency Safety Plan)
They will support safety standards and behaviors ensuring that steps are made to identify and
mitigate hazard and risk.
In the case of CAT where the County has ultimate responsibility of developing and implementing
the ASP and SMS but the contractor is responsible for t he day to day operations, it is essential
that the County management team and the contractor management team work together to
ensure that the plan is adhered to and promoted with a coordinated effort. The contractor’s
General Manager is responsible for implementing CAT’s Agency Safety Plan and SMS
implementation plan, including activities associated with the county’s safety program.
The coordination effort involves partnering with the contractor’s Safety Leadership team which
includes the Chief Safety Officer, VP of Safety, or Director of Safety, has the authority and
responsibility for making sure the safety policies and procedures are adhered by and promoted
by senior management, department supervisors and managers, area safety directors and key
safety team members. The Safety Leadership team will stay informed of law changes or updates
concerning employee safety and record keeping and will amend safety policies as required. This
group will conduct periodic reviews of safety standards to remain current with federal and state
requirements. They will provide guidance in maintaining a high standard of safety training
programs and assist in analyzing safety data to identify future mitigation strategies. The Directors
of Safety will conduct an annual audit to en sure compliance with Federal, State and Local rules
and regulations as well as company policies and procedures.
Key Personnel: Key staff includes the County’s Transit Manager, and Maintenance Supervisor,
and the contractor’s Safety Manager, Operations Manager, Road Supervisors, and Dispatchers
who are all responsible for following CAT’s safety policies including any applicable state and
federal safety regulations, including FTA, FDOT and ADA). These individuals must stay current
on all internal and external safety training and are responsible for reporting and responding to
accidents, injuries, near misses, unsafe working conditions and potential hazards within their
scope of influence. Supervisors and Managers will evaluate employee performance ensuring each
employee’s safe behavior and work methods and coach, retrain and discipline as required. They
are also responsible for promoting the Employee Safety Reporting Program (ESRP) and reviewing
and resolving all submissions responsibility.
The County’s Maintenance Supervisor is responsible for OSHA compliance and site maintenance
activities.
The Contractor has identified the following specific roles and responsibilities for their supervisors
and managers in their corporate Safety Management System Plan.
• General Manager: Ultimate responsibility for the safety performance of the
location and authorizes activities to support an effective SMS.
• Operations Manager: Responsible for promoting operational safety and adhering
to our policies and procedures.
• Trainers/Instructors: Responsible for ensuring that every employee is trained
proficiency in accordance with the performance standards.
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Packet Pg. 553 Attachment: Collier County PTASP (12224 : Collier Area Transit Public Transit Agency Safety Plan)
• Supervisors: Responsible for playing an active role in SMS activities, including
sufficient road observations and identifying potential safety hazards with recommended
solutions.
Section 4.4 – Employee Reporting Program
CAT has many sources of information related to safety concerns that employees can use to help
identify hazards. CAT at times collects this information through proactive activities, such as using
an employee safety reporting program or monitoring service operations, and reactive measures,
such as investigating past events that may or may not have resulted in injuries or damage. By
analyzing this collected safety data, CAT can determine the greatest safety concerns and how we
will prioritize the investment of resources to address them.
CAT retains many sources of safety data and information, but the Employee Safety Reporting
Program (ESRP) may be the single most important source of information for the management of
safety. Despite all our planning efforts we aren’t able to anticipate all unsafe scenarios.
Therefore, when unplanned conditions occur during operations, frontline employees observe
them first. And it is imperative that these employees understand the importance of safety
reporting program and they function as “safety eyes” of the system.
CAT’s ESRP allows employees who observe safety concerns in their day-to-day duties to notify
designated personnel – without fear of reprisal – of safety concerns, operational deficiencies,
instances of non-compliance and deviations from procedures, before they result in an actual
safety event. For example, employees may report observed speeding on bus routes, failure to
complete pre-trip inspections, detours and traffic work zones on route, non-working traffic lights
or crossing gates, damage to terminals and bus stops that might impact safet y, defective
roadways (i.e. potholes, worn striping, crumbling asphalt), and clearance issues.
When an employee becomes aware of a safety hazard or concerns, they shall submit a report
within eight (8) business hours at the end of a shift by one of the following different ways:
• County 311 hotline to call and report safety or other concerns;
• Safety email or reporting form on the County intranet or website;
• Completion of an Incident Report Form/note dropped in a safety box in a break
room or facility;
• Completing an SMS employee report form available from dispatch;
• Verbal or written reports to supervisors, managers, or safety officers.
Supervisor/management is then required to file a report using the incident report form
or other effective means;
• Safety committee meetings;
• Driver meetings; and/or
• Reports issued to dispatch over the radio or on mobile data terminals.
The County will be advised of all reported conditions for coordination and resolution. The
contractor will do their best to come up with a mitigation solution for the reported condition. At
times, resolution will have to be completed with the assistance of the County because the
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Packet Pg. 554 Attachment: Collier County PTASP (12224 : Collier Area Transit Public Transit Agency Safety Plan)
mitigation measure is outside of the contractor’s control. In these circumstances the reported
condition will be forwarded to the County for follow up.
Although all employees are encouraged to report safety conditions to senior management
without threat of disciplinary action, disciplinary action could result if the condition reported
reveals the employee willfully participated in or conducted a/an illegal act, gross negligence or
deliberate or willful disregard of regulations or procedures, including violated motor vehicle laws
or safety policies adopted by the contractor.
16.D.5.a
Packet Pg. 555 Attachment: Collier County PTASP (12224 : Collier Area Transit Public Transit Agency Safety Plan)
Section 5 – Safety Risk Management
Section 5.1 - Safety Risk Management Process
It is the intent of CAT’s Safety Risk Management processes to promote the identification of
hazards or risks before they escalate into accidents or incidents. The following section will
identify what methods CAT will use to identify hazards and the consequences of those hazards;
the processes used to assess the safety risks associated with the identified hazards; and the
methods used to identify mitigations or strategies necessary as a result of safety risk
assessments.
Section 5.2 - Safety Hazard Identification
The primary method used by Collier County CAT to identify safety hazards or concerns, threats
to the transit system, and the vulnerabilities of the system is through the collection of historical
data, incident reports submitted by drivers and supervisors, data collected through the employee
safety reporting program, and information provided by federal and state agencies and local law
enforcement. The data is evaluated to identify the origin of any safety concern or potential
sources of hazards in the operations or construction projects. The resources are reviewed to
determine whether any patterns/trends exist. The findings of the evaluation are then
documented in order to establish corrective actions to prevent hazards in the future. Actions
taken are monitored to measure their effectiveness.
Some information resources evaluated to properly identify safety hazards include, but are not
limited to the following:
• Operator incident reports
• Risk management reports
• Bus maintenance reports
• Passengers' letters and telephone calls
• Management's written concerns
• Staff meeting notes
• Special requests
• Historical data
• Information from public safety officials
• Operator observed hazards
• Real-time, GPS-based bus video surveillance system on CAT transit buses
• Employee reported concerns
Inspections
Inspections conducted is another important source of information about hazards. Results from
these inspections help to identify areas where mitigations designed and adopted to manage
safety risk are not being carried out as required. CAT conducts audit of internal and Contractor
personnel performing their job duties, vehicles, facilities, and data to identify potential safety
concerns or issues, such as:
• Rules compliance checks, which may identify:
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o Non-compliance with safety rules,
o Challenges in complying with safety rules, and/or
o Emerging practices.
• Operations personnel fitness-for-duty checks, which may identify:
o Impairment,
o Fatigue,
o Absence of corrective lenses,
o Apparent injuries, and/or
o Uniform or equipment issues.
• Radio or digital communication checks, which may identify radio failures, dead
spots, and areas of high interference.
• CDL and driver citation checks, which may identify driver non -compliance with
driving regulations and requirements.
• Pre-trip inspections, which may identify instances of a bus beginning revenue
service after failing a pre-trip inspection.
• Vehicle inspections, which may identify a series of defects in components and part
with the potential to impact the safety performance of the vehicle.
• Facility inspections, which may identify conditions with the potential to impact
safety.
Investigations
As part of our SMS, CAT investigates safety events to identify causal factors. These safety events
include accidents, incidents, and occurrences.
As defined in § 673.5 “Investigation” is defined as “the process of determining causal and
contributing factors” for the purpose of “preventing recurrence and mitigating risk”. Causal and
contributing factors may include key actions, situations, or conditions, the elimination of which,
would have prevented or reduced the effects of the safety event.
Investigations may be an important source of data for monitoring and measuring compliance
with and effectiveness of procedures and safety risk mitigations.
Hazards identified in Investigations are considered in our Safety Risk Management (SRM) process,
from:
• Driver, dispatcher, supervisor, and mechanic performance information,
• Training and evaluation information,
• Rule compliance and sufficiency information,
• Camera and event recorder information,
• Vehicle information,
• Vehicle performance and maintenance information,
• Radio or digital communications information, and/or
• Environmental information.
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Causal and contributing factors also present potential issues and concerns that are assessed
through our SRM process. These factors may include organizational issues, technical failures,
environmental conditions, and other issues.
Safety Trend Analysis
Safety trend analysis identifies patterns or changes that might otherwise be overlooked during
the collection of safety data. Patterns and changes can be related to behavior, occurrences, or
other aspects of operations. They are usually identified through analysis of a particular period of
time. CAT reviews data for the following periods of times as applicable to identify safety trends:
• Weekly,
• Monthly,
• Seasonal,
• Yearly, or
• Over a certain number of years.
Notable trends may indicate hazards to be assessed through your SRM process.
Cameras and Data Recorders
CAT utilizes technologies, including onboard cameras and accelerometers, video systems, and
GPS and mobile data terminals to help ensure the safety of the driver and passengers.
Recordings resulting from these technologies may identify potential sources of hazards in our
operations, including driver behaviors, operating environments, road conditions, changing
configurations, vehicle handling, and use of defensive driving techniques.
Training and Evaluation Records
Information compiled from the vendor’s training program and the training evaluations of
personnel to help identify hazards for assessment through your SRM process.
Analysis of this information helps to recognize where personnel may struggle to understand
rules, requirements, or safe behaviors identified, and where particular procedures, practices, or
requirements may need to be modified to address safety issues or concerns.
CAT plans to review the results of training assessments and evaluations quarterly and annually
to identify potential issues or concerns for further assessment.
Internal Safety Audits
Internal safety audits and reviews highlight how well safety in all aspects of the Transit Agency
functions such as maintenance, operations, administrative, etc. is working at Collier County CAT.
Examples of internal audits that may help you identify safety concerns or hazards include:
• Route qualification audits, which identify situations such as:
o An operator who is assigned to a route without receiving route
qualification, or
o An extra board operator who is not qualified on all potential route
assignments.
• Recertification or refresher status audits, which may identify operators past their
recertification or refresher training window.
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• Observation audits, which typically include line rides by instructors and safety
officers, and which may identify operator behaviors and road conditions with potential
safety impacts.
• Hours of service audits, which may identify operators working excessive hours
with limited opportunity for sufficient rest, as defined in your agency’s policies and
procedures.
• Conduct a walkthrough of the affected area, assessing the possible hazardous
condition, generating visual documentation (photographs and/or video), and taking any
measurements deemed necessary;
• Conduct interviews with employees in the area to gather potentially relevant
information on the reported hazard;
Monitoring of Normal Operations
Observing normal operations helps understand how well service is provided in our system.
Normal operations are observed from a safety perspective to understand how things are done.
Targeted monitoring activities designed to observe normal service can help identify hazards for
assessment. For example, observations of the bus dispatch center may identify and avoid
practices that lead to confusion or distraction for dispatchers. Observing how buses pull in and
out of a transit center may help identify concerns affecting pedestrians. Observing the
performance of preventive maintenance inspections may indicate a potential concern with the
use of lubricants that could lead to overheating and fire.
External Sources
External sources also provide valuable information to review safety performance and identify
hazards, including:
• FTA and other oversight authorities, which provide information based on Federal,
State or local findings, research, considerations, or assessments.
• Reports from the public, such as motorists, bicyclists, or pedestrians, which may
contain safety information such as reckless driving, near misses, unsafe acts, or
inattention. These reports should be confirmed by management before being entered as
a hazard for SRM.
• Safety audit findings and recommendations, which ofte n require action in
response to underlying concerns that your agency may want to run through its SRM
process.
• Safety bulletins and information from manufacturers and transit associations,
which may identify issues or concerns to be reviewed by CAT in our SRM process.
Collier County CAT reviews safety/security information resources and determines if additional
methods should be used to identify system threats and vulnerabilities. This includes a formal
evaluation program to ensure that safety/security procedures are ma intained and that
safety/security systems are operable. Safety/security testing and inspections may be conducted
to assess the vulnerability of the transit system. Testing and inspection include the following
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three-phase approach: (a) Equipment preparedness, (b) Employee proficiency, and (c) System
effectiveness.
Other potential sources of hazard to Collier County CAT include the following:
Accidents:
Transit vehicle accidents - defined as collisions with other vehicles, objects or persons with the
potential for damage to people and/or property and the possibility of lawsuits and/or criminal
charges.
Transit passenger incidents - involving passenger falls, injuries relating to lift and securement
operation, injuries before boarding or after alighting and passenger illnesses.
Employee accidents and incidents - include injuries within the office, on official travel, while
maintaining the equipment, and on-premises, but not while operating a vehicle for public
transport. Such accidents/incidents create the possibility for loss of workforce, worker’s
compensation claims, etc.
Acts of Nature
Floods - heavy rain, and storm surge, may cause flooding than can result in loss of life, damage
to facilities, danger to vehicles on roadways and loss of power and com munications.
Forest Fire – an uncontrolled fire in a wooded area that may damage buildings and restrict access
to roadways. Severe fires may have effects on the environment.
Fog - a thick cloud of tiny water droplets suspended in the atmosphere at or near the earth's
surface which obscures or restricts visibility.
Hurricanes – severe winds that depending on the wind impact can result in damage to property
and structures and potentially loss of life.
Critical Infrastructure
Power outages - whether short or long in duration, can impact overall ability to operate transit
services and limit functional nature of transit equipment and facilities.
Vehicle fires – could cause transit employee and passenger injuries and death, and damage or
loss of transit equipment and have the potential for lawsuits.
Facility loss - loss of administrative, maintenance, or operations facilities– whether caused by
structural collapse, presence of toxic materials, violation of municipal codes, fire, or significant
events on neighboring properties – can hamper the ability to sustain service.
Hazardous Materials
Blood-borne pathogens - exposure can put drivers, passengers, maintenance employees and bus
cleaners at risk of contracting disease.
Toxic material spills - toxic materials fall into four basic categories: blister agents such as solvents;
cardio-pulmonary agents such as chlorine gas; biological agents such as anthrax; and nerve
agents such as Sarin. While some of these materials may be agents of terrorist acts, accidental
release is also possible. Additionally, low-level exposure to maintenance related chemicals and
vehicle fluids can pose a risk to employee and environmental health.
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Section 5.3 - Safety Risk Assessment
All identified and system accepted hazards, near-miss situations and safety events that occur
shall be risk assessed. Risk assessment will be conducted for the “as reported” condition and
again conducted for the “mitigated” condition.
Additionally, and separate to individual proactive reports, system -wide annual risk assessments
will be conducted. The risk assessment and risk control process shall be reviewed and revised:
▪ As a part of the monthly safety meetings
▪ As applicable due to new or revised activities or procedure
▪ Annually by management
A safety risk assessment has two elements: hazard severity and hazard probability. Hazard
severity is a qualitative determination of the worst likely case that could be anticipated because
of human error, poor design, failure or malfunction of component(s). Hazard severity ratings are
as follows:
• Catastrophic – Operating conditions are such that human error, poor design, failure or
malfunction of components may commonly cause multiple deaths, numerous casualties or
major system loss. Catastrophic hazards require immediate cessation of the unsafe activity
or operation
• Critical – Operating conditions are such that human error, poor design, failure or
malfunction of components may commonly cause death, limited casualties or significant
system loss that will require immediate termination of the unsafe activity or operation.
• Serious – Operating conditions are such that human error, environment, poor design,
failure or malfunction of components or procedural deficiencies may commonly cause severe
injury, severe occupational illness, or major subsystem damage requiring immediate
corrective action.
• Marginal – Operating conditions are such that they commonly cause minor injury, minor
occupational illness, or minor system damage. Human error or component failures can be
controlled or counteracted.
• Negligible – Operating conditions are such that human error, poor design, failure or
malfunction of components may commonly cause no, or less than minor injury, occupational
illness, or system damage
Hazard probability is a subjective measure of likelihood that a specific hazard will occur during
the useful life of the asset. Hazard probability is categorized as follows:
➔ Frequent – Likely to occur frequently
➔ Probable – Likely to occur several times
➔ Occasional – Likely to occur sometime
➔ Remote – Unlikely but possible to occur
➔ Improbable – So unlikely that it can be rejected from consideration
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Hazard severity and probability are used to determine the magnitude of the hazard and the
priority in the form of a Risk Assessment Matrix (Figure1). This will help to assess the level of risk
(risk rating) for each identified hazard and subsequent control measures to apply through hazard
resolution or mitigation.
Figure 1. Risk Assessment Matrix
LIKELIHOOD
POTENTIAL CONSEQUENCES OR SEVERITY
Catastrophic Critical Serious Marginal Negligible
Frequent Very High Very High High Moderate Low
Probable Very High High High Moderate Low
Occasional High High Moderate Moderate Low
Remote High Moderate Moderate Low Very Low
Improbable Moderate Moderate Low Very Low Very Low
Risk Rating Action Required
Very High Risk must be immediately mitigated and constantly monitored
High Risk must be treated and constantly monitored
Moderate Risk may be managed, and reduction strategies implemented
Low Risk may be accepted after a risk review
Very Low Risk would normally not be treated
Section 5.4 – Safety Risk Mitigation
Each hazard category in the Risk Assessment Matrix (Figure 1) requires a specific level of
resolution and control as shown in the Hazard Decision Matrix (Figure 2).
Hazard resolution and/or control involves the analysis and corrective action taken to eliminate
or reduce the risk associated with an identified hazard to the lowest practical level. In most cases,
acceptable hazard resolution will require a combination of actions or methods of control. The
preferred order to satisfy system safety requirements and to resolve the identified hazards is as
follows:
• Design to eliminate/minimize risk. Where possible, hazards will be eliminated
through design. If the hazard cannot be eliminated because it is inherent or it is not
financially feasible, it will be reduced to an acceptable level. Specific actions to be taken
include building in redundancy or backups, use of highly reliable components, and use of
fail-safe devices or transfer the risk to a third party.
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• Use appropriate safety devices for hazards that cannot be eliminated or minimized
through design. This involves the installation of permanent system design features to
improve safety by automatically controlling the risk of hazard with no human
intervention.
• Use warning devices to reduce the risk associated with the hazard to acceptable
level. This is applicable when neither design nor safety devices can effectively eliminate
identified hazards or adequately reduce the risk associated with the hazard to acceptable
level.
• Approved procedures and training programs are the lowest level of control, and
they will be used when it is not possible or practical to eliminate hazards or reduce risks
through system design, and safety or warning devices. The purpose of training programs
is to recognize the hazard and personnel actions to avoid the hazard. Procedures will
include precautionary notations, warning signs and use of personal protective equipment.
The Operations Contractor, MV Transportation Inc., also has an established PTASP/Safety
Management System (SMS) Plan which details how safety risk mitigation efforts will be
implemented. As reinforcement of the County’s PTASP, MV Transportation and County staff
reviews any risks that have been identified during weekly meeting, and an action plan discussed.
It is the responsibility of the Transit Manager to monitor the mitigation process. MV
Transportation’s General Manager will ensure the mitigation process that is agreed upon is
completed.
Figure 2. Hazard Decision Matrix
FREQUENCY
OF
OCCURRENCE
HAZARD CATEGORY
Catastrophic Critical Serious Marginal Negligible
Frequent Unacceptable Unacceptable Unacceptable Undesirable Undesirable
Probable Unacceptable Unacceptable Undesirable Undesirable Acceptable
with Review
Occasional Unacceptable Undesirable Undesirable Acceptable
with Review
Acceptable
with Review
Remote Undesirable Undesirable Acceptable
with Review
Acceptable
with Review Acceptable
Improbable Acceptable
with Review
Acceptable
with Review
Acceptable
with Review Acceptable Acceptable
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Section 6 – Safety Assurance
Section 6.1 – Safety Performance Monitoring and Measurement
Collier Area Transit’s Safety Assurance processes within our Safety Management System (SMS)
functions to ensure the implementation and effectiveness of safety risk mitigation, and to ensure
we meets or exceeds our safety objectives through the collection, analysis, and assessment of
information. As the agency responsible for the Transit system in Collier County, CAT will ensure
that the safety assurance requirements are met and that the data/documentation collected and
maintained to carry out the ASP is maintained a minimum of three years and will be made
available upon request by all reviewing agencies.
Safety assurance is the means to demonstrate that organizational arrangements and processes
for safety achievement are properly applied and continue to achieve their intended objectives.
This is achieved through safety performance monitoring and measurement processes by which
the performance is verified against the safety policy, stated safety objectives and targets. The
safety performance monitoring and measurement for CAT includes activities that:
• Monitors our system compliance with and sufficiency of the procedures for
operations and maintenance;
• Monitors our operations to identify any safety risk mitigations that may be
ineffective, inappropriate, or were not implemented as intended;
• Conducts investigations of safety events to identify cau sal factors; and
• Monitors information reported through any internal safety reporting programs.
Section 6.2 – Operations and Maintenance Monitoring Procedures
The contractor will be responsible for ensuring that all organizational arrangements and
processes for safety achievement are properly applied and continue to achieve their intended
objectives. It is the responsibility of the Contractor’s safety managemen t team to provide the
appropriate training to all employees and reinforce those safety activities so that it becomes a
way of general day to day operations. Self -monitoring of its staff must be conducted but
ultimately it is the responsibility of the County’s transit management staff to conduct safety
performance monitoring to ensure that the contractor is complying with all established
procedures.
The monitoring process shall consist of a review of all operational and maintenance procedures
to determine if they are being complied with. The frequency of review will depend on the
procedure being reviewed. If compliance is not being achieved and evaluation of any potential
hazards will be done. Any inefficient procedures will be addressed through the saf ety risk
management. The mitigation options will also be evaluated for appropriateness, whether they
are achievable. If not, alternate mitigation approaches can be considered for implementation.
Specific activities to monitor the transit system for compliance with procedures for operations
and maintenance include the following:
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Operator Selection
MV Transportation management is responsible for ensuring that the following State of Florida
Operational and Maintenance Requirements are met when hiring new drivers.
• Complete employment application.
• All drivers must pass a complete criminal background check before being put into
revenue service. MV Transportation or its subcontractors will, at a minimum, perform the
following checks to determine if the Driver has a criminal background:
• National Sex Offender database
• Widescreen National Criminal Search
• Address history
• Motor Vehicle Records
• Social Security Number Check
• Prior Drug and Alcohol use
• Drivers will not be used in revenue service if they have been convicted of a felony offense
involving murder, attempted murder, assault, sexual assault or battery, theft, fraud,
burglary, grand theft auto, robbery, crimes against children and/or adults, a felony
offense including drug-related incidents, or other offense related to the performance of
this contract with MV Transportation, except as allowed by Florida Statutes Title XXXI -
Chapter 435.07 (exemption from disqualifications).
• All background checks will be updated every five years.
• Applicants who were previously terminated by any previous employer for drug or alcohol
use shall not be eligible for hire.
• A conviction includes a guilty verdict, a determination of guilt after trial to a judge, a guilty
plea, deferred adjudication, or a plea of nolo contendere or no contest.
• The driver must not have been convicted of a serious traffic violation such as driving
under the influence of alcohol or drugs, leaving the scene of an accident, using a vehicle
in the commission of a felony, reckless driving and/or reckless endangerment w ithin the
last ten (10) years.
• Each driver must undergo a commercial and personal driving record check with the
Florida Department of Highway Safety and Motor Vehicles.
• The driver must not have more than 2 (Two) traffic citations for a moving violation in the
past 3 years. An MVR review will be conducted every 6 months after hire
• The driver must not have had a driver’s license suspended or revoked for moving
violations within the last two (2 or 3) years.
• The driver must have possessed a valid CDL Driver’s License from any U.S. State for the
last three (3) years.
• All applicants must possess a High School Diploma or General Equivalency Diploma (GED).
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• Each Driver must possess and maintain a Commercial Driver’s License with the proper
endorsements if required by the position.
• Current Driver’s License must be issued by the State of Florida.
• All drivers must be able to speak and understand English, and drivers must be proficient
in written English to successfully complete all paperwork required for this contract,
including, but not limited to, vehicle manifests, incident and accident reports.
• Drivers of vehicles must pass a pre-employment physical and drug/alcohol test in
accordance with U.S. Department of Transportation requirements.
• Drivers and all other employees performing safety-sensitive function(s) will satisfy the
requirements of MV Transportation’s Drug and Alcohol Testing Program, which will be
administered in conformance with the requirements of 49 C.F.R., Parts 40 and 655, as they
may be amended or superseded from time to time.
• Drivers must be physically able to perform all duties and tasks required or necessary to
achieve full performance of the obligations relating to the transporting of passengers with
disabilities, including, but not limited to:
i. Assisting passengers in getting to, on, off and from the vehicles.
ii. Securing mobility devices within the paratransit vehicle.
iii. Assisting passengers with the carrying of small packages (as determined
by MV Transportation).
• Train and certify all drivers.
• All drivers are given access to a copy of the SSPP and all subsequent revisions. All drivers
must sign the acknowledgement of agreement to comply with the SSPP during their
training as one of the hiring requirements.
• MV Transportation shall require drug and alcohol testing of Drivers including but not
limited to pre-employment, reasonable suspicion, post-accident, and follow-up. All drug
and alcohol testing costs shall be borne by the Transportation Providers.
• Noncompliance with any regulatory or agency specific requirement may result in
suspension or termination of employment.
• It is the policy of MV Transportation to screen applicants to eliminate those that pose a
safety or security threat to the agency or who would not be capable of carrying out agency
safety and security policies.
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• Signed acknowledgement of receipt and agreement to comply with drug-free workplace policy.
The County Transit Manager, or designee, inspects the personnel files for the operators to ensure these
safety-related items was processed as part of the selection process. Background checks are required
every five years for operators.
Drug and Alcohol Policies
A critical element of CAT’s commitment to safe operations is ensuring that employees are not impaired
due to the use of alcohol, illegal drugs, prescription drugs or over -the-counter medication. CAT
requires its contractor to follow the requirements set forth under 49CFR Part 655 and 49CFR Part 40
Amended as mandated by the FTA. The contractor’s drug and alcohol program include specific policies,
procedures and responsibilities for pre-employment, random and post-accident testing.
The County Transit Manager, or designee, monitors the contractor’s drug and alcohol testing program
for compliance.
Transit Bus & Door to Door Service Safety and Security
The comprehensive, onboard GPS-based video surveillance system on all fixed route revenue vehicles
provides coverage of all activities in and around the transit vehicles in real time. These videos are
continuously recorded and available for up to 30 days. The bus video surveillance system helps make
passengers and drivers feel safe and secure, prevent/deter crime, etc. The video footage is also used
in accident and other investigative works by the department and/or law enforcement agencies.
To ensure that the footage is available when needed, the Transit Manager, or designee, conducts a
periodic review of the camera inspection logs.
Driver’s Vehicle Checklist
CAT drivers complete a vehicle pre-trip inspection checklist when putting a vehicle into service. This
pre-trips inspection includes:
• Inspection of the vehicle’s required safety equipment;
• Inspection of the interior of the vehicle to detect unauthorized objects or tampering;
• Inspection of the interior lights to make sure they are operational and have not been tampered
with;
• Inspection under the vehicle to detect items taped or attached to the frame ;
• Inspection of the exterior of the vehicle for unusual scratches or marks made by tools; signs of
tampering; unusually clean or dirty compartments; or items attached using magnets or duct
tape;
• Following established policy governing suspicious packages, devices, or substances to
determine if an unattended item or an unknown substance found during inspection is
potentially dangerous;
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• Immediately notifying a supervisor in the case of a potentially suspicious packages(s) or
evidence of tampering. Do not start or move the vehicle or use electronic m eans of
communication.
Periodically throughout the driver’s shift, the above inspections are conducted.
The County Transit Manager, or designee, monthly monitors the drivers’ inspection logs to ensure that
they are being performed appropriately. The time it took to complete the inspection is also evaluated.
Mechanic’s Vehicle Checklist
CAT mechanics or contracted mechanics make the following security checks before releasing a vehicle
for revenue service:
• Ensures that required safety equipment is on vehicle;
• Inspects the interior of the vehicle for unknown objects or tampering;
• Inspects the interior lights to make sure they are operational and have not been
tampered with;
• Inspects under the vehicle for items taped or attached to the frame ;
• Inspects the exterior of the vehicle for unusual scratches or marks made by tools; signs
of tampering; unusually clean or dirty compartments; or items attached using magnets or duct
tape;
• Inspects the gas cap for signs of tampering or unusual items ;
• Inspects the engine compartment and other areas to detect foreign objects or false
compartments in the air filter area or the cold oil filter. Also look for additional wires running
to or from the battery compartment, and take note of unusually clean components and devices;
• Inspects the fuel and air tanks to detect inconsistent and missing connections.
Monthly maintenance reports are provided to the Transit Manager, or designee for inspection.
Vehicle Maintenance
CAT provides proper maintenance of vehicles and equipment critical to the continued safe operation
of the transit system. Vehicle maintenance practices regularly address safety-related vehicle
equipment to ensure that no unsafe vehicles are dispatched for service. Safety-related vehicle
equipment includes:
• Service brakes and parking brake
• Tires, wheels, and rims
• Steering mechanism
• Vehicle suspension
• Mirrors and other rear vision devices (e.g., video monitors)
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• Lighting and reflectors or reflective markings
• Wheelchair lifts
Most safety-related equipment is inspected during a pre-trip inspection to ensure that the vehicle is fit
for service. The vehicle maintenance program addresses the following categories:
▪ Daily servicing needs – This relates to fueling, checking and maintaining proper fluid levels (oil,
water, etc.), vehicle cleanliness, pre- and post-trip inspections and maintenance of operational
records and procedures.
▪ Periodic inspection – These activities are scheduled to provide maintenance personnel an
opportunity to detect and repair damage or wear conditions before major repairs are necessary.
Inspection items include suspension elements, leaks, belts, electrical connections, tire we ar, and
any noticeable problems.
▪ Interval related maintenance – The focus is to identify wear, alignment, or deterioration
problems of parts or fluids. Replacement intervals of these items are determined through transit
agency experience and manufacturer recommendations.
▪ Failure maintenance - When a failure is encountered that makes the vehicle unsafe or unable
to continue operation, the vehicle is removed from service and returned to the garage for repair.
Section 6.3 – Safety Risk Mitigations Monitoring
The Mitigation Monitoring plan helps ensure safety performance monitoring and measurement
activities are performed to confirm that mitigations are effective, appropriate, and fully implemented.
Data will be collected as part of the safety assurance activities to identify performance indicators.
Safety performance indicators are signals or early warning signs that will help measure inputs, outputs,
outcomes, or impacts.
These performance indicators can be classified as either leading or lagging indicators. Leading
indicators are used to anticipate and prevent injuries and accidents. This data source can include
information collected from road observations, ride checks, mobile blitzes, or the ESRP. Lagging
indicators measures what has happened, including accidents and injuries. This information will be
collected and tabulated so that the metric can be utilized to allow for analyzation of historical
information, as well as view in real-time whether our risk mitigation plans are reducing the accidents
and injuries.
Upon evaluation of the performance indicators, a corrective action plan will be developed to help
address short-term defects or any compliance issues. The intent is to continuously monitor the hazards
to establish corrective measure to eliminate the behavior that caused an event.
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Section 6.4 – Safety Event Investigations
CAT will conduct investigations of safety events such as accidents, incidents and occurrences to identify
causal factors. The investigations will determine whether or not the event is preventable and identify
whether any external factors such as organizational issues, technical failures, environmental conditions
or other factors may have contributed to the event.
In order to promote the continuous safety performance improvement of the SMS, CAT will promptly
and thoroughly investigate events that result in safety of transit risk, product, service, and employee
safety risk. Near-miss incidents are investigated if it is not readily determined the root cause of the
near-miss. Details of the contractor’s responsibilities are discussed in the MV Transportation Inc.,
PTASP/Safety Management System (SMS) Plan.
Investigations are a methodical search into an event where information relating to factors that may
have caused or contributed to the event are discovered. The SMS uses a structured Investigative
process where evidence, contributing factors and root cause is recorded such that follow -on mitigating
actions may be tracked.
As with any investigation, time is of the essence, therefore investigations should proceed as soon as
practical to avoid potentially losing valuable information. Investigations are to be concluded within 5
business days of the incident. Only trained investigators are to conduct investigations and under no
circumstance may an investigator examine his/her own work area incident.
A complete investigation is comprised of the following three stages being completed:
1. Investigation and interview stage: All relevant information is found.
2. Root Cause Stage: Contributing factors and root cause is determined and information is
recorded.
3. Preventative strategies recommendations are prepared and recorded.
For near-miss reports, a full investigation may not be required. In this case, the Accountable Executive
will determine the level of investigation appropriate to effectively address the report.
Section 6.5 – Internal Safety Reporting Monitoring
The safety assurance process within CAT is achieved by monitoring and measuring the outcomes of
activities that operational personnel must engage in for the delivery of services. CAT management
obtains information for safety performance monitoring from a variety of sources including direct
employee input, a hazard reporting system, meetings, or assessments/audits.
Each of these types of information sources may exist to some degree and should be assessed on a
routine schedule for risk identification and trend analysis by the operations manager, m aintenance
manager and safety manager in particular. CAT will accomplish continual safety performance
monitoring and oversight of the SMS as indicated below.
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As a part of the annual safety objectives and targets development process, contractor management
will work with County transit staff to establish the initial list of safety objectives and targets. Contractor
management will assist vehicle operations and maintenance departments with monitoring of the
objectives and targets.
Weekly staff meetings and monthly safety and operators’ meetings where safety performance and
means to continually improve safety performance will be discussed. Once data from all safety-related
activity is reviewed, management and/or supervisors will communicate the appropriate i nformation to
all employees in the organization. This includes updating any existing response/mitigation and an
assessment of the appropriateness and effectiveness of the mitigations to address the hazards or event
contributing factors.
The mitigation will be considered as appropriate if it actually addresses any identified hazard. The
mitigation will only be considered effective if it consistently manages the safety risk under normal
operating conditions. Effective mitigation must reduce the safety risks to an acceptable level as defined
by the risk assessment in the risk assessment matrix. Management will also propose prioritization of
the responses/mitigations based on the risk assessment for each hazard.
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Section 7 – Safety Promotion
Safety Promotion (SP) outlines requirements for promoting both Safety Management System (SMS)
practices and safety throughout CAT’s transit agency and consists of two elements; Competencies and
training and Safety communication.
Section 7.1 – Competencies and Training
In accordance with Part 673, Collier Area Transit has established and implemented a comprehensive
safety training program for all employees and contractors that are directly responsible for safety,
including refresher training.
In addition to specifying who is directly responsible for safety and their training requirements, CAT
identifies the competencies necessary to perform different job roles within the SMS operations.
The County’s Operations Contractor, MV Transportation, Inc., utilizes a commercial product called
Avatar for new driver training. Details of the entire training program, including recurrent training is in
their Safety Manual located at the CAT offices.
The purpose of SMS training is to establish a department-level approach, which ensures that all
employees have the appropriate level of knowledge about the CAT SMS Plan and how the policies,
processes and procedure affect how they perform their duties. SMS training will help establish initial
competency and for on-going competence building. Additionally, this is a method for demonstration of
the SMS and its contribution to safety culture development.
The contractor will appropriately train employees at each relevant function and level such that they
are aware of:
• The SMS Safety Policy
• The SMS Safety Culture Policy
• The SMS manual, website and subsequent use
• The importance of conformance with SMS
• Individual roles and responsibilities specific to the SMS (Safety Accountabilities)
• General hazard reporting requirements of the SMS
• General risk assessment procedure of the SMS
• General accident/incident or near-miss reporting and investigation requirements
• General responsibilities with respect to the SMS emergency preparedness and response
plan
The contractor’s SMS training takes into account different levels of responsibility, ability, literacy, and
risk to ensure that there is an appropriate awareness among employees and managers as to what their
role responsibilities are. Accordingly, CAT will provide SMS trai ning as follows:
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Managers/Supervisors: Awareness of SMS roles and responsibilities, safety policy, safety culture
policy, SMS requirements, related DOT/FTA regulations, management commitment and
responsibilities, and safety performance monitoring responsibilities.
Transit Supervisors/Dispatchers: SMS policy, SMS processes management, management
commitment and responsibilities, hazard identification and risk management, safety performance
monitoring responsibilities.
Frontline personnel including vehicle operators, and maintenance mechanics: SMS Overview, safety
policy, safety culture policy, safety reporting, hazard identification and risk assessment procedure,
accident/incident investigation process.
Competence
Frontline employees and management competence within the SMS operations will be assured through
continuous communication and involvement in the SMS as follows:
Employees shall be:
• Involved in the review of hazard and risk assessments, accident/incident investigation
findings and department or process-specific SMS standard operating process development
where appropriate.
• Consulted where there are workplace changes that occur as a result of SMS -related
activities
• Informed of significant issues arising from the operation of the SMS; including lessons -
learned from hazards, near-miss reports and accident/incident investigation findings.
Employee involvement shall be accomplished by:
• Submission of hazard reports
• Involvement in risk assessment results and implementation of post -event investigation
findings
• Participation in safety performance monitoring in his/her division
• Participation in SMS assessments
Managers shall:
• Be involved in the review of hazard and risk assessments, accident/incident
investigation findings and department or process-specific SMS standard operating process
development where appropriate
• Coordinate workplace changes that need to occur as a result of SMS-related activities
• Lead resolution of SMS matters in their division
• Coordinate resolution of significant issues arising from the operation of the SMS at their
site, including lessons-learned from hazards, near-miss reports, and implementation of
accident/incident investigation findings
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• Lead monthly division SMS reviews
Section 7.2 – Safety Communication
In accordance with Part 673, CAT documents and maintains records of safety and safety performance
which is then communicated throughout the Transit organization.
Our safety communication includes information on hazards and safety risk relevant to employees’ roles
and responsibilities. We also inform employees of safety actions taken in response to reports
submitted through our employee safety reporting program.
The operating contractor is required to consistently reinforce SMS through monthly safety meetings,
memos, one-on-one discussions with operators, and on-going analysis of data. Additionally, through
technology such as GPS and on-board camera systems identify unsafe behavior taking swift corrective
action. At weekly meetings between County Transit staff and the contractor, any employee r eports
regarding incidents or observed unsafe conditions are reviewed and mitigation strategies, if warranted,
are discussed followed by development of an action plan.
To ensure that employees understands what is communicated or what action they must take as a result
of the information, questions are asked of the employees and safety messages are repeated/re -
enforced depending on the responses received.
The County reviews the information that is disseminated to employees and occasionally sit in on
training session to ensure the information is accurate and kept up to date.
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Definitions of Special Terms Used in the Safety Plan
Accident - Accident means an Event that involves any of the following: A loss of life; a report of a serious
injury to a person; a collision of public transportation vehicles; a runaway train; an evacuation for life
safety reasons; or any derailment of a rail transit vehicle, at any location, at any time, whatever the
cause.
Accountable Executive - Accountable Executive means a single, identifiable person who has ultimate
responsibility for carrying out the Public Transportation Agency Safety Plan of a public transportation
agency; responsibility for carrying out the agency's Transit Asset Management Plan; and control or
direction over the human and capital resources needed to develop and maintain both the agency's
Public Transportation Agency Safety Plan, in accordance with 49 U.S.C. 5329(d), and the agency's
Transit Asset Management Plan in accordance with 49 U.S.C. 5326.
Agency Safety Plan - Public Transportation Agency Safety Plan means the documented comprehensive
agency safety plan for a transit agency that is required by 49 U.S.C. 5329 and this part.
Chief Safety Officer - Chief Safety Officer means an adequately trained individual who has responsibility
for safety and reports directly to a transit agency's chief executive officer, general manager, president,
or equivalent officer. A Chief Safety Officer may not serve in other operational or maintenance
capacities, unless the Chief Safety Officer is employed by a transit agency that is a small public
transportation provider as defined in this part, or a public transportation provider that does not
operate a rail fixed guideway public transportation system.
Equivalent Authority - Equivalent Authority means an entity that carries out duties similar to that of a
Board of Directors, for a recipient or subrecipient of FTA funds under 49 U.S.C. Chapter 53, including
sufficient authority to review and approve a recipient or subrec ipient's Public Transportation Agency
Safety Plan.
Event - Event means any Accident, Incident, or Occurrence.
Federal Transit Administration - Federal Transit Administration, an operating administration within
the United States Department of Transportation.
Hazard - Hazard means any real or potential condition that can cause injury, illness, or death; damage
to or loss of the facilities, equipment, rolling stock, or infrastructure of a public transportation system;
or damage to the environment.
Incident - Incident means an event that involves any of the following: A personal injury that is not a
serious injury; one or more injuries requiring medical transport; or damage to facilities, equipment,
rolling stock, or infrastructure that disrupts the operations of a transit agency.
Investigation - the action of investigating something or someone; formal or systematic examination or
research.
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National Public Transportation Safety Plan - National Public Transportation Safety Plan means the plan
to improve the safety of all public transportation systems that receive Federal financial assistance
under 49 U.S.C. Chapter 53.
Occurrence - Occurrence means an Event without any personal injury in which any damage to facilities,
equipment, rolling stock, or infrastructure does not disrupt the operations of a transit agency.
Operator - Operator of a public transportation system means a provider of public transportation as
defined under 49 U.S.C. 5302(14).
Performance Measure - Performance measure means an expression based on a quantifiable indicator
of performance or condition that is used to establish targets and to assess progress toward meeting
the established targets.
Performance Target - Performance target means a quantifiable level of performance or condition,
expressed as a value for the measure, to be achieved within a time period required by the Federal
Transit Administration (FTA).
Risk - Risk means the composite of predicted severity and likelihood of the potential effect of a hazard.
Risk Mitigation - Risk mitigation means a method or methods to eliminate or reduce the effects of
hazards.
Safety Assurance - Safety Assurance means processes within a transit agency's Safety Management
System that functions to ensure the implementation and effectiven ess of safety risk mitigation, and to
ensure that the transit agency meets or exceeds its safety objectives through the collection, analysis,
and assessment of information.
Safety Management Policy - Safety Management Policy means a transit agency's documented
commitment to safety, which defines the transit agency's safety objectives and the accountabilities and
responsibilities of its employees in regard to safety.
Safety Management System (SMS) - Safety Management System (SMS) means the formal, top-down,
organization-wide approach to managing safety risk and assuring the effectiveness of a transit agency's
safety risk mitigation. SMS includes systematic procedures, practices, and policies for managing risks
and hazards.
SMS Executive - Safety Management System (SMS) Executive means a Chief Safety Officer or an
equivalent.
Safety Performance Target - Safety Performance Target means a Performance Target related to safety
management activities.
Safety Promotion - Safety Promotion means a combination of training and communication of safety
information to support SMS as applied to the transit agency's public transportation system.
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Safety Risk Assessment - Safety Risk Assessment means the formal activity whereby a transit agency
determines Safety Risk Management priorities by establishing the significance or value of its safety
risks.
Safety Risk Management - Safety Risk Management means a process within a transit agency's Public
Transportation Agency Safety Plan for identifying hazards and analyzing, assessing, and mitigating
safety risk.
Serious Injury - Serious injury means any injury which:
(1) Requires hospitalization for more than 48 hours, commencing within 7 days from the
date of the injury was received;
(2) Results in a fracture of any bone (except simple fractures of fingers, toes, or noses);
(3) Causes severe hemorrhages, nerve, muscle, or tendon damage;
(4) Involves any internal organ; or
(5) Involves second- or third-degree burns, or any burns affecting more than 5 percent of
the body surface.
Small Public Transportation Provider - Small public transportation provider means a recipient or
subrecipient of Federal financial assistance under 49 U.S.C. 5307 that has one hundred (100) or fewer
vehicles in peak revenue service and does not operate a rail fixed guideway public transportation
system.
State - State means a State of the United States, the District of Columbia, Puerto Rico, the Northern
Mariana Islands, Guam, American Samoa, and the Virgin Islands.
State of Good Repair - State of good repair means the condition in which a capital asset is able to
operate at a full level of performance.
State Safety Oversight Agency - State Safety Oversight Agency means an agency established by a State
that meets the requirements and performs the functions specified by 49 U.S.C. 5329(e) and the
regulations set forth in 49 CFR part 674.
Transit Agency - Transit agency means an operator of a public transportation system.
Transit Asset Management Plan - Transit Asset Management Plan means the strategic and systematic
practice of procuring, operating, inspecting, maintaining, rehabilitating, and replacing transit capital
assets to manage their performance, risks, and costs over their life cycles, for the purpose of providing
safe, cost-effective, and reliable public transportation, as required by 49 U.S.C. 5326 and 49 CFR part
625.
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Packet Pg. 577 Attachment: Collier County PTASP (12224 : Collier Area Transit Public Transit Agency Safety Plan)
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List of Acronyms Used in the Safety Plan
Acronym Word or Phrase
CAT Collier Area Transit
ESRP Employee Safety Reporting Plan
FTA Federal Transit Administration
SMS Safety Management System
PTASP Public Transit Agency Safety Plan
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Appendix
SRM Form
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Packet Pg. 579 Attachment: Collier County PTASP (12224 : Collier Area Transit Public Transit Agency Safety Plan)
Employee Safety Reporting Form
Tracking #
Date Received:
Please check applicable subjects:
□ Route □ Schedule □ Bus Stop □ Shelter Vehicle □ Passenger
□ Client drop off/pick up location □ Facility □ Equipment □ Other
(If applicable, please include route number, bus stop location, shelter location, vehicle number or client
drop off/pick up address.
Please explain your concern/issue/question:
Please tell us your recommended solution:
____________________________________________________________
____________________________________________________________
____________________________________________________________
____________________________________________________________
Safety Committee/Safety Specialist comments:
____________________________________________________________
____________________________________________________________
____________________________________________________________
____________________________________________________________
Employee Name (optional):
____ ______________________________________
(If you provide your name and preferred method of contact, the committee will respond to you directly).
Thank you for your participation!
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Packet Pg. 580 Attachment: Collier County PTASP (12224 : Collier Area Transit Public Transit Agency Safety Plan)
Safety Risk Management (SRM) Review Worksheet
Subject Matter Expert (SME):
Experienced Operator
Senior Transit Supervisor –
Hazard Identification Source
Hazard Identification:
Hazard Statement:
Practical Drift:
Hazard Identification: Operational System Description:
Planning/Maintenance/Marketing:
Hazard Statement:
Should be here
At this time
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Packet Pg. 581 Attachment: Collier County PTASP (12224 : Collier Area Transit Public Transit Agency Safety Plan)
Hazard Analysis:
Evaluation of the Safety Risk:
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Our Safety Risk Tolerance is Acceptable with Mitigation.
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Packet Pg. 583 Attachment: Collier County PTASP (12224 : Collier Area Transit Public Transit Agency Safety Plan)
__________________________________
Transit - Facilities, Routes, Safety, Security, IT
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Collier County System Safety Program Plan (SSPP)
http://sp16/sites/PSD/Operations/PTNE/System%20Safety%20Program%20Plan.aspx
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MV SMS Plan
http://sp16/sites/PSD/Operations/PTNE%20Files/Safety%20Management%20System%
20Plan%20%202019.pdf
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Packet Pg. 586 Attachment: Collier County PTASP (12224 : Collier Area Transit Public Transit Agency Safety Plan)