200B1 Policy Statement & Authority for SSPP 11314-A 256BFacilities Inspections: Non-Revenue Facilities 203B2 204BSSPP Goals and Objectives 11314-B 256BFacilities and Equipment Inspections: Stations and Emergency Equipment 207B3 208BSSPPSSSSPP Overview of Management Structure VV256BFacilities and Equipment Inspections: Tunnels, Bridges, and Aerial Structures 212BSSPP Control and Update Procedure 11314-D 256BFacilities and Equipment Inspections: Signal Communication, Train Control, Grade Crossing 216BSSPP Implementation Activities & Responsibilities 11314-E 256BEquipment Maintenance Program: Measuring and Testing Instrumentation 219B6 220BHazard Management Process 259B15-A 260BMaintenance Audits and Inspections – Rail Vehicle Inspection 223B7 224BSystem Modification Review and Approval Process 205B15-B 206BMaintenance Audits and Inspections – Grade Crossing Safety Inspection - Signal 227B8 228BSafety and Security Certification 209B15-C 210BMaintenance Audits and Inspections – Switch and Turnout Inspection 231B9 232BSafety Data Collection and Analysis 16-A Training Certification Programs: Train Operators, Controllers, and Line Supervisors 235B10 236BAccident/Incident Reporting & Investigation 16-B Training Certification Programs: LRV Maintenance Employees 239B11 240BEmergency Management Program 16-C Training Certification Programs: Wayside Maintenance Employees 243B12 244BInternal Safety Audits 237B17 238BConfiguration Management 247B13-A 248BRules Compliance: Observation and Enforcement 241B18 242BLocal, State, and Federal Requirements: Employee Safety Program 251B13-B 252BRules Compliance and Operations Safety Compliance 245B19 246BHazardous Materials Program 11313-C of Service 249B20 250BDrug and Alcohol Program
2015 CPUC SYSTEM SAFETY REVIEW CHECKLIST FOR NORTH COUNTY TRANSIT DISTRICT (NCTD) Checklist No. 2 Element System Safety Program Plan: Goals and Objectives Date of August 18, 2015 11:30-13:00 Department(s) NCTD Senior Management NCTD Safety Auditors/ Inspectors Daren Gilbert Stephen Artus Noel Takahara Mike Borer Michael Lange (FRA Observer) Persons Contacted Matt Tucker Don Filippi Mike Wygant Susan Lucero Bryant Abel Adam Renteria CPUC General Order 164-D NCTD System Safety Program Plan (SSPP) version 8 dated January 2014 System Safety Program Plan: Goals and Objectives Interview NCTD Senior Management and review appropriate records to: Determine whether NCTD is making progress towards the ongoing and objectives identified in SSPP. Obtain examples of how goals are evaluated (metrics and measures) and review documentation used to track NCTD activities to meet the goals and objectives. For example, if NCTD 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 Executive Director 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 Executive Director. Is the Executive Director receiving sufficient information to ensure NCTD is meeting its safety and objectives? Are rule violations and other key safety metrics being tracked and reported to the Executive Director?
Findings: None. Comments: None. Recommendations: None. 2015 CPUC SYSTEM SAFETY REVIEW CHECKLIST FOR NORTH COUNTY TRANSIT DISTRICT (NCTD) Checklist No. 10 Element Accident/Incident Investigations Date of Audit August 24 2015 09:00-11:00 Department(s) Operations Department Safety Department Auditors/ Inspectors Howard Huie Daniel Kwok Persons Contacted Don Filippi Dixon Susan Lucero Loretta Rains Byll Shelton CPUC General Order 164-D CPUC General 172 NCTD System Safety Program Plan (SSPP) version 8 January 2014 Sprinter Accident Investigation Plan (AIP) dated December 2011 Accident/Incident Investigations
Quiz of the week. Herzog provided three years of training records to Staff from two randomly selected Train Operators, Operations Supervisors, and Controllers to review for compliance against Herzog’s training procedures and requirements. Staff did not find any issues of noncompliance. Findings: None. Comments: None. Recommendations: None. 2015 CPUC SYSTEM SAFETY REVIEW CHECKLIST FOR NORTH COUNTY TRANSIT DISTRICT (NCTD) Checklist No. 12 Element Internal Safety and Security Audits/Reviews Date of Audit August 24, 2015 15:00-16:00 Department(s) Safety Department Transit Enforcement Department Auditors/ Inspectors Rupa Shitole Howard Huie Persons Contacted Don Filippi – Chief of Safety Jason Dixson – Rail System Safety Specialist Susan Lucero – System Safety & Compliance Inspector Bryant Abel – Project Safety Review Officer Robert Threatt – Internal Auditing and Reporting
NCTD’s Director of Real Estate states the procedure has been informally been in effect since 2012, and was formally documented in 2015. Staff reviewed three Engineering Project Reviews: #13438 (12/27/2013) #29631 (11/20/2014) #41245 (7/17/2015) Staff noted that the review checklist looked over the basic requirements of DEV – 4004, and issued Right-of-Entry permits if all requirements are met. NCTD states that Section 1.3 and 2.1 of their SSPP establishes that the SSPP applies to all SPRINTER systems and facilities, and all NCTD personnel and contractor personnel. NCTD states that their RWP establishes the Employee-in-Charge (EIC) as the on-site NCTD representative, and has absolute authority over the work area. NCTD SSPP Section 13.5.2 states the Safety department performs field inspections and annual safety audit. The Safety department performs RWP inspections and Construction Site Safety Inspections. Staff reviewed two RWP Inspections: #42262 (8/31/2015) #11359 (10/22/2013) No discrepancies found. Staff reviewed three Construction Site Safety Inspections: #39020 (6/5/2015) #25258 (8/28/2014) #13598 (12/31/2013) No discrepancies found. NCTD states all departments are involved in reviewing and commenting during the design process for any projects to be built on or near NCTD property. NCTD states they are involved with SANDAG and various city governments during the design process. NCTD states RWP is given to everyone who is to work on NCTD property, and contractors would be trained prior to starting construction. There have been no projects along the SPRINTER line within the past 3 years. Sprinter Operations Facility Access:
NCTD should create a formal process for operations procedures review. (SSPP, Section 13.0) NCTD should initiate a sign-in procedure to ensure all appropriate personnel receive new and/or revised issues. (GO 143-B, Section 13.01) 2015 CPUC SYSTEM SAFETY REVIEW CHECKLIST FOR NORTH COUNTY TRANSIT DISTRICT (NCTD) Checklist No. 13-F Element Rules Compliance: Operations Control Center Date of August 27, 2015 09:00-11:00 Department(s) Safety Department Operations Department Auditors/ Inspectors Debbie Dzaidzio Howard Huie Joey Bigornia Persons Contacted Fred Sandoval – NCTD Signal Engineer Robert Lawrence – Communications Technician HTI MarK Richroth – Director of Communication Systems HTI Dustin Barton – Systems Manager HTI CPUC General 164-D CPUC General Order 143-B NCTD System Safety Program Plan (SSPP) version 8 dated January 2014 Escondido Subdivision Gangway Operation, dated November 2014 Herzog Temporal Separation Checklist, dated June 2012 Rules Compliance: Operations Central Control Interview NCTD representatives responsible for operations rules and procedures and review necessary documentation to determine whether: The OCC Manual is reviewed and revised, as necessary, on an as needed
Dennis Mustoe, General Manager (Transit America Services Inc.) Eric Contreras, Training and Safety Compliance Officer (Transit America Services Inc.) Jason Dixon, System Safety Specialist CPUC General Order 164-D CPUC General Order 143-B NCTD System Safety Program Plan (SSPP) version 8 dated January 2014 Local, State, and Federal Requirements: Employee Safety Program Interview NCTD personnel and review appropriate records for last 3 years to determine whether or not: NCTD Operations and Wayside contractors hold monthly safety meetings. The monthly safety meetings appropriately respond to employees’ complaints regarding safety problems. An appropriate procedure and reporting form for work place safety hazards is implemented, and distributed to all employees. Employees are aware of the safety training and certification programs and properly documented. Appropriate corrective actions regarding employee safety have either been satisfactorily completed, tracked, and documented to closure. Has NCTD had any problems complying with local, state, or federal requirements? Review meeting minutes to identify any problems and assess how the issue was handled and resolved. Verify construction projects have specific procedures in place to ensure worker protection and public safety by fostering an awareness and concern for safety on the job site. Verify procedure implementation is the responsibility of the contractor organization performing the work and NCTD. Verify NCTD’s operating and maintenance safety rules and procedures are included in construction contracts to bind contractors and employees to fulfilling their roles and responsibilities safely.
None. 2015 CPUC SYSTEM SAFETY REVIEW CHECKLIST FOR NORTH COUNTY TRANSIT DISTRICT (NCTD) Checklist No. 19 Element Hazardous Materials Program Date of August 27, 2015 09:00-12:00 Department(s) Safety Department LRV Maintenance Department Facilities Department Auditors/ Inspectors Joey Bigornia Howard Huie Persons Contacted Loretta Rains, Manager of Safety and Environmental Control, Veolia Transportation Neil James – Bombardier General Manager Casey Klein - Bombardier Janice – NCTD Quality Control Supervisor Toby Kish, NCTD Facilities Coordinator Tony Collaso – NCTD Facilities Coordinator Stacey Coppess – TASI Facilities Manager Matt Marasciullo - First Transit AGM Facilities Maintenance CPUC General Order 164-D CPUC General Order 143-B NCTD System Safety Program Plan (SSPP) version 8 dated January 2014 Bombardier Injury and Illness Prevention Program Training Matrix First Transit Hazardous Materials Handling and Storage(SOP #A016) dated April 2011
Dispatchers are employed by HTSI (subsidiary of Herzog), and their Drug and Alcohol plan is compliant with 49 CFR 219 since dispatchers control both COASTER (railroad) and SPRINTER (transit) lines. is no prohibition for the use of over-the-counter drugs, but employees should consult a medical professional if they feel the drugs may affect their job duties. HTSI states there have been no dispatchers that have tested positive for drug and alcohol in the past 3 years. Staff reviewed testing records for the past 3 years and found that 7 dispatchers were tested in the past 3 years. HTSI describes that 2 employees are selected every month. These employees are selected from a pool which consists of all employees covered under the 49 CFR 219 plan (all TASI (which includes KABLER employees) and HTSI employees). The selection process for employees are random, and a 3rd party performs the selection for which employee will be tested that month. If an employee were to test positive, they are decertified and given the option to go through the Substance Abuse Program (SAP). If they refuse to participate in the SAP, then they are terminated. After they complete the program, they may return to work, but are subject to additional random testing for 1-2 years (12 tests, 6 within first 6 months of returning to work). If the employee tests positive again, they are terminated. Dispatchers have been audited once (10/20/2014) in the past 3 The audit had no recommendations, and no corrective actions. HTSI states the requirement is not applicable to dispatchers. The FRA requires employees must work over 400,000 man hours before needing to submit statistics. HTI (Herzog Technologies Inc.): Signal maintainers were employed by KABLER (subsidiary of Herzog) from 2013 to June 2014. From July 2014 to Present, the signal department of KABLER was transferred to HTI (subsidiary of Herzog). Signal employees were employed by KABLER (subsidiary of Herzog) from 2013 to June 2014, and are employed by HTI (subsidiary of Herzog). Their Drug and Alcohol plan was the same as the HTSI/TASI plan, and compliant with 49 CFR 219. After the transfer, Herzog states the signal employees were automatically covered under the HTI Drug and Alcohol policy, which is also compliant with 49 CFR 219. Staff asked to review D&A training records for signal employees after