Create formal documentation to the purpose and functionality of the SCADA system per VTA’s SSPP. Create a Safety Certification Plan and/or Project Outline detailing the SCADA system replacement for Staff and VTA’s RSSRB to review and approval per GO 164-D, FTA Handbook for Transit Safety and Security Certification, and VTA’s SSPP. 13-F 19 VTA should create a formal process to track all their SCADA and call in incidents to its completion, per GO 164 and VTA’s SSPP. 13-F 20 VTA should take any action necessary to ensure that the 5-year dry standpipe testing and certification is conducted according to the frequency as stated in its 5-Year Dry Standpipe Testing and Certification procedure, MTN-PR-6310. 14-A 21 VTA should review the New Employee Checklist procedure, MTN-PR-3005, to determine if it should either update the procedure to reflect the elimination of the Facilities Maintenance Supervisor position and the transfer of the responsibilities for that position to a different responsible party or eliminate this procedure. 14-A 22 VTA should make sure that all circuit plan changes need to be approved by VTA Engineering department and sent back to VTA Signal Supervisor for distribution. 14-E 23 VTA should review the current calibration stickers for multimeters to ensure they match with the calibration certificate records and correct them if they do not match. 14-F 24 VTA should ensure all facilities are properly maintained, and all track areas are free of fouling materials as per VTA procedures. 14-G 25 VTA should perform maintenance as directed by its procedures and manufacturer standards. VTA Light Rail Vehicle (LRV) Preventative Maintenance (PM) Procedure MTN-FR-5139 7.4.1.1 requires carbon contact strips to be 15-A
2014 CPUC SYSTEM SAFETY REVIEW CHECKLIST FOR SANTA CLARA VALLEY TRANSPORTATION AUTHORITY (VTA) Checklist No. 2 Element System Safety Program Plan: Goals and Objectives Date of October 8, 2014 Oaks Facility Department(s) VTA Senior Management Auditors/ Inspectors Daren Gilbert Stephen Artus Steven Espinal Michael Borer Rupa Shitole Varoujan Jinbachian Persons Contacted Ms. Nuria Fernandez, General Manager/CEO Michael Hursh, Chief Operating Officer Steven Keller, Director of System Safety & Security Michael Brill, Transit System Safety Officer Bruce Turner, Transit System Safety Supervisor CPUC General Order 164-D VTA System Safety Program Plan (SSPP) version 12 dated February 2014 System Safety Program Plan: Goals and Objectives Interview VTA Senior Management and review appropriate records to: Determine whether VTA is making significant progress towards the ongoing goals and objectives identified in SSPP. Obtain examples of how are evaluated (metrics and measures) and review documentation used to track VTA activities to meet the goals and objectives. For example, if VTA set a goal of reducing incidents by 10%, has this been achieved? How is this metric tracked and reported? Determine how safety performance is reported to the General Manager (GM/CEO) and Chief Operating Officer (COO) or other senior management (i.e., monthly or annual safety reports, quarterly viewgraph presentations, etc.). Make a determination regarding the adequacy of the safety information provided to the GM. Is the GM receiving sufficient information to ensure VTA is meeting its safety goals and objectives? Are rule violations and other key safety metrics being tracked and reported to the COO?
The SSPP and referenced or supporting procedures ensure a process exists for addressing safety issues and concerns in system modifications. The Safety Department is involved in assessing/ensuring safety concerns are addressed in system modifications by identifying their specific activities in the process such as documentation participation in testing and inspections and observations performed at work sites. Select three system modification projects implemented at random, Verify that this process was consistent with SSPP requirements and included an evaluation of potential hazards the modification pose to the system. Verify that these hazards were addressed and included an evaluation of potential hazards arising from the proposed modification. (i.e., emails, meeting minutes, sign-offs, inspection checklists, etc.). Verify that any changes made as a result of a system modification are now reflected in final as-built drawings for the facility and/or specifications for the vehicle and/or equipment. Verify that VTA’s configuration management process has been followed to address system modification, and no unauthorized modifications were implemented. Activities: Staff interviewed the VTA Maintenance Engineering, Engineering & Transportation Infrastructure Development , and System Safety Department representatives responsible for assessing System Modification and determined the following: Maintenance Engineering: SSPP Element 15 identifies Configuration Management (CM) for review, approval and implementation of system modifications. Maintenance Engineering Department has an established Configuration Management Program (CMP), MTN-PR-1001, to govern the duties of all those involved with ensuring the safe and appropriate implementation of all system modifications. System Safety & Security Department Director is required to sign the Configuration Change Request Form acknowledging review and/or issuance of comments for the system
2014 CPUC SYSTEM SAFETY REVIEW CHECKLIST FOR CLARA VALLEY TRANSPORTATION AUTHORITY (VTA) Checklist No. 8 Element Safety and Security Certification Date of Audit October 8, 2014 River Oaks Office Department(s) Construction Department VTA SVBX Project Team Maintenance Engineering Department System Safety Department Security Department Auditors/ Inspectors Robert Hansen Claudia Lam Persons Contacted Ramesh Dhingra, Systems Design Manager, Systems Engineering John Donahue, VTA/SVBX Group Manager Art Douwes, Operations Manager, Operations Engineering Mark Mahaffey, Operations Manager, Security Laila Mahroom, SVBX Safety and Security Project Manager Kenneth Ronsse, Deputy Director, Engineering & Transportation Infrastructure Development CPUC General Order 164-D VTA System Safety Program Plan (SSPP) version 12 February 2014 VTA Light Rail Safety Certification Plan Safety and Security Rail Design Criteria dated January 2011 Safety and Security Certification Plan for BART VTA Silicon Valley Berryessa Extension (SVBX) Project dated 6/30/2011. VTA Safety Certification (SCPs) for all minor/major projects such as but not limited to: Great America Station Platform Tasman Pocket New Substation near Levi’s Stadium New Crossing at Levi’s Stadium
The SVBX SSRC has met on a monthly basis and as-needed throughout the project life. Staff reviewed the master checklist for certifiable items. Staff reviewed samples of designs stamped and signed by Registered Engineers. Staff reviewed several Non-Conformance Reports and noted a Registered Engineers had stamped and signed the analyses. The SSMP outlines the training requirements and updates to training programs which will be made as the project approaches completion. Staff reviewed both the Project and the Contractor’s testing program plans. Both BART’s and VTA’s highest-ranking officers will be required to sign the Final Safety Certification Verification Report. Staff reviewed the signature page of the Draft report to verify the requirement. The SSRC includes members from BART’s System Safety Department and Police Department. The project workshops with stakeholders to distribute and discuss certification materials. The VTA’s Rail System Safety Review Board is the forum for coordination between departments, and hosts regular debriefings regarding staffing, preparation for the Mountain View Station project, and other coordination issues. Findings: The VTA procedures provided to Staff, including the SSPP, did not clearly define how new projects would be selected to require submittals of Safety Certification Plans to the CPUC. Safety Certification Plans have not been submitted for several projects which VTA explained will require certification but have passed the Preliminary Engineering Phase. Comments: The VTA personnel present during the audit activities were unknowledgeable in CPUC’s requirements and VTA’s own procedures for safety certification. At numerous times, questions could not be answered and Staff was referred to absent individuals. This was attributed to scheduling conflicts with other CPUC review checklists. Recommendations: VTA should revise the SSPP and the procedure to define which types of “major projects” VTA intends to submit a Safety Certification Plan to CPUC.
All immediately reportable accident or incident notifications to CPUC contained all the information required by General 164-D, Section 7.3. All accidents and incidents were investigated in compliance with the requirements of General Order 164-D, Section 8, and the AIIP. Video recordings from inward-facing in-cab cameras are reviewed under the required conditions listed in General Order 172, Section 4.3. Verify if FRA (on corridor), NTSB, and NTD notifications are made as applicable depending on the incident reporting threshold. Review some records. A final report was submitted for each accident or incident according to the requirements in General Order 164-D. Each final report includes identification of: All evidence processed during the investigation; Findings of the most probable Findings of contributory Corrective Action Plans to address the identified causes with the goal of minimizing the probability of recurrence; A schedule for implementing the CAPs, including completion date or plan for monitoring progress on an on-going basis. Activities: Staff interviewed the VTA Director of System Safety and Security, Transit Systems Safety Officer, Captain SC Sheriff and Senior Management Analyst regarding Accident/Incident Investigations and Staff reviewed the following records and documentation: Accidents selected for review. July 30, 2012 First Street & Mission Street June 3, 2013 Tasman Station June 8, 2013 Sunol Street Crossing January 17, 2014 Stokes Street & Southwest Expressway
2014 CPUC SYSTEM SAFETY REVIEW CHECKLIST FOR SANTA CLARA VALLEY TRANSPORTATION AUTHORITY (VTA) Checklist No. 11 Element Emergency Management Program Date of Audit October 9, 2014 River Oaks Facility Guadalupe Yard – LR Division Department(s) Security Department System Safety Department Rail Technical Training Department Auditors/ Inspectors Howard Huie Joey Bigornia Persons Contacted Michael Brill, Transit Systems Safety Officer Cathy Hendrix, Senior Management Analyst Lera, Captain, Office of the Sheriff, County of Santa Clara Janice Broock, Transportation Superintendent Code of Federal Regulations, Title 49 Part 659.23 – System security plan: contents CPUC General Order 164-D VTA System Safety Program Plan (SSPP) version 12 dated February 2014 VTA Emergency Operations and Business Recovery Plan (EOP) Emergency Management Program Conduct the necessary interviews regarding VTA’s emergency planning, training, and program and review appropriate records prepared during the last three years to: Solicit an overview of the process for VTA’s emergency planning, training, and drill/exercise program and specific examples of coordination with emergency response agencies on emergency planning and drill/exercises Determine the biggest challenges VTA safety department face in coordinating or supporting VTA’s emergency planning process. Verify that a schedule has been created and followed. Determine when was the last one performed? Was an after action report developed? Was the after action report used to make changes to VTA’s Emergency Operation and Business Recovery Plan (EOP) and/or procedures? If so, have these changes been communicated to VTA personnel? Verify the process through which emergency responders and other outside agencies are involved in the VTA emergency planning. Verify that drill outcomes and evaluations were incorporated into response plans and
3. Pocket track 4. Bay Station and west turnouts 5. Guadalupe yard Findings: PM and track inspection records and Records for two turnout inspection areas: S-19 and RP-21 turnouts 2012: No monthly walking inspections in entire year (MTN PR-6403 4.1.2) 2012: No monthly turnout inspections in entire year (MTN PR-6403 4.1.3) 2012: No first quarter “Detailed turnout/mechanism inspection” (MTN PR-6403 4.1.4) 2012: No first or last quarter “Signaled and electronically controlled track switches” inspections (May and September of 2012 only; MTN PR-6403 4.1.5). 2014: VTA weekly Hi-rail and quarterly walking inspection forms did not consistently indicate locations of deviations or defects according to VTA inspection form policy (by station or milepost limits), or did not list “additional personnel accompanying the inspection trip” (VTA supervisors indicated that it is VTA policy for inspections to be done in teams). PM and track inspection records 2014: Only one inspection record, 1-21-14, notes any surface or profile irregularity at Hamilton Platform: “2 inches, non-critical”. Records for two turnout inspection areas: S-19 and RP-21 turnouts 2014: Mandated inspections were done, but conditions noted by CPUC track inspectors in “Visual Inspections” section below for S-19 and RP-21 turnouts were not observed by VTA inspectors or noted on inspection forms. Geometry car inspection reports 2012: No geometry car inspection documented for 2014. Visual inspections
2014 CPUC SYSTEM SAFETY REVIEW CHECKLIST FOR SANTA CLARA VALLEY TRANSPORTATION AUTHORITY (VTA) Checklist No. 19 Element Hazardous Materials Program Date of Audit October 15, 2014 River Oaks Facility Department(s) Enterprise Risk Management Operations Maintenance Department Auditors/ Inspectors Xia Yan Solopov Persons Contacted Walter Marchetti, Environmental Health and Safety Supervisor George Sandoval, Operations Manager LR Maintenance Administration David Acosta, Light Rail Maintenance Training Supervisor Randy Hester, Light Rail Vehicle Maintenance Supervisor Steven Keller, Director of System Safety and Security Jesse Soto, Facilities Maintenance Manager Coordinator CPUC General Order 164-D CPUC General Order 143-B VTA System Safety Program Plan (SSPP) version 12 February 2014 VTA Injury and Illness Prevention Program (IIPP) Hazardous Materials Program Select at random at six VTA employees responsible for handling hazardous materials, and verify that they have received specific training for reporting requirements, product release or spill, and spill incident response and clean-up. Verify that hazardous materials reports for incidents in the past 3 years have been prepared and filed properly. Randomly review records. Verify that all MSDSs are available to all personnel who handle hazardous materials.