Contract - Round Rock Transit - 2/23/2023 Round Rock Transit
Agency Safety Plan
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Round Rock Transit
Public Transportation Agency Safety Plan
Version 2
Adopted June I 1 ,r 2020
In compliance with 49 CFR Part 673
Version 2- Updated December 2022
Round Rock Transit
Agency Safety Plan
RCIUWIO U2U�GK
TEXAS
TABLE OF CONTENTS
1. Executive Summary...........................................................................................................................4
A. Plan Adoption..............................................................................................................................4
B. Update Log...............................................................................................................................4
2. Transit Agency Information.............................................................................................................5
A. Authorities& Responsibilities..................................................................................................6
3. Safety Policies and Procedures........................................................................................................6
A. Policy Statement........................................................................................................................6
I. Employee Safety Reporting Program...............................................................................7
II. Communicating the Policy Throughout the Agency......................................................8
B. PTASP Development and Coordination with TxDOT.............................................................8
C. PTASP Annual Review...............................................................................................................8
D. PTASP Maintenance.................................................................................................................9
E. PTASP Documentation and Recordkeeping...........................................................................9
F. Safety Performance Measures..............................................................................................10
G. Safety Performance Target Coordination............................................................................10
4. Safety Management Systems................................................................................................11
A. Safety Risk Management.................................................................................................11
I. Safety Hazard Identification.........................................................................................12
I. Safety Risk Assessment................................................................................................13
III. Safety Risk Mitigation..................................................................................................14
IV. Infectious Diseases......................................................................................................15
B. Safety Assurance.............................................................................................................15
I. Safety Performance Monitoring& Measuring............................................................15
II. Safety Event Investigations.........................................................................................16
C. Safety Promotion............................................................................................................16
I. Safety Competencies&Training...................................................................................16
II. Safety Communication..................................................................................................17
5. Appendix A..............................................................................................................................18
A. Glossary of Terms.............................................................................................................18
B. Additional Acronyms Used...............................................................................................22
6. Appendix B..............................................................................................................................23
A. City Council Minutes of Resolution...................................................................................23
Round Rock Transit
Agency Safety Plan
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LIST OF FIGURES
Figure 1: Round Rock Transit Organizational Chart..........................................................5
Figure 2: Safety Management Systems...........................................................................11
Figure 3: Safety Risk Management Process....................................................................12
Figure 4: Safety Risk Assessment Steps in Populating the Risk Register.........................14
LIST OF TABLES
Table 1: Agency Information.............................................................................................5
Table 2: NSP Safety Performance Measurers.................................................................10
Table 3: Baseline 2019 Safety Performance Measures...................................................10
Table 4: PTASP Supporting Documents..........................................................................18
1 . EXECUTIVE SUMMARY
Through the Moving Ahead for Progress in the 21st Century(MAP-21),the Fixing America's Surface
Transportation Act(FAST Act) and the Bipartisan Infrastructure Law PTASP requirements, Congress
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effect on July 19,,2019 after which affected public transportation agencies will have one year to certify
the initial establishment of their safety plans. The plan then must be updated annually.
level and the goals of the requires operators of public transportation systems that receive Federal Transit Administration(FTA)
certified,Round Rock City Council and RRT adopt this ASP.
A. UPDATED PLAN CERTIFICATION - 67111 (A)(1)
The Public Transit Agency Safety Plan was originally certified and adopted on June 11 2020andis
being updated as required by the Bipartisan Infrastructure Law, and signed ,",
Laurie Medley,City Manager
Y U4ECUTIVE ObNATURE DATE
ACCOUNTABLE
B. PLAN UPDATE LOG
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The ple en�tatlon f MS i an on oIn and iterative process,arid,as Is uch,this P'TASP is a wo rl in
docu m ent.Therefore,a clear record of changes and a ljustr ents is Dept in the PTASP for t he be nefit of
safety plan performance management and to comply with Federal statutes.
2. TRANSIT AGENCY INFORMATION — 673e23(D)
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routes,
Americans with Disabilities Act(ADA) paratransit service under a full turnkey contract and will
implement on-demand micro transit in 2023. The ADA paratransit service with an accessible fleet of
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Round Rock Transit
Agency Safety Plan
RCIUWIO ROCK
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an Intermodal Transit and Parking Facility, located at 300 West Bagdad Avenue with American Recovery
and Reinvestment Act (ARRA)funds.This facility includes an indoor ticketing office for Greyhound Bus
Lines, bus bays, and a 2-level parking structure.
RRT is a division of the Transportation Department of the City of Round Rock.The Transit Coordinator is
responsible for overseeing all aspects of the program.The Coordinator reports to the Director of
Transportation who, in turn, reports to the Assistant City Manager.
TABLE 1:AGENCY INFORMATION
Information Type Information
Full Transit Agency Name Round Rock Transit
Round Rock Transit Address 3400 Sunrise Road, Round Rock,TX 78665
Name and Title of Accountable Executive 673.23(d)(1) Laurie Hadley,City Manager
Name of Chief Safety Officer or SMS Executive Edna Johnson,Transit Coordinator
673.23(d)(2)
Key Staff Gary Hudder, Director of Transportation
Mode(s)of Service Covered by This Plan 673.11(b) Fixed Route Bus&ADA Paratransit/On-Demand
List All FTA Funding Types(e.g.,5307,5310,5311) 5307
Mode(s)of Service Provided by the Transit Agency
Fixed Route Bus&ADA Paratransit
(Directly operated or contracted service)
Number of Vehicles Operated j 5 Fixed Route—4 Paratransit
Figure 1: Round Rock Transit Organizational Chart
Transporation
Director
Chief Safety
Officer
A. Authorities & Responsibilities — 673.23(d)
As stated in 49 CFR Part 673.23(d), RRT is establishing the necessary authority, accountabilities, and
responsibilities for the management of safety amongst the key individuals within the organization. In
general,the following defines the authority and responsibilities associated with our organization.
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The Accountable Executive has ultimate responsibility for carrying out the SMS of the public
transportation for the City of Round Rock,and control or direction over the human and capital resources
needed to develop and maintain both the ASP, in accordance with 49 U.S.C. 5329(d), and the agency's
TAM Plan, in accordance with 49 U.S.C. 5326.The Accountable Executive has authority and
responsibility to address substandard performance in the RRT SMS, per 673.23(d)(1).
Agency leadership and executive management are those members of our agency leadership or
executive management,other than the Accountable Executive,Chief Safety Officer(CSO)/SMS
Executive,who have authority or responsibility for day-to-day implementation and operation of our
agency's SMS.
The CSO is an adequately trained individual who has the authority and responsibility as designated by
the Accountable Executive for the day-to-day implementation and operation of the RRT SMS.As such,
the CSO is able to report directly to our transit agency's Accountable Executive.
Front line employees perform the daily tasks and activities where hazards can be readily identified so
the identified hazards can be addressed before the hazards become adverse events.These employees
are critical to SMS success through each employee's respective role in reporting safety hazards, which is
where an effective SMS and a positive safety culture begins.
3. SAFETY POLICIES AND PROCEDURES
A. Policy Statement - 673.23(a)
Safety is RRT's first priority. RRT is committed to implementing, developing, and improving strategies,
management systems, and processes to ensure that all our activities uphold the highest level of safety
performance and meet required safety standards.
We will develop and embed a safety culture in all our activities that recognizes the importance and value
of effective safety management and acknowledges at all times that safety is paramount. We will clearly
explain for all staff their accountabilities and responsibilities for the development and operation of the
SMS.
For passengers and employees,we will minimize the safety risk associated with transit service to as low
as reasonably practicable and we will work to comply with and, wherever possible, exceed legislative
and regulatory requirements and standards. We also will work to ensure that all employees are provided
with adequate and appropriate safety information and training, are competent in safety matters, and
are only allocated tasks commensurate with their skills.
We have established Safety Performance Targets (SPTs)to help us measure the overall effectiveness of
our processes and ensure we meet our safety objectives.We will issue quarterly reports to the
transportation department documenting how well we met our SPTs and describing the safety risk
mitigations we implemented to reduce safety risk.
Round Rock Transit
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I. Employee Safety Reporting Program - 673.23(b)
Frontline employees are a significant source of safety data.These employees are typically the first to
spot unsafe conditions that arise from unplanned conditions either on the vehicles, in the maintenance
shop, or in the field during operations. For this reason,the Employee Safety Reporting Program (ESRP) is
a major tenet of the PTASP Rule. Under this rule,agencies must establish and implement a process that
allows employees to report safety conditions directly to senior management; provides protections for
employees who report safety conditions to senior management; and includes a description of employee
behaviors that may result in disciplinary action.
All Capital Metro's fixed route buses are equipped with an OrbStar mobile data terminal.This system
allows for the reporting of the following five pre-set categories of close call: pedestrian/bicycle,fixed
object,vehicle,scooter, and other.When a close call event occurs,the vehicle operator presses the
appropriate button,and a record is created in the OrbCAD database.This record contains the type of
close call,the location and time of the incident, route number and transit vehicle number.
The City of Round Rock has a policy within the Policies and Procedures Manual called the Employee
Grievance Procedure(Appendix A).This procedure applies to all City employees and covers complaints
related to safety issues, inequitable distribution of work, and inequitable or inappropriate treatment.
The procedure requires that when complaints are submitted,the complaints are first routed to the
employee's immediate supervisor in writing within five working days of the incident.The immediate
supervisor then has five working days to respond to the employee's grievance. If the problem is not
resolved,the grievance will then be reviewed by an intermediate level supervisor. If there is not an
intermediate supervisor,the complaint will move directly to the Department Director. If the grievance
involves the Department Director, it will move on to the Assistant City Manager. A written response will
then be given to the employee within five to seven working days, depending on which level of
supervision the grievance moves to.
In general,the RRT ESRP will ensure that all employees are encouraged to report safety conditions
directly to senior management or their direct supervisor for elevation to senior management.The policy
will also spell out what protections are afforded employees who report safety related conditions and
will describe employee behaviors that are not covered by those protections and may result in
disciplinary action. This includes those cases where the reporting employee engaged in an illegal act,
committed gross negligence, or deliberately or willfully disregarded regulations or procedures.
To bolster the information received from frontline employees, RRT will work with contractors and
review their policy and work with them on how our agency can receive information and safety related
data from employees and customers. RRT will develop additional means for receiving, investigating, and
reporting the results from investigations back to the initiator(s)—either to the person,groups of
persons, or distributed agency-wide to ensure that future reporting is encouraged.
II. Communicating the Policy Throughout the Agency - 673.23(c)
RRT is committed to ensuring the safety of our clientele, personnel, and operations. Part of that
commitment is developing an SMS and safety culture that reduces agency risk to the lowest level
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possible.The Safety policy will be provided and communicated to contracted service providers or
contractors and throughout the transit department.
The communication strategy will include posting the policy in prominent work locations for existing
transit employees and adding the policy statement to the on-boarding material for all new transit
employees.The policy will be signed by the Accountable Executive so that all transit employees know
that the policy is supported by management.
B. PTASP Development and Coordination with TxDOT- 673. 11 (d)
This PTASP has been developed by TxDOT on behalf of Capital Area Metropolitan Planning Organization
(CAMPO) and Round Rock Transit/City of Round Rock in accordance with all requirements stated in 49
CFR Part 673 applicable to a small public transportation provider. RRT provided a letter to TxDOT opting
into participation on March 15, 2019 and has been an active participant in the development of this plan
through sharing existing documentation and participating in communication and coordination
throughout the development of this plan.
C. PTASP Annual Review - 673. 11 (a)(5)
Per 49 U.S.C. 5329(d)(1)(D),this plan includes provisions for annual updates of the SMS. As part of RRT's
ongoing commitment to fully implementing SMS and engaging our agency employees in developing a
robust safety culture,. RRT will review the ASP and all supporting documentation annually.The review
will be conducted as a precursor to certifying to FTA that the ASP is fully compliant with 49 CFR Part 673
and accurately reflects the agency's current implementation status. Certification will be accomplished
through RRT's annual Certifications and Assurances reporting to FTA.
The Chief Safety Officer is responsible to review the PTASP annually to ensure that it remains current
and effective.The annual review of the plan will be conducted as part of an internal audit starting at
the fiscal mid-year and ending the same fiscal year.The focus of the review is to:
■ Evaluate current safety tasks and initiatives for appropriateness.
■ Refine and improve task descriptions and activities.
■ Identify new tasks and initiatives,which may be required.
■ Define organizational responsibility for accomplishing safety related tasks.
■ Incorporate organizational,operational,or legislative changes.
Task Jan-March April-June July-Sept Oct-
Dec
Review Agency Operations
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Review SMS Documentation
*Safety Policy
* Risk Management
*Safety Assurance;and
*Safety Promotion
Review Targets and/or set targets
Report Targets to MPO
Update Version,Adopt&Certify
Changes in the transit system operational configuration; management organization;the environment
in which the transit system operates; safety policies,goals,or objectives; or regulatory requirements
may require revision of the PTASP and/or its implementation. Revisions, if necessary, are coordinated
and led by the Chief Safety Officer and approved by the Transportation Director and documented
under Version Control.
D. PTASP M ain ten an ce - 673. 1 1 (a)(2)(c)
RRT will follow the annual review process outlined above and adjust this ASP as necessary to accurately
reflect current implementation status.This plan will document the processes and activities related to
SMS implementation as required under 49 CFR Part 673 Subpart C and will make necessary updates to
this ASP as RRT continues to develop and refine our SMS implementation.
E. PTASP Documentation and Recordkeeping - 673.31
At all times,. RRT will maintain documents that set forth our ASP, including those documents related to
the implementation of RRT's SMS and those documents related to the results from SMS processes and
activities. RRT will also maintain documents that are included in whole,or by reference,that describe
the programs, policies, and procedures that our agency uses to carry out our ASP and all iterations of
those documents.These documents will be made available upon request to the FTA, other Federal
entity, or TxDOT. RRT will maintain these documents for a minimum of three years after the documents
are created.These additional supporting documents will be kept current as a part of the annual ASP
review and update.
F. Safety Performance Measures - 673. 11 (a)(3)
The PTASP Final Rule,49 CFR Part 673.11(a)(3), requires that all public transportation providers must
develop an ASP to include SPTs based on the safety performance measures established under the NSP.
The safety performance measures included in the NSP are fatalities, injuries, safety events,and system
reliability(State of Good Repair as developed and tracked in the TAM Plan).
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There are seven (7)SPTs that must be included in each ASP that are based on the four(4) performance
measures in the NSP.These SPTs are represented in terms of total numbers reported and rate per
Vehicle Revenue Mile (VRM). Each of the seven (7) is required to be reported by mode as presented in
Table .
TABLE Z: NSP SAFETY PERFORMANCE MEASURES
Fatalities Total Number Reported Rate Per Total VRM
Injuries Total Number Reported Rate Per Total VRM
Safety Events Total Number Reported Rate Per Total VRM
System Reliability Mean distance between major mechanical failure
Table 3 presents baseline numbers for each of the performance measures. RRT collected the past five (5)
years of reported data to develop the rolling averages listed in the table. Fixed Route SPTs are based on
numbers reported by Capital Metro.
TABLE 3: BASELINE 2023 SAFETY PERFORMANCE MEASURES
Rate of Rate of Rate of Mean Distance
Mode Fatalities* Injuries* Safety Between Major
Events* Mechanical Failure
Fixed Route (Bus) 0.00** 0.35** 0.20** 5,500**
Demand Response 0 0 0.19 68,000
*rate=total number for the year/total revenue vehicle miles traveled(per 100,000 VRM)
**Safety Performance Baseline and Targets provided by fixed route contractor as reported in their ASP
and independent NTD data reporting.
As part of the annual review of the ASP,. RRT will reevaluate our SPTs and determine whether the SPTs
need to be refined. As more data is collected as part of the SRM process discussed later in this plan,. RRT
may begin developing safety performance indicators to help inform management on safety related
investments.
G. Safety Performance Target Coordination - 673. 15(a)(b)
RRT will make our SPTs available to TxDOT and CAMPO to aid in those agencies' respective regional and
long-range planning processes.To the maximum extent practicable,. RRT will coordinate with TxDOT and
the Metropolitan Planning Organization (MPO) in the selection of State and MPO SPTs as documented in
the Interagency Memorandum of Understanding(MOU).
Each year during the FTA Certifications and Assurances reporting process,. RRT will transmit any updates
to our SPTs to both CAMPO and TxDOT(unless those agencies specify another time in writing).
4. SAFETY MANAGEMENT SYSTEMS - 673 SUBPART C
As previously noted, FTA has adopted SMS as the basis for improving safety across the public
transportation industry. In compliance with the NSP, National Public Transportation Safety Plan, and 49
Round Rock Transit
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CFR Part 673, RRT is adopting SMS as the basis for directing and managing safety and risk at our agency.
RRT has always viewed safety as a core business function.All levels of management and employees are
accountable for appropriately identifying and effectively managing risk in all activities and operations in
order to deliver improvements in safety and reduce risk to the lowest practical level during service
delivery.
SMS is comprised of four basic components-SMP, SRM, SA, and SP.The SMP and SP are the enablers
that provide structure and supporting activities that make SRM and SA possible and sustainable.The
SRM and SA are the processes and activities for effectively managing safety as presented in Figure 2.
FIGURE 2:SAFETY MANAGEMENT SYSTEMS
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,(Leadership
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Implementing SMS at RRT will be a major undertaking over the next several years.This ASP is the first
step to putting in place a systematic approach to managing the agency's risk. RRT has already taken
several steps to implement SMS, such as developing this initial ASP and designating a CSO.
A. Safety Risk Management - 673.25
By adopting this ASP, RRT is establishing the SRM process presented in Figure 3 for identifying hazards
such as vehicular and pedestrian accidents and assaults on transit workers, by analyzing, assessing and
mitigating safety risk in compliance with the requirements of 49 CFR Part 673.25.The SRM processes
described in this section are designed to implement the RRT SMS.
FIGURE 3:SAFETY RISK MANAGEMENT PROCESS
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The implementation of the SRM component of the SMS will be carried out over the course of the next
year.The SRM components will be implemented through a program of improvement during which the
SRM processes will be implemented, reviewed, evaluated, and revised,as necessary,to ensure the SRM
processes are achieving the intended safety objectives as the processes are fully incorporated into RRT's
SOPS.
The SRM is focused on implementing and improving actionable strategies that RRT has undertaken to
identify, assess and mitigate risk.The creation of a Risk Register provides an accessible resource for
documenting the SRM process,tracking the identified risks, and documenting the effectiveness of
mitigation strategies in meeting defined safety objectives and performance measures.
I. Safety Hazard Identification —673.25(b)
The Safety Hazard Identification Process offers theCityand contractors the abilityto identify
hazards and potential consequences in the operation and maintenance of our system.
Examples of sources hazards can be identified through include:
• ESRP
• Data and information from FTA and other oversight authorities
• Review of vehicle camera footage (when available)
• Review of monthly performance data and safety performance targets
• Observations from supervisors
• Maintenance reports
• Facility&vehicle inspections
• Customer,Contractor,and Employee Complaints
• Investigations into safety events, incidents,and occurrences
• Review vehicle specifications to ensure there is no visibility impairments.
When a major hazard is observed by management or supervisory personnel, whatever the
source, it is reported to the Chief Safety Officer. The Chief Safety Officer also receives reports
from the public. The Chief Safety Officer reviews these sources for hazards and may document
major issues in the Safety Risk Register.
The Chief Safety Officer may conduct,or request that a Safety Manager conducts,further
analyses of hazards and consequences entered into the Safety Risk Register to collect
information and identify additional consequences and to inform which hazards should be
prioritized for safety risk assessment. In following up on identified hazards,the Chief Safety
Officer and/or Safety Managers may:
• Reach out to the reporting party,if available,to gather all known information about
the reported hazard
• 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.
0 Conduct interviews with employees in the area to gather potentially
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relevant information on the reported hazard.
• Review any documentation associated with the hazard (records, reports,
procedures, inspections,technical documents, etc.)
• Review any past reported hazards of a similar nature;and
• Evaluate tasks and/or processes associated with the reported hazard.
The Chief Safety Officer will then discuss identified hazards and consequences with the
contractor or other city departments. Any identified hazard that poses a real and immediate
threat to life, property,or the environment must immediately be brought to the attention of the
Chief Safety Office and Director of Transportation and addressed through the SRM process for
safety risk assessment and mitigation.
II. Safety Risk Assessment—673.25(c)
RRT currently uses a Hazard Safety Statistics spreadsheet with a similar framework for assessing risks
and threats with reference to security for the transportation system.This assessment
As part of the new SRM process, RRT has developed methods to assess the likelihood and severity of the
consequences of identified hazards, and prioritizes the hazards based on the safety risk.The process
continues the use of the Risk Register described in the previous section to address the next two
components.
To accurately assess a risk,. RRT may need to perform an investigation. RRT currently investigates
accidents or crashes but will need to develop a full investigation procedure to inform the SRM process.
The investigation procedure will start with the Assessment Form and framework found in the Accident
Investigation Procedure and will be developed to cover all risk assessment. Once fully developed,the
document will become the Investigation SOP.The SOP will include accident investigation procedures as
well as risk investigation procedures.These procedures will be used to investigate risks identified from
multiple sources including the ESRP.
Safety risk is based on an assessment of the likelihood of a potential consequence and the potential
severity of the consequences in terms of resulting harm or damage.The risk assessment also considers
any previous mitigation efforts and the effectiveness of those efforts.The results of the assessment are
used to populate the third and fourth components of the Risk Register.
The risk assessment is conducted by the CSO and supplemented by subject matter experts from the
respective department or section to which the risk applies.The process employs a safety risk matrix,
similar to the one presented in Figure 4,that allows the safety team to visualize the assessed likelihood
and severity, and to help decision-makers understand when actions are necessary to reduce or mitigate
safety risk.
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FIGURE 4:SAFETY RISK ASSESSMENT MATRIX
RISK ASSESSMENT MATRIX
SEVERITY Catastrophic Critical marginal Neglilgiblo
Frequent( ) � � � Medium
iuum
Probable(B) # Medium Medium
Occasional(C) Medium Medium
Remote Nodium Mledium
Improbable E M uiiuuu u
Although the current version of the matrix relies heavily on the examples and samples that are listed on
the PTASP Technical Assistance Center website, lessons learned from the implementation process during
the coming years will be used to customize the matrix that RRT will use to address our unique operating
realities and leadership guidance.
The Risk Assessment Matrix is an important tool. If a risk is assessed and falls within one of the red
zones,the risk is determined to be unacceptable under existing circumstances.This determination
means that management must take action to mitigate the situation.This is the point in the process
when SRMs are developed. If the risk is assessed and falls within one of the yellow zones, the risk is
determined to be acceptable, but monitoring is necessary. If the risk falls within one of the green zones,
the risk is acceptable under the existing circumstances.
Once a hazards likelihood and severity have been assessed,the CSO enters the hazard assessment into
the Risk Register that is used to document the individual hazard and the type of risk it represents.This
information is used to move to the next step,which is hazard mitigation.
Ill. Safety Risk Mitigation - 673.25(d)
Upon completion of the risk assessment,the CSO and the safety committee continue populating the Risk
Register by identifying mitigations or strategies necessary to reduce the likelihood and/or severity of the
consequences.The goal of this step is to avoid or eliminate the hazard or,when elimination is not likely
or feasible, to reduce the assessed risk rating to an acceptable level. However, mitigations do not
typically eliminate the risk entirely.
To accomplish this objective,the CSO,through the risk management team,works with subject matter
experts from the respective department or section to which the risk applies.The risk management team
then conducts a brainstorming exercise to elicit feedback from staff and supervisors with the highest
level of expertise in the components of the hazard.
Documented risk resolution and hazard mitigation activities from previous Risk Register entries and the
resolution's documented level of success at achieving the desired safety objectives may also be
reviewed and considered in the process. If the hazard is external (e.g., roadway construction by an
outside agency) information and input from external actors or experts may also be sought to take
advantage of all reasonably available resources and avoid any unintended consequences.
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Once a mitigation strategy is selected and adopted,the strategy is assigned to an appropriate staff
member or team for implementation.The assigned personnel and the personnel's specific
responsibilities are entered into the Risk Register.Among the responsibilities of the mitigation team
leader is the documentation of the mitigation effort, including whether the mitigation was carried out as
designed and whether the intended safety objectives were achieved.This information is recorded in the
Risk Register for use in subsequent SA activities and to monitor the effectiveness of the SRM program.
IV. Infectious Diseases - 5329(d)
Incompliance with 49 U.S.C. Part 5329(d) (D) RRT monitors all state and national health
recommendations and stays compliant with all public health policies to the fullest extent able,
minimizing the risk of exposure to infectious diseases.
B. Safety Assurance - 673.27 (a)
Safety Assurance (SA) means processes within the RRT SMS that function to ensure a)the
implementation and effectiveness of safety risk mitigation, and b) RRT meets or exceeds our safety
objectives through the collection, measurement, analysis, and assessment of information.
SA helps to ensure early identification of potential safety issues. SA also ensures that safeguards are in
place and are effective in meeting RRT's critical safety objectives and contribute towards SPTs.
I. Safety Performance Monitoring and Measuring - 673.27
Through a variety of activities, RRT will monitor the system for compliance with procedures for
operations and maintenance. Through our Safety Assurance process, RRT:
• Works with contractor and partners to ensure that operations and maintenance procedures are
in place to control our safety risk.
• Assessed the effectiveness of safety risk mitigations to make sure the mitigations are
appropriate and are implemented as intended.
• Investigates safety events to identify causal factors-investigation process shown in; and
• Analyzes information from safety reporting, including data about safety failures, defects,or
conditions.
RRT will monitor its contractors to for compliance with this plan through a variety of activities including.
• Safety Audits,
• Informal inspections,
• Review of camera footage to assess events.
• Safety surveys,
• Investigation of safety occurrences,
• Regular vehicle inspections and preventative maintenance.
Results from the above processes will be discussed with Transportation staff to determine if action
needs to be taken. The Chief Safety Officer will enter any identified non-compliant or ineffective
activities, including mitigations, back into the SRM process for reevaluation by the Transportation
Director.
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II. Safety Event Investigation - 673.27(B)(3)
RRT currently conducts investigations of safety events. The objective of the investigation is to identify
causal factors of the event and to identify actionable strategies that RRT can employ to address any
identifiable organizational,technical or environmental hazard at the root cause of the safety event. RRT
uses the Accident Investigation Procedure document to identify safety and operational risks based on
individual assets.
Safety Event Investigations that seek to identify and document the root cause of an accident or other
safety event are a critical component of the SA process because they are a primary resource for the
collection, measurement, analysis and assessment of information. RRT gathers a variety of information
for identifying and documenting root causes of accidents and incidents, including but not limited to:
MONITORING INTERNAL SAFETY REPORTING PROGRAMS—673.27(B)(4)
As a primary part of the internal safety reporting program, our agency monitors information reported
through the ESRP. When a report originating through the complaint process documents a safety hazard,
the supervisor submits the hazards identified through the internal reporting process, including previous
mitigation in place at the time of the safety event.The supervisor submits the hazard report to the SRM
process to be analyzed, evaluated, and if appropriate,assigned for mitigation/resolution.
OTHER SAFETY ASSURANCE INITIATIVES
Because leading indicators can be more useful for safety performance monitoring and measurement
than lagging indicators,. RRT is undertaking efforts to implement processes to identify and monitor more
leading indicators or conditions that have the potential to become or contribute to negative safety
outcomes.This may include trend analysis of environmental conditions through monitoring National
Weather Service data; monitoring trends toward or away from meeting the identified SPTs; or other
indicators as appropriate.
C. Safety Promotion - 673.29
Management support is essential to developing and implementing SMS. SP includes all aspects of how,
why,when and to whom management communicates safety related topics. SP also includes when and
how training is provided.The following sections outline both the safety competencies and training that
RRT will implement and how safety related information will be communicated.
I. Safety Competencies and Training - 673.29(a)
RRT provides comprehensive training to all employees regarding each employee's job duties and general
responsibilities.This training includes safety responsibilities related to the employee's position.
As part of SMS implementation, RRT will be conducting the following activities:
• Assess the training requirements spelled out in 49 CFR Part 672 and the various courses
required for different positions. (RRT is not subject to the requirements under 49 CFR Part 672
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but will review the training requirements to understand what training is being required of other
larger agencies in the event these trainings might be useful).
• Assess the training material available on the FTA PTASP Technical Assistance Center website.
• Review other training material available from industry sources such as the Community
Transportation Association of America and the American Public Transportation Association
websites.
• Adjust job notices associated with general staff categories to ensure that new personnel
understand the safety related competencies and training needs and the safety related
responsibilities of the job.
II. Safety Communication - 673.29(b)
RRT regularly communicates safety and safety performance information throughout the transportation
department that, at a minimum,conveys information on hazards and safety risks relevant to employees'
roles and responsibilities and informs employees of safety actions taken in response to reports
submitted through the ESRP (noted in Section 3.A.1) or other means.
RRT will report any safety related information to the Transportation Director who will share with the
City Manager at their management meetings. Any immediate safety issues will be shared immediately
with the Transportation Director and City Manager. Safety performance information will be shared
annually with the City Council during annual program updates. RRT will begin including safety
performance information,which is then shared with staff directly.
III. Frontline Employees - 5329(d)
Incompliance with 49 U.S.0 Part 5329(d) (B), updates to the PTASP are done in cooperation
with frontline employees. Surveys of frontline staff will be used to receive input about
safety concerns and PTASP procedures from individual contractors each year. Suggestions
and concerns are recorded and, where applicable, changes made to the PTASP. Concerns of
note are:
• Poor lighting situations within and around the buses, including but not limited
to: Interior lighting causing glare, poor headlight brightness.
• Poor lighting at bus stops leading to drivers not seeing passengers.
• Poor lighting at facilities
• Foliage not being trimmed along driveways,creating unsafe driving
situations and obscuring passengers at bus stops.
• Non-efficient maintenance of buses leading to unreliable bus operation.
The Public Transit Agency Safety Plan will be maintained by the Chief Safety Officer in an
electronic file and in hard copy(s)and made available to transit-related employees.
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5. APPENDIX A
TABLE 4: PTASP SUPPORTING DOCUMENTS
File Name Revision Document Name Document
Date Owner
Accident-Investigation-Procedure-1.pdf 8/26/2016 Accident Investigation City of
procedure Round Rock
City Org Chart.pdf Oct-16 City Organization Chart City of
Round Rock
Round Rock Emergency Action Plan 2017 Round Rock Emergency City of
Action Plan Round Rock
Policies and Procedures Manual.pdf 2022 Policies and Procedures City of
Manual 2018-2019 Round Rock
A. Glossary of Terms
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 transit vehicles; an evacuation for life safety reasons; at any location, at any time,
whatever the cause.
Accountable Executive(typically the highest executive in the agency): means a single, identifiable
person who has ultimate responsibility for carrying out the SMS of a public transportation agency, and
control or direction over the human and capital resources needed to develop and maintain both the
agency's PTASP, in accordance with 49 U.S.C. 5329(d),and the agency's TAM Plan in accordance with 49
U.S.C. 5326.
Agency Leadership and Executive Management:Those members of agency leadership or executive
management(other than an Accountable Executive, CSO, or SMS Executive)who have authorities or
responsibilities for day-to-day implementation and operation of an agency's SMS.
Chief Safety Officer(CSO): 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 CSO may not serve in other operational or maintenance capacity, unless the CSO 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.
Corrective Maintenance: Specific, unscheduled maintenance typically performed to identify, isolate,and
rectify a condition or fault so that the failed asset or asset component can be restored to a safe
operational condition within the tolerances or limits established for in-service operations.
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 subrecipient's PTASP.
Event: means an accident, incident, or occurrence.
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Federal Transit Administration (FTA): means the Federal Transit Administration, an operating
administration within the United States Department of Transportation.
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: 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: means the process of determining the causal and contributing factors of an accident,
incident, or hazard,for the purpose of preventing recurrence and mitigating risk.
Key staff: means a group of staff or committees to support the Accountable Executive,CSO, or SMS
Executive in developing, implementing, and operating the agency's SMS.
Major Mechanical Failures: means failures caused by vehicle malfunctions or subpar vehicle condition
which requires that the vehicle be pulled from service.
National Public Transportation Safety Plan (NSP): 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: 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 of a Public Transportation System: means a provider of public transportation as defined
under 49 U.S.C. 5302(14).
Passenger: means a person, other than an operator,who is on board, boarding, or alighting from a
vehicle on a public transportation system for the purpose of travel.
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: 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 FTA.
Preventative Maintenance: means regular, scheduled, and/or recurring maintenance of assets
(equipment and facilities) as required by manufacturer or vendor requirements,typically for the
purpose of maintaining assets in satisfactory operating condition. Preventative maintenance is
conducted by providing for systematic inspection, detection, and correction of anticipated failures either
before they occur or before they develop into major defects. Preventative maintenance is maintenance,
including tests, measurements, adjustments, and parts replacement, performed specifically to prevent
faults from occurring.The primary goal of preventative maintenance is to avoid or mitigate the
consequences of failure of equipment.
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Public Transportation Agency Safety Plan (PTASP): means the documented comprehensive agency
safety plan for a transit agency that is required by 49 U.S.C. 5329 and this part.
Risk: means the composite of predicted severity and likelihood of the potential effect of a hazard.
Risk Mitigation: means a method or methods to eliminate or reduce the effects of hazards.
Road Calls: means specific, unscheduled maintenance requiring either the emergency repair or service
of a piece of equipment in the field or the towing of the unit to the garage or shop.
Safety Assurance(SA): means the process within a transit agency's SMS that functions to ensure the
implementation and effectiveness of safety risk mitigation and ensures that the transit agency meets or
exceeds its safety objectives through the collection,analysis, and assessment of information.
Safety Management Policy(SMP): means a transit agency's documented commitment to safety, which
defines the transit agency's safety objectives and the accountabilities and responsibilities of the
agency's employees regarding safety.
Safety Management System (SMS): means the formal,top-down, data-driven,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.
Safety Management System (SMS) Executive means a CSO or an equivalent.
Safety Objective: means a general goal or desired outcome related to safety.
Safety Performance: means an organization-s safety effectiveness and efficiency, as defined by safety
performance indicators and targets, measured against the organization's safety objectives.
Safety Performance Indicator: means adata-driven, quantifiable parameter used for monitoring and
assessing safety performance.
Safety 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.
Safety Performance Monitoring: means activities aimed at the quantification of an organization-s safety
effectiveness and efficiency during service delivery operations,through a combination of safety
performance indicators and SPTs.
Safety Performance Target(SPT): means a quantifiable level of performance or condition, expressed as
a value for a given performance measure, achieved over a specified timeframe related to safety
management activities.
Safety Promotion (SP): means a combination of training and communication of safety information to
support SMS as applied to the transit agency's public transportation system.
Safety Risk: means the assessed probability and severity of the potential consequence(s) of a hazard,
using as reference the worst foreseeable, but credible, outcome.
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Safety Risk Assessment: means the formal activity whereby a transit agency determines SRM priorities
by establishing the significance or value of its safety risks.
Safety Risk Management(SRM): means a process within a transit agency's Safety Plan for identifying
hazards, assessing the hazards, and mitigating safety risk.
Safety Risk Mitigation: means the activities whereby a public transportation agency controls the
probability or severity of the potential consequences of hazards.
Safety Risk Probability: means the likelihood that a consequence might occur,taking as reference the
worst foreseeable, but credible, condition.
Safety Risk Severity: means the anticipated effects of a consequence, should the consequence
materialize,taking as reference the worst foreseeable, but credible, condition.
Serious Injury: means any injury which:
• Requires hospitalization for more than 48 hours, commencing within seven days from the date
that the injury was received.
• Results in a fracture of any bone (except simple fractures of fingers,toes,or nose).
• Causes severe hemorrhages, nerve, muscle, or tendon damage.
• Involves any internal organ; or
• Involves second-or third-degree burns, or any burns affecting more than 5 percent of the body
surface.
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: means a State of the United States,the District of Columbia,or the Territories of Puerto Rico,the
Northern Mariana Islands,Guam,American Samoa, and the Virgin Islands.
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: 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: means an operator of a public transportation system.
Transit Asset Management(TAM) 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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Vehicle Revenue Miles(VRM): means the miles that vehicles are scheduled to or actually travel while in
revenue service.Vehicle revenue miles include layover/recovery time and exclude deadhead; operator
training; vehicle maintenance testing; and school bus and charter services.
B. Additional Acronyms Used
ADA:Americans with Disabilities Act
ARRA:American Recovery and Reinvestment Act
ASP:Agency Safety Plan
CAMPO: Capital Area Metropolitan Planning Organization
City:The City of Round Rock,Texas
ESRP: Employee Safety Reporting Program
FAST Fact: Fixing America's Surface Transportation Act
MAP-21: Moving Ahead for Progress in the 215t Century Act
MOU: Memorandum of Understanding
MPO: Metropolitan Planning Organization
NTD: National Transit Database
RRT: Round Rock Transit, City of Round Rock,Texas
SOP:Standard Operating Procedure
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6. APPENDIX B
A. City Council Minutes or Resolution
RESOLUTION NO.R-2020-01-51
�'�. ER111'.A ,lino ca��c�� plianc e with,4 +��":FR ��ar 673,the µ"Ity i'Round Rock("City")desires to
approve the Round bock Transit Pub] ` i-an p rtati n Agenc y Safety Plall("I)Iaii" ,Now'"li t-el,.r
BE ITRESOLVED BY THE COUNCIL OFTHE CITY OF ROLJND ROCK,TEXAS,
That the Plan.,a coy ofw arise being attached hereto as Exhibit it"A"and incorporated herein 6or
all purposes,is hereby appj,o d by the City Council,as r ecluil ed by 49 CFR,l-)art 673�.
Tl-ie City Council hei-ehy finds and declai-es that writteii liolice cul` he date,h0L1r,l lace and SUbJect
of the meeting at which.this Resolution was adopted was you ted and that SLICII nneetigig was open to,the
pUblie as r cli iced by law at all finies during,which this Resolution aiicl the ul)jc'Ct rliatt r lieu-eof were
diSCUSsedl,considered and fort ally acted upon,all as required by the Open.Meetings,Act,Chapter 55 t,
Texas 1overnment Code.,as,amended.
RESOLVED this l l th day of June,2020.
,'�
City Of ROLL nd l ()c k,Texas
RA l_-WHITF City Clerk.