GRTC Bus Rapid Transit Project. Safety and Security Management Plan Final Draft. February 16, Safety and Security Management Plan

Transcription

1 GRTC Bus Rapid Transit Project Safety and Security Management Plan Final Draft February 16, 2016 Version 3.0 February 16,

2 Approval This document is approved by the following GRTC management personnel: Name/Title Signature Date David Green / Chief Executive Officer Sheryl Adams / Chief Operating Officer Stephen McNally / Construction Manager and Project Administrator Anthony Carter / Director of Risk Management Revision Record Revision Issue Date Pages Affected Description of Revisions Version 2.0 June 26, ,9,11,16,17,31,32, Version 3.0 February 16, 2016 I, 1 9, 11, 13 16, 18, 19, 21 24, Updates for information and comments received on Version 1.0 from GRTC Changes required to reflect VDOT assumption of responsibility for project delivery using design build. Version 2.0 June 26, 2015 i

3 Table of Contents INTRODUCTION... 1 PROJECT DESCRIPTION... 1 Bus Rapid Transit (BRT)... 1 Existing GRTC Bus System MANAGEMENT COMMITMENT AND PHILOSOPHY Safety and Security Policy Statement Purpose Applicability and Scope Applicability of the SSMP Scope of the SSMP Goals and Objectives INTEGRATION OF SAFETY AND SECURITY INTO THE PROJECT DEVELOPMENT PROCESS Safety and Security Activities Develop, Implement and Maintain SSMP Establish and Implement Project Safety and Security Organization and Identify Responsibilities Develop and Implement a Safety and Security Certification Plan (SSCP) Perform Safety and Security Analyses and Track Identified Hazards and Vulnerabilities to Closure Develop and Implement Safety and Security Design Criteria and Requirements Update Existing Safety and Security Plan, Rules and Procedures to Govern the Project Identify Safety and Security Certifiable Elements and Items Develop and Implement Safety and Security Public Information/Awareness Plan Develop Design Criteria Conformance Checklists and Perform Design Certification Develop and Implement Construction Safety and Security Plan (CSSP) Develop Construction Conformance Checklists and Perform Construction Certification Oversee Construction Contractor Execution of Approved CSSPs Develop and Implement System Integration Test Plan (SITP), and Pre Revenue Operation Plan (PROP) Update Training Program as Necessary and Complete Training and Certification for all Identified O&M Personnel Complete Safety and Security Verification and Certification Activities and Issue Final Verification Report (FVR) Procedures and Resources Sensitive Security Information (SSI) Resources Version 3.0 February 16, 2016 ii

4 2.3. Interface with Management ASSIGNMENT OF SAFETY AND SECURITY RESPONSIBILITIES Responsibility and Authority Committee Structure Safety and Security Responsibility Matrix SAFETY AND SECURITY ANALYSIS Approach to Safety and Security Analysis Requirements for Safety and Security Analysis Hazard Identification and Mitigation Hazards and Risks Threat and Vulnerability Identification and Mitigation Threats, Vulnerabilities and Risk DEVELOPMENT OF SAFETY AND SECURITY DESIGN CRITERIA Approach to Development of Safety and Security Design Criteria Design Reviews Deviations and Changes PROCESS FOR ENSURING QUALIFIED O&M PERSONNEL O&M Personnel Requirements Plans, Rules and Procedures Training Program Emergency Preparedness Public Awareness SAFETY AND SECURITY VERIFICATION PROCESS Design Criteria Verification Process Construction Specification Conformance Process Testing / Inspection Verification Hazard and Vulnerability Resolution Verification Operational Readiness Verification Safety and Security Certification Requirements CONSTRUCTION SAFETY AND SECURITY Construction Safety and Security Program Elements Construction Phase Hazard and Vulnerability Analysis Safety and Security Incentives REQUIREMENTS FOR 49CFR Part 659, Rail Fixed Guideway Systems, State Safety Oversight (If Applicable) Version 3.0 February 16, 2016 iii

5 10. FRA COORDINATION (If Applicable) DEPARTMENT OF HOMELAND SECURITY COORDINATION (If Applicable) Activities Implementation Schedule Coordination Process APPENDICES Appendix A Integration of Safety and Security into Project Development Process Appendix B Safety and Security Budget Appendix C Schedule for Completion of Safety and Security Activities Appendix D 1 Roles and Responsibilities Matrix Program Management Appendix D 2 Roles and Responsibilities Matrix Design Appendix D 3 Roles and Responsibilities Matrix Safety Certification Appendix D 4 Roles and Responsibilities Matrix Construction Safety Appendix D 5 Roles and Responsibilities Matrix Operational Readiness Appendix E Safety and Security Analysis in the Design Process Appendix F GRTC Employee Training Program Summary Figures Figure 1 Project Area Map Figure 2 Proposed GRTC BRT Project Corridor View (Source: TIGER Grant Application) Figure 3 Partial GRTC Project Organization Chart Tables Table 1 Estimated Project Design Phase Duration... Error! Bookmark not defined.3 Table 2 Safety and Security Activities Matrix Table 3 Safety & Security Committee Membership Version 3.0 February 16, 2016 iv

6 LIST OF ACRONYMS AASHTO ADA APTA ANSI BRT CCTV CFR CMAR CSSP DHS DRM DRPT EA ERP FTA GRTC HRI LPA NEMA NFPA O&M OSHA PA PE PHA PMP PROP RFD RPD SITP SOP SSI SSC SSCP SSCVR SSDC SSMP SSPP SSR TSA TVA USDOT VDOT American Association of State Highway and Transportation Officials Americans with Disabilities Act American Public Transit Association American National Standards Institute Bus Rapid Transit Closed Circuit Television Code of Federal Regulations Construction Manager at Risk Contractor Safety and Security Plan Department of Homeland Security Director of Risk Management / Risk Manager (GRTC) Virginia Department of Rail and Public Transportation Environmental Assessment Emergency Response Plan Federal Transit Administration Greater Richmond Transit Company Hazard Risk Index Locally Preferred Alternative National Emergency Management Association National Fire Protection Association Operations and Maintenance Occupational Safety and Health Administration Project Administrator / Project Manager (GRTC) Preliminary Engineering Preliminary Hazard Analysis Project Management Plan Pre Revenue Operating Plan Richmond Fire Department Richmond Police Department System Integration Test Plan Standard Operating Procedure Sensitive Security Information Safety and Security Committee Safety and Security Certification Plan Safety and Security Certification and Verification Report Safety and Security Design Criteria Safety and Security Management Plan System Security Program Plan Safety and Security Report Transportation Security Administration Threat and Vulnerability Analysis United States Department of Transportation Virginia Department of Transportation Version 3.0 February 16, 2016 v

7 INTRODUCTION This Safety and Security Management Plan (SSMP) is a mandatory element of the Project Management Plan (PMP), which is required by the Federal Transit Administration (FTA) for the Greater Richmond Transit Company (GRTC) Broad Street Bus Rapid Transit (BRT) project, also known as the Pulse and hereinafter referred to as the Project. This SSMP is consistent with the following relevant FTA guidance: FTA Circular FTA C , Safety and Security Management Guidance for Major Capital Projects, August 1, 2007; FTA SSMP FAQs, September 2007; and, FTA Handbook for Transit Safety and Security Certification, This SSMP describes GRTC s strategy for the management of Project safety and security considerations, throughout project development, planning, design and construction. GRTC, VDOT and the entire Project team are adhering to the process described in this SSMP, which fulfills applicable FTA and other regulatory requirements, for the benefit of GRTC s patrons and employees, as well as the general public. The process integrates the results of safety and security analyses, with Project design efforts and, to the extent necessary, to the update of existing GRTC safety and security procedures and related documentation. The SSMP also provides a foundation upon which safety and security considerations will continue to be addressed once the Project transitions into revenue operations. PROJECT DESCRIPTION Bus Rapid Transit (BRT) The GRTC Pulse Bus Rapid Transit (BRT) Project emerged from a regional collaboration among Greater Richmond Transit Company (GRTC), the Department of Rail and Public Transportation (DRPT), Greater Richmond Chamber of Commerce, Greater Richmond Partnership, Richmond Regional Planning District Commission, Richmond Metropolitan Authority, Venture Richmond, Virginia Commonwealth University (VCU), Virginia Department of Transportation (VDOT), the City of Richmond and Henrico County. The primary goal of the system is to provide premium bus service to the region by improving travel times and transit amenities for passengers. The goal of the project is also to improve livability, enhance economic opportunity, revitalize commercial properties, improve environmental sustainability and stimulate economic development in the City, County and greater Richmond region. GRTC initiated the Pulse Bus Rapid Transit (BRT) project in September 2009 with two studies, the Alternatives Analysis/Environmental Assessment (AA/EA) and a related study directed by GRTC of the traffic system and bus operations. The AA/EA showed that the project would result in significant user benefits including ridership benefits at a reasonable operating cost and capital cost. A decision to proceed into implementation was made in 2014 following the Federal Transit Administration (FTA) approving the AA/EA study and then granting a Class II documented Categorical Exclusion (CATEX) for the project. GRTC initiated the design process in October 2014 and completed the Preliminary Design in July On August 27, 2015, FTA issued a revised CATEX based on final Station locations and Section 106 re evaluation. Based on its own independent evaluation and organizational capacity, GRTC initially reached the conclusion that, because of the project requirements, the Construction Manager at Risk is the most appropriate construction delivery method for this project. GRTC proceeded with the CMAR approach; however, only one proposal was received. After negotiation, GRTC found the proposal to be non responsive and was unable to finalize the negotiations. Version 2.0 June 26,

8 Therefore, GRTC along with the project partners have decided to use a Design Build (D B) approach, primarily to utilize a rapid design and construction approach to the project. In order to achieve this goal and based on familiarity of VDOT with the D B approach, GRTC has requested that VDOT manage the D B procurement, Final Design and Construction of the BRT project, through a D B delivery method. VDOT has substantial experience with D B projects and has a track record of successful delivery of high quality D B projects. On August 31, 2015, GRTC and DRPT requested that VDOT assume project management responsibility and use D B for the final project delivery. The purpose of the GRTC Pulse Bus Rapid Transit (BRT) project, as stated in the EA, is to develop a more efficient transit system, support existing transit oriented land use, and provide an attractive alternative to the automobile for east west travel. Of immediate use, though, is the project s function of streamlining and improving travel times for local buses. In addition, the improved travel times through downtown should improve the on time performance of the entire system. Based on the planning process begun in 2009, including community input and recommendations, GRTC intends to implement a BRT system on Broad and Main Streets. The proposed system has an alignment of 7.6 miles and has 14 stations (4 center running, 4 consolidated and 6 curbside). Dedicated BRT vehicles would travel at10 minute intervals during the peak hours and 15 minute intervals in the off peak. Dedicated BRT lanes would be in the Broad Street median from Thompson Street to Adams Street, and from 4 th Street to 14 th Street the curb lanes would be widened. The hours of operation would be on weekdays from 5:30 AM to 11:30 PM and on weekends and holidays from 6 AM to 11:30 PM. Figure 1 Project Area Map Version 3.0 February 16,

9 Figure 2 Proposed GRTC BRT Project Corridor View (Source: TIGER Grant Application) Existing GRTC Bus System GRTC provides public transportation service in the Greater Richmond Region. GRTC operates over 40 local and express bus routes daily between approximately 5:30 AM and 1:00 AM on most routes. Saturday and Sunday service is also provided on select local routes between 5:30 AM and 1:00 AM. In addition to fixed route bus services, GRTC provides ADA specialized transportation services for persons with disabilities. Within the GRTC BRT Project study area, GRTC operates approximately 20 bus routes that cross, run parallel with, or operate along the proposed BRT corridor. In particular, local bus Route 6 currently operates along the entire length of the project corridor. The GRTC BRT Project will be fully integrated with GRTC s existing operations, which will be reconfigured to provide increased frequency and more transfer opportunities between the existing bus service and the proposed BRT. The financial plan assumes fares will be the same for existing GRTC service and the new BRT service. Fare vending machines will be available at all BRT stations and new fareboxes that will be capable of accepting stored value cards or Smart Cards will be installed on all buses in Summer 2015 replacing GRTC s existing cash fareboxes. Version 3.0 February 16,

10 1. MANAGEMENT COMMITMENT AND PHILOSOPHY 1.1. Safety and Security Policy Statement It is the policy of the Greater Richmond Transit Company (GRTC), that the Broad Street BRT project be designed and constructed in full compliance with the requirements for safety and security established by the FTA and appropriate local, state and other federal agencies. The safety and security of GRTC passengers, GRTC employees, emergency responders, and the general public are priorities in the conduct of all work on the Project, throughout its design, construction and operation phases. To this end, GRTC has implemented comprehensive safety and security programs, including preparation of this SSMP. This SSMP has been developed in accordance with FTA requirements, and is consistent with the Alternatives Analysis (AA) and Environmental Assessment (EA) performed previously by DRPT, and the Class II documented Categorical Exclusion (CATEX) granted by the FTA for the Project in Implementation of the requirements in this SSMP will serve to confirm that all Project facilities and systems planning, design, and construction meet all applicable safety and security standards, and will be designed and built to the satisfaction of GRTC and the Project partners. This SSMP will influence all phases and tasks of the Project, including the development of the design criteria, construction and installation, hazard identification/resolution/tracking, configuration management and document control, testing/certification/ acceptance, start up planning, development of operations and maintenance rules and procedures, and training. All Project participants are required to carry out their responsibilities as defined in this SSMP, including as necessary provision of appropriate and competent support. All Project participants are required to demonstrate a clear understanding of their responsibilities, especially as they relate to developing a safe, secure, and reliable BRT transit system for public use. The approval signatures at the beginning of this SSMP serve as certification of this policy statement s validity Purpose The purpose of this SSMP is to: Implement the policy statement presented in Section 1.1; Document the management philosophy to be used by GRTC and the BRT Project partners to develop management structures that support the implementation of an effective safety and security program; Identify the management structure to be employed and activities to be performed for integrating safety and security into all phases of project development; Ensure that management strategies are in place early in the project development process to identify safety hazards and security threats, assess associated risks, develop mitigating actions, and track such risks and their resolution; and, Define the specific safety responsibilities, activities and capabilities identified by GRTC to promote and improve system safety and security Applicability and Scope APPLICABILITY OF THE SSMP The SSMP applies to all work performed by GRTC and all project participants, including the Design Builder, during the project development process. This SSMP applies to all project development phases, including preliminary engineering, Version 3.0 February 16,

11 final design, construction, testing, certification, pre revenue operation, and initiation of revenue service. Although other safety and security plans and procedures will govern the BRT service once it begins revenue operation, the SSMP will continue to apply to the resolution to any impediments to safety and security certification of the Project, even after the initiation of BRT revenue service. The SSMP does not apply to other services operated and/or projects implemented by GRTC, except to the extent that existing GRTC resources, processes and/or procedures are employed to fulfill a requirement of this Project. This SSMP applies to any aspect of the Project that affects safety and/or security, including the following: System wide elements includes the BRT bus fleet, voice and data communication, closed circuit television (CCTV), signals, signage, and fare collection system; Fixed Facilities includes stations, running way, equipment installed in stations such as shelters and fare vending machines, and dedicated route lanes; Safety, Security, System Assurance, and Operations & Maintenance Plans and Procedures includes emergency preparedness plans, safety and operating rules, standard operating procedures, training programs, accident / incident investigation and reporting procedures, emergency drill documentation, and project manuals, checklists and drawings; Personnel Qualifications and Training refers to aligning the appropriate individuals with the requisite skills and experience for each project role, and preparing them to properly address safety and security issues; and, Requirements of the Department of Homeland Security SCOPE OF THE SSMP The scope of the SSMP is to describe GRTC s and the Project partner s approach to the development and implementation of an effective and practicable safety and security program. The SSMP scope does not include other services operated and/or projects implemented by GRTC, except to the extent that existing GRTC resources, processes and/or procedures are employed to fulfill a requirement of the Project. The scope includes descriptions of the following: Safety and security organization and responsibilities; Hazard identification, analysis, assessment, and resolution, through the Preliminary Hazard Analysis (PHA) and related processes; Security Threat and Vulnerability Analysis (TVA) and related processes; Safety and security certification process; Construction safety and security; and, Emergency management preparedness Goals and Objectives The goal of the SSMP is to ensure the safety and security of passengers, employees, public safety personnel, and the general public. In order to meet this goal, the SSMP has been developed specifically to: Produce a level of project safety that meets or exceeds applicable regulatory requirements; Verify that all contract documents include language requiring compliance with all applicable safety and security requirements; Verify Design Builder s compliance with safety and security requirements; Increase safety and security awareness among all project participants; and, Version 3.0 February 16,

12 Enable project participants to first identify, and then minimize, control or eliminate hazards, threats and vulnerabilities. In order to meet the overall goal of project safety and security, the Project will be organized and managed to accomplish the following objectives: Establish policies regarding acceptable levels of risk, to guide the review and evaluation of safety and security issues throughout the Project; Provide mechanisms for the formal identification, consideration, elimination or control of hazards to and vulnerabilities of passengers, employees, contractors, emergency responders, and the general public; Verify that appropriate codes, guidelines and standards have been reviewed to provide a basis for safety and security considerations in the design criteria; Verify that specifications and drawings are in conformance with the design criteria and that design conformance has been appropriately developed, completed, and certified; Verify that contract deliverables (facilities, systems and equipment) are reviewed against the contract specifications and drawings (including all approved design changes) for compliance with safety and security requirements; Validate the necessary tests and safety plans, and safety related operating and maintenance rules, procedures and training, to ensure acceptable safety and security for revenue service; and, Verify the emergency preparedness and operational readiness of the Project before entering revenue service. Version 3.0 February 16,

13 2. INTEGRATION OF SAFETY AND SECURITY INTO THE PROJECT DEVELOPMENT PROCESS The process by which safety and security considerations are integrated into the project development process has been defined by FTA, and is illustrated by the diagram provided in Appendix A. The activities identified in this Section are consistent with the process presented in the diagram Safety and Security Activities The Safety and Security Activities Matrix, provided as Table 2, identifies safety and security activities that will be performed to ensure integration of safety and security considerations into the project development process, and particularly into project management functions. In Table 2, a check mark () signifies the initiation of an activity; an arrow ( ) signifies that an activity is continuing during the identified project phase. The following subsections describe the activities on the matrix DEVELOP, IMPLEMENT AND MAINTAIN SSMP GRTC and the Preliminary Engineering Consultant have prepared this SSMP. GRTC and the Safety and Security Specialty Consultant will update it as part of a broader PMP update as the Project enters each new phase, as required by FTA ESTABLISH AND IMPLEMENT PROJECT SAFETY AND SECURITY ORGANIZATION AND IDENTIFY RESPONSIBILITIES GRTC has previously established a Safety and Security Committee (SSC), and plans to augment that committee with staff and Safety and Security Specialty Consultant personnel to expand its capability to perform a broader range of required safety and security activities, and may also establish additional committees and/or boards, as appropriate. The Design Builder will be responsible to perform selected safety and security related activities as identified in the following subsections, and to provide support as required for the safety and security certification process. GRTC s approach to its Project safety and security organization, including identification of individual responsibilities, is described in greater detail in Section 3 of this SSMP DEVELOP AND IMPLEMENT A SAFETY AND SECURITY CERTIFICATION PLAN (SSCP) Safety and security certification, as defined by FTA, is the series of processes that collectively verify the safety and security readiness of a Project for public use. GRTC plans to retain a Safety and Security Specialty Consultant to assist with safety and security certification, including development of a formal Safety and Security Certification Plan (SSCP) that is consistent with the SSMP, for review and approval by the SSC. The SSCP will include design verification checklists and construction specification conformance checklists that will be developed by the Design Builder and will be reviewed and approved by the Safety and Security Specialty Consultant, VDOT and GRTC. The SSCP will describe how certification will be completed prior to the commencement of revenue operations, including assembly of completed and properly executed certification documentation in the Final Verification Report (FVR) by the Safety and Security Specialty Consultant PERFORM SAFETY AND SECURITY ANALYSES AND TRACK IDENTIFIED HAZARDS AND VULNERABILITIES TO CLOSURE GRTC and the Project team have performed the Preliminary Hazard Analysis (PHA) and Threat and Vulnerability Analysis (TVA) for the Project. These hazards and threats have been included in a list, to be used by the Design Builder to track these items through resolution. New hazards and vulnerabilities may be identified by any Project participant, including Version 3.0 February 16,

14 the Design Builder, and added to the tracking list. As mitigation measures are agreed and approved, they will be implemented by the Design Builder by integrating them into the Project design, as applicable and approved by the SSC. This will be accomplished through design modifications, reflected in changes made to the design criteria, specifications, and drawings. Additional corresponding changes will also be made to rules, procedures, manuals and other documentation, as appropriate DEVELOP AND IMPLEMENT SAFETY AND SECURITY DESIGN CRITERIA AND REQUIREMENTS The Design Builder will finalize and/or develop, as appropriate, the safety and security design criteria for the Project based on requirements identified in the Design Build RFP, and for review and approval by VDOT and GRTC concurrently. Once approved by VDOT and GRTC, safety and security criteria will be applied to the design and construction processes by the Design Builder. The development of safety and security design criteria is further described in Section 5 of this SSMP UPDATE EXISTING SAFETY AND SECURITY PLAN, RULES AND PROCEDURES TO GOVERN THE PROJECT At the discretion of GRTC and the SSC, a safety and security specialty firm will update the existing Safety and Security Plan (SSP) to govern the Project. The SSP also addresses revenue operations after completion of the Project. The Safety and Security Specialty Consultant will also review GRTC s existing operating and safety rules, and other policies, rules, procedures and documentation, to identify any additions and/or modifications required as a result of the Project. This process would also include identification and incorporation of changes that would need to be in place during revenue operations. Any proposed changed must be reviewed and approved by the Director of Risk Management (DRM) and, as appropriate, other GRTC management personnel, before being implemented IDENTIFY SAFETY AND SECURITY CERTIFIABLE ELEMENTS AND ITEMS The Design Builder will prepare an initial list of safety and security certifiable elements for review and approval by VDOT and GRTC concurrently. Additional elements and items may be identified subsequently, even after construction begins. The process of extracting safety and security certifiable elements from Project elements is described in Section 7.1 of this SSMP, and will also be addressed in the SSCP DEVELOP AND IMPLEMENT SAFETY AND SECURITY PUBLIC INFORMATION/AWARENESS PLAN GRTC and the Safety and Security Specialty Consultant will prepare a Safety and Security Public Information/Awareness Plan to actively engage the public with regard to safety and security issues throughout the project development process. During the construction phase, this effort will directly involve the general public, businesses, and other parties in the Project corridor, focusing on safety and security concerns unique to the construction phase. Public information/awareness efforts will evolve in anticipation of the inauguration of revenue operations, by adding focus on BRT operations and passenger safety. GRTC and the Safety and Security Specialty Consultant will coordinate with, and provide information to, the Design Builder, which will be responsible for overall public outreach for the Project. GRTC s and the Project participants approach to public awareness programs is described further in Section 6.5 of this SSMP DEVELOP DESIGN CRITERIA CONFORMANCE CHECKLISTS AND PERFORM DESIGN CERTIFICATION Design Criteria Conformance Checklists will be developed by the Design Builder, with concurrence by the Safety and Security Specialty Consultant and approval by the SSC, to be used by the Consultant to perform design certification for all safety and security certifiable elements in accordance with procedures described in the SSCP. The SSC will be responsible to oversee the design certification process, including review and approval of the checklists. The Safety and Security Specialty Consultant will be responsible to issue Certificates of Conformance. The design certification process is further described in Section 7.1 of this SSMP, and will also be addressed in the SSCP. Version 3.0 February 16,

15 DEVELOP AND IMPLEMENT CONSTRUCTION SAFETY PROGRAM AND PLAN The Design Builder will be required to adhere to the terms of its contract with VDOT, which includes the VDOT Alternate Project Delivery Office Design Build Standard Template Documents, dated July 3, Part 4 General Conditions of Contract, Section 2.8 addresses Design Builder Responsibility for Project Safety, and in Subsection requires the Design Builder to prepare a Health, Safety and Welfare Plan (HSWP) for review and approval by VDOT. Upon review and approval by VDOT, the HSWP will be provided to the SSC for concurrence DEVELOP CONSTRUCTION SPECIFICATION CONFORMANCE CHECKLISTS AND PERFORM CONSTRUCTION CERTIFICATION The Design Builder will develop Construction Specification Conformance Checklists, for concurrence by GRTC and the Safety and Security Specialty Consultant, and to be used by the Consultant to perform construction certification for safety and security certifiable elements. The SSC will review and approve construction certification documentation submitted by the Consultant. The construction certification process is described further in Section 7.2 and will also be addressed in the SSCP OVERSEE DESIGN BUILDER EXECUTION OF APPROVED CSSPs GRTC, the Safety and Security Specialty Consultant, and the Design Builder will each oversee various aspects of the construction phase safety and security program, including field observations and audits to monitor compliance with the adopted GRTC Contractor Safety Procedures and the approved CSSP(s). The Specialty Consultant will be responsible to directly observe and audit workplace conditions, and prepare and maintain incident logs and inspection logs, which shall be available for SSC review. The SSC, Specialty Consultant, and the Design Builder will meet regularly to discuss any incidents, near misses, site security, and hazards and/or vulnerabilities associated with upcoming work activities. The oversight role of GRTC, the Safety and Security Specialty Consultant and the SSC regarding construction safety and security are described further in Section DEVELOP AND IMPLEMENT SYSTEM INTEGRATION & COMMISSIONING PLAN (SICP), AND PRE REVENUE OPERATION PLAN (PROP) GRTC and the Preliminary Engineering Consultant have developed the SICP for review and approval by VDOT, and subsequent use by the Design Builder. GRTC and the Safety and Security Specialty Consultant will prepare the PROP during Final Design, for review and approval by the SSC, prior to the beginning of pre revenue operations UPDATE TRAINING PROGRAM AS NECESSARY AND COMPLETE TRAINING AND CERTIFICATION FOR ALL IDENTIFIED O&M PERSONNEL GRTC will be responsible for staff training related to the safety and security process. The SSC will confirm primarily through review of the appropriate safety and security certifications that all required operating plans, rules, procedures, manuals and documentation have been properly completed, approved and issued for use. The SSC will also confirm primarily through review of appropriate safety and security certifications that required training has been properly completed, and that sufficient qualified and properly trained personnel are in place to safely and securely operate and maintain the BRT service. Requirements for training and qualification are described further in Section COMPLETE SAFETY AND SECURITY VERIFICATION AND CERTIFICATION ACTIVITIES AND ISSUE FINAL VERIFICATION REPORT (FVR) The DRM is responsible to ensure that safety and security certifications for all certifiable elements have been properly completed. Under direction of the DRM, the Safety and Security Specialty Consultant will assemble a draft FVR for review by the SSC. Based on the review comments provided by the SSC, the Specialty Consultant will finalize the FVR and Version 3.0 February 16,

16 submit it to the DRM for final review and approval and to the GRTC CEO for approval and signature. The GRTC CEO must sign the FVR prior to commencement of revenue operations. The process for achieving final safety and security certification for the Project is described further in Section 7.6 of this SSMP, and will also be addressed in the SSCP. Version 3.0 February 16,

17 Table 2 Safety and Security Activities Matrix No. Safety and Security Activity Preliminary Engineering Final Design 2.1 Develop, Implement and Maintain SSMP 2.2 Establish and Implement Project Safety and Security Organization and Identify Responsibilities 2.3 Develop and Implement a Safety and Security Certification Plan (SSCP) 2.4 Perform Safety and Security Analyses and Track Identified Hazards and Vulnerabilities to Closure 2.5 Develop and Implement Safety and Security Design Criteria and Requirements 2.6 Update Existing Safety and Security Plan, Rules and Procedures to Govern the Project 2.7 Identify Safety and Security Certifiable Elements and Items 2.8 Develop and Implement Safety and Security Public Information/Awareness Plan 2.9 Develop Design Criteria Conformance Checklists and Perform Design Certification 2.10 Develop and Implement Construction Safety and Security Plan (CSSP) 2.11 Develop Construction Conformance Checklists and Perform Construction Certification 2.12 Oversee Design Builder Execution of Approved CSSPs 2.13 Develop and Implement System Integration Test Plan (SITP), and Pre Revenue Operation Plan (PROP) 2.14 Update Training Program as Necessary and Complete Training and Certification for All Identified O&M Personnel 2.15 Complete Safety and Security Verification and Certification Activities and Issue FVR Construction Testing and Start Up Legend: A check mark () signifies the initiation of an activity; an arrow ( ) signifies that an activity is continuing during the identified project phase. Version 3.0 February 16,

18 2.2. Procedures and Resources The SSMP establishes procedures that will be used by the Project team to perform all of the safety and security activities identified in Section 2.1. These procedures will also be addressed in the Safety and Security Certification Plan (SSCP). It is the responsibility of GRTC to ensure that these procedures are integrated throughout the design, construction, testing, and start up phases of the Project. This includes review and update of GRTC s existing rules and procedures for bus operations, safety, security and emergency management, to include Project activities and operations. The GRTC Project Administrator (PA) is ultimately responsible for ensuring adequate resources have been budgeted for safety and security. The PA manages the budget and determines the need for additional resources to support safety and security activities SENSITIVE SECURITY INFORMATION (SSI) Safety and security document control procedures will be fully compliant with the Department of Transportation (DOT) regulation 49 CFR Part 15, Protection of Sensitive Security Information (SSI), which specifies that each recipient must control the release of sensitive security information. These regulations apply to all DOT contractors, recipients, consultants, licensees, and regulated entities that have access to or receive SSI. Documents that are designated as SSI will be properly marked and stored per CFR Part 15, and released only to those parties with proper authorization. GRTC will develop a procedure for addressing the protection of Project information determined to be SSI. The procedure development will be guided by FTA Sensitive Security Information (SSI): Designation, Markings and Control: Resource Document for Transit Agencies, March The DRM is the custodian of SSI and will manage the storage of this documentation with support from the SSC. Access to SSI for the Project must be coordinated with the DRM. The description for management of the SSI process during revenue operations will be developed by GRTC and the Project team RESOURCES GRTC has allocated financial resources to manage and implement the safety and security activities described in Section 2.1 of this SSMP. The Project Safety and Security budget is provided in Appendix B and covers the cost of support from GRTC and consultant staff. The PA manages and oversees expenditures for safety and security work performed on the Project. Additionally, the PA assesses the future capital and staffing resources required to accomplish safety and security goals and makes budgetary requests as necessary. A successful project requires close coordination between the safety and security functions and project management, design and construction. The Project Master Schedule will be updated to reflect safety and security activities and updated and tracked throughout the Project duration. A schedule for completion of safety and security activities will be provided in Appendix C once all safety and security activities for the Project have been identified Interface with Management The Project Safety and Security Committee (SSC) is led by the GRTC Director of Risk Management, who functions in the same role for the Project and is supported in this role by other GRTC staff and outside consultants as needed. The Director of Risk Management reports to the GRTC COO. The members of the SSC and their relationship with GRTC management are shown in Figure 3 on page 13. The SSC is responsible for communicating safety and security issues to GRTC management. Likewise, the SSC is responsible for disseminating safety and security related directives to their subordinate staff. Responsibilities of the SSC include notifying the GRTC CEO regarding issues that, if not resolved, may adversely affect the safety and security of the Version 3.0 February 16,

19 Project. The GRTC CEO has ultimate decision making responsibility and authority for the resolution of safety and security issues that cannot be resolved by lower tiers of the Project team or by the SSC. Communication of safety and security issues requires the combined efforts of the entire Project team and support from safety and security staff, who must possess the knowledge, skill, and expertise to carry out the required tasks. Detailed responsibilities for safety and security staff, and the make up and role of safety and security committee are described in Section 3 of this SSMP. Figure 3 Partial GRTC Project Organization Chart Chief Executive Officer David Green Chief Operating Officer Sheryl Adams Construction Manager and Project Administrator Stephen McNally Director of Risk Management Anthony Carter Chief of Transit Operations Tim Barham Director of Maintenance Gerald Brink Assistant Project Manager Lora Toothman Safety Compliance & Technical Specialist Gerry Puzon Training Manager Mark Carter Assistant Chief of Transit Operations Issac Wright Assistant Director of Maintenance Tony Byrd Version 3.0 February 16,

20 3. ASSIGNMENT OF SAFETY AND SECURITY RESPONSIBILITIES 3.1. Responsibility and Authority GRTC has established a Safety and Security Committee (SSC) as the management structure responsible to perform and guide the Project safety and security tasks identified in this SSMP. The FTA Handbook for Transit Safety and Security Certification, 2002, states that the safety and security related committee functions identified by the FTA may be combined and/or performed by individuals. Because GRTC is a relatively small transit agency, the SSC will perform the functions of the following Boards and Committees identified by FTA in Circular , and listed below: Fire/Life Safety Committee (FLSC) serves as liaison between GRTC and the fire jurisdictions and emergency response agencies (police, EMS, etc.) throughout the project development process. Safety and Security Change Review Board (SSCRB) reviews, evaluates, and manages the changes proposed to the Project s documents to identify and address, safety and security impacts. Safety and Security Operations Review Committee (SSORC) is responsible for overseeing commissioning activities, including systems integration testing, start up, activation, final safety and security certification, and operations and maintenance demonstration. Safety and Security Review Committee (SSRC) oversees the accomplishment of safety and security objectives for each project development phase; and, receives final safety and security certification and Final Verification Report. The SSC is the primary forum for formal review, discussion, and approval of safety and security issues associated with this Project, including ensuring the design, acquisition, construction, fabrication, installation, and testing of all critical elements of the Project will be evaluated for conformance with the established safety and security requirements. The SSC will also oversee and monitor the Design Builder s activities related to safety and security. See Section 8 of this report for additional information. During all phases of the Project, it is the responsibility of the Director of Risk Management (DRM) to ensure that all required safety and security tasks and activities are successfully completed prior to commencement of revenue service. Additionally, it is the Director of Risk Management s responsibility to: Verify that all necessary documented evidence leading to the safety and security certifications is available for review and/or audit; and Verify that the Safety and Security Certification Report is prepared and successfully submitted to the GRTC Project Administrator for approval Committee Structure The Safety and Security Committee (SSC) is chaired by the GRTC DRM. In addition to the standing members described above, additional staff will participate as dictated by the subject matter at hand including design team representatives, operations representatives, construction contractor personnel, and other consultants. Standing members of the SSC are listed in Table 3. Version 3.0 February 16,

21 Table 3 Safety & Security Committee Membership NAME TITLE SSC ROLE David Green GRTC CEO Sheryl Adams GRTC COO Stephen McNally GRTC CM & PA Anthony Carter GRTC DRM Chairperson NAME? VDOT POSITION? NAME? VDOT POSITION 3.3. Safety and Security Responsibility Matrix As owner and operator of the new BRT service, GRTC has overall responsibility to ensure that safety and security considerations have been appropriately incorporated into the design and construction of the Project. A sample responsibilities matrix is provided in Appendix D. Version 3.0 February 16,

22 4. SAFETY AND SECURITY ANALYSIS 4.1. Approach to Safety and Security Analysis GRTC utilizes a formal process for the management of safety hazards, and security threats and vulnerabilities. Because GRTC is an existing operator of bus transit services, to which the Broad Street BRT will be added, the approach to safety and security analyses for the Project consists of the following basic elements: Perform analyses required by FTA, including Preliminary Hazard Analysis (PHA) and Threat and Vulnerability Analysis (TVA); Address the results of the analyses performed, including the PHA and TVA, in the Project design effort to reflect agreed upon mitigation measures; and Update existing and/or prepare new GRTC Safety and Security Plan, Rules, Procedures and other related documentation to address Project specific considerations identified through the Project safety and security analyses. The Project team performed a Preliminary Hazard Analysis (PHA), starting with an alignment field survey on December 15, 2014 and a PHA workshop on January 12, Similarly, the Project team initiated a Threat and Vulnerability Analysis (TVA) during January An additional field survey was performed on April 22, 2015 to evaluate the potential impacts of station location changes, and a workshop was held with the SSC and other Project Team members on April 27, 2015 to complete and approve the PHA and TVA as presented in the Safety and Security Report. The completed PHA and TVA will be used by the GRTC Director of Risk Management, the Safety and Security Specialty Consultant and the Design Builder to track all identified hazards, threats and vulnerabilities, and confirm that all agreed upon mitigations have been satisfactorily incorporated into the Project design and existing GRTC safety and security documentation, as appropriate Requirements for Safety and Security Analysis Safety and security analyses performed for the Project will comply with all applicable FTA and other regulatory requirements HAZARD IDENTIFICATION AND MITIGATION Safety analyses for the Project have been, and will be, conducted in accordance with the FTA Office of Safety & Security, Hazard Analysis Guidelines for Transit Projects, January The Project team has prepared a Preliminary Hazard Analysis (PHA). Input to the PHA consists primarily of field surveys of the alignment and planned station sites performed by members of the Project team whose expertise spans a broad range of professional competencies. In addition, traffic accident data for the vicinities of all planned BRT stations was analyzed to help identify locations where traffic safety may become an important safety concern. Systems elements such as emergency telephone and CCTV are being addressed at a conceptual level. BRT vehicles are not being included in the PHA because they are of a certified design, essentially identical except for paint scheme to buses currently operated by GRTC. Hazards may be resolved by measures ranging design changes to eliminate or reduce risk, to acceptance of the risk of the identified hazard without further action. Proposed resolutions have been identified by the Project team, and reviewed, revised as necessary, and approved by the PA and DRM in a workshop environment. As the design effort progresses, additional hazards may be identified; these will be added to the list of hazards and tracked through complete resolution in the same way as those originally identified. Version 3.0 February 16,

23 HAZARDS AND RISKS Hazards are evaluated in terms of the severity of their potential effects and the probability of their occurrence to determine a risk index. Severity may range from Catastrophic (Category I) events that may cause death or major system loss to Negligible (Category IV) events that may cause less than minor illness, injury or system damage. Probability may range from Frequent (Category A) to Improbable (Category E). The combination of a severity category and a probability category is considered the risk index, which may then be categorized from a rating of 1, which is unacceptable, to a rating of 4, which is acceptable without review. Severity and probability categories are determined for all identified hazards, and their resultant risk indices documented. Resolutions identified and approved for each hazard must be consistent with the risk index ratings as defined by FTA. Risk Indices, as used in the PHA and TVA, are explained further in the Safety and Security Report THREAT AND VULNERABILITY IDENTIFICATION AND MITIGATION Threat and vulnerability analyses for the Project will be conducted in accordance with the FTA Public Transportation System Security and Emergency Preparedness Planning Guide, January 2003, and the TRB Hazard and Safety Plan Template, Forms and Instructions, September The Project team is preparing a Threat and Vulnerability Analysis (TVA). The TVA relies upon the same field surveys performed as part of the PHA. In addition, official crime statistics for the areas immediately surrounding all planned BRT stations was analyzed to identify potential locations at which crime may represent a significant danger. Like hazards, threats and vulnerabilities may be resolved by measures ranging design changes to eliminate or reduce risk, to acceptance of the risk of the identified hazard without further action. Proposed resolutions have been identified by the Project team, and reviewed, revised as necessary, and approved by the PA and DRM in a workshop environment on January 12, 2015 and again on April 27, As the design effort progresses, additional threats and/or vulnerabilities may be identified; these will be added to the list of threats and vulnerabilities and tracked through resolution in the same way as those originally identified THREATS, VULNERABILITIES AND RISK Threats and vulnerabilities are evaluated in the same way as hazards, determining their severity and probability, and identifying their risk index. As with hazard resolution, resolution of treats and vulnerabilities must also be consistent with the risk index ratings as defined by FTA. Version 3.0 February 16,

24 5. DEVELOPMENT OF SAFETY AND SECURITY DESIGN CRITERIA 5.1. Approach to Development of Safety and Security Design Criteria Design criteria are intended to ensure that systems perform satisfactorily, including with regard to safety and security. Transit project design criteria combine widely accepted formal standards and codes (typically by reference), generally accepted best practices, and to the extent necessary, project specific requirements. The design criteria for the GRTC BRT Project include the following: VDOT Road and Bridge Standards (2008), Road Design Manual, and Traffic Engineering Manual American Association of State Highway and Transportation Officials (AASHTO) A Policy on Geometric Design of Highways and Streets (the Green Book); Manual of Uniform Traffic Control Devices (MUTCD), 2009 Edition as revised, FHWA; Virginia Statewide Fire Prevention Code (SFPC); National Fire Protection Association (NFPA) National Fire Codes; Virginia Uniform Statewide Building Code (USBC); Codes defined by other standards boards and organizations, such as ANSI, ASCE APM, NEMA and ASME; The Americans with Disabilities Act (ADA), 28 CFR Part 36; FTA Planning and Environmental Final Design Checklist; FTA Project and Construction Management Guidelines; U.S. Occupational Safety and Health Administration (OSHA) Safety Standards; Virginia OSHA Safety Standards (VOSHA); Requirements derived from Preliminary Hazard Analysis and Threat & Vulnerability Analysis; American Public Transit Association Recommended Best Practices; and, Other applicable codes, ordinances and regulations. Safety and Security Design Criteria will be developed both by building upon existing codes and standards and by translating the results of the PHA and TVA into project specific design criteria; these criteria will be separately grouped as Safety and Security Design Criteria, within the overall set of design criteria. (The integration of safety and security analysis in the design process is illustrated by the diagram provided in Appendix E.) Safety and security related requirements identified in any portion of the design criteria will be translated to the applicable Project safety and security certification documents. Compliance with all such requirements will be verified in the safety and security certification process. The Design Builder will be responsible to prepare and/or finalize the safety and security design criteria, for review and approval by VDOT and GRTC concurrently, including review and approval by the SSC Design Reviews Design reviews provide a structured approach, intended to ensure that the evaluation of design submittals are comprehensive, objective, professional and properly documented. Design reviews also provide an opportunity to evaluate compliance of the design process with this SSMP. The Design Builder will be responsible to perform safety and security design reviews, which will be audited and approved by the safety and security specialty firm and the DRM. Design reviews are iterative in nature, and scheduled to be performed at the following key milestones in the project development process: Preliminary or 30% Design At the conclusion of Preliminary Engineering and prior to the beginning of construction; Version 3.0 February 16,

25 Bridging Documents At completion of the Design Build bridging documentspre Final Design Review (60% Design) During construction; and, Final Design Review or 100% Design During construction. The design documents, as revised in response to the Final Design Review, are referred to as the Conformed Design Drawings and Specifications, and will be utilized to support the acceptance process, which complements the safety and security certification process Deviations and Changes Change order management procedures are intended to ensure that changes to safety and security design criteria, and requested deviations from the design criteria (i.e., waiver requests), are appropriately reviewed and approved, taking into account their impacts on the operational safety and security of the Project. Such changes and deviations must comply with this SSMP and the change management and waiver procedures established for the Project and documented in the Project Management Plan (PMP). The SSC is responsible for participating in the review, and ultimately approving, all changes to and deviations from, safety and security criteria, throughout the design, construction and testing phases of the Project. Such approvals must include appropriate mitigation measures and/or work arounds, to the extent necessary to preserve comparable levels of safety and/or security. Version 3.0 February 16,

26 6. PROCESS FOR ENSURING QUALIFIED O&M PERSONNEL 6.1. O&M Personnel Requirements Proper operation of the GRTC BRT service including with regard to requirements related to safety and security will depend in large measure on the caliber of personnel who will be charged with responsibility to operate and maintain the system. The new BRT service will require additional GRTC personnel to be hired to perform some or all of the following functions: Bus Operators Field Supervisors Vehicle Maintenance Technicians Facilities Maintenance Technicians Bus Operators Current GRTC bus operators will have the opportunity to bid to operate BRT service vehicles, and the pool of GRTC operators will be expanded with new hire trainees augmenting the existing roster of experienced operators. The number of additional operators required will be finalized later in the design process, based on an anticipated increase in vehicle hours operated. Field Supervisors The number of additional field supervisors required, if any, will be finalized later in the design process. To the extent that additional field supervisors are needed, the pool of Field Supervisors will be expanded by creating promotion opportunities among members of the Bus Operator roster. This will increase the number of new Bus Operators to be hired, as additional operators will be needed to replace those promoted to supervisory positions. Vehicle Maintenance Technicians With regard to vehicle maintenance personnel and facilities, based on current trends in vehicle fleet size and staffing, GRTC anticipates that their existing vehicle maintenance staff and facilities will be sufficient to properly maintain the new buses to be procured for dedicated assignment to the BRT service. Facilities Maintenance Technicians With regard to maintenance of facilities, GRTC anticipates that their existing facilities maintenance staff will be sufficient to properly maintain the new stations to be built for the BRT Project. In addition to creating a need for an increased number of qualified O&M personnel, the Project has the potential to create needs for additional vehicle maintenance and maintenance support facilities. However, based on the capacity of GRTC s existing facilities, it is not currently anticipated that expansion of such facilities will be necessary. GRTC has a long history of transit operation, being organized as a street railway in 1860, becoming America s first electric streetcar operator in 1888, initiating bus operation in 1923, and currently operating over 4.4 million bus revenue miles and carrying over 8.7 million bus passengers (unlinked trips) annually. GRTC will leverage its substantial existing capabilities to operate the BRT service in a safe, secure and reliable manner Plans, Rules and Procedures GRTC maintains an existing set of rules and procedures that govern its employees in fulfillment of their duties. These rules and procedures will be reviewed to identify any need for additional BRT specific rules or procedures, or changes in the existing rules and procedures Training Program Newly hired GRTC personnel will benefit from the same extensive training program currently provided to all GRTC employees, including both general topics that apply to all employees and specific topics unique to an individual s professional role, such as bus operator, vehicle maintenance technician, etc. (Summaries of GRTC s current employee Version 3.0 February 16,

27 training programs are provided in Attachment F.) Personnel assigned to the BRT will receive supplemental training to familiarize those personnel with practices, procedures, systems and infrastructure unique to the new BRT service. Current GRTC training programs will be reviewed to identify additional BRT specific training to be added to, or necessary changes in, the existing curriculum. Training topics unique to the BRT are anticipated to include: Dedicated bus lane operation Traffic Signal Prioritization (TSP) BRT Stations including fare vending machines and security systems Fare collection Training of personnel needed to support BRT O&M will commence approximately 12 weeks prior to the commencement of BRT revenue operation Emergency Preparedness GRTC adopted its Emergency Response Plan (ERP) on October 1, As part of the Project, the GRTC ERP will be updated to reflect the inauguration of BRT service. The update will address all regulatory mandates in the area of emergency response training. Further, the update will include an invitation for review and comment by fire, police and emergency medical service agencies within whose jurisdictions GRTC bus services operate. Concurrent with the update of the Emergency Response Plan, informational briefings will be provided to the relevant agencies to explain unique characteristics of the new BRT service, present information on operational changes to other routes planned to coincide with the inauguration of BRT service, and create an opportunity for questions and answers, and further discussion. Lastly, emergency drills may be planned, ranging from table top exercises to full scale emergency simulations. These drills would focus on the BRT service, and could include: Fire or smoke on a BRT bus; Bus / pedestrian collision; Bus / motor vehicle collision; and/or, Terrorist attack. The SSC would be responsible to provide for the documentation of the process by which drills were planned and conducted, as well as the results of the drill. The SSC would also be responsible to identify any actions necessary based on the results of the drill, and incorporate a list of such actions into the aforementioned documentation Public Awareness Public awareness regarding the Project was initiated with public meetings during the planning and design phases of project development, and will continue with an awareness/outreach program to be led by the Design Builder during construction, as well as promotional awareness/outreach efforts in anticipation of, and subsequent to, inauguration of revenue service. In addition to the administrative purpose of inviting public comment on a publically funded project, and the commercial purpose of promoting rider interest in the new BRT service, these awareness/outreach programs serve an equally and potentially more important purpose: to increase public awareness in the interest of safety and security. Such programs, at all phases of project development, will specifically include safety and security related information appropriate to the Project phase at the time. The Safety and Security Specialty Consultant will be responsible to coordinate with, and provide safety and security related input information to, the Design Builder for incorporation in the overall public information and awareness program for the Project. Version 3.0 February 16,

28 7. SAFETY AND SECURITY VERIFICATION PROCESS In the FTA Handbook for Transit Safety and Security Certification, the following three tools are identified: A well defined project scope; A Safety and Security Certification Plan; and, A defined 10 step safety and security certification methodology. GRTC plans to employ all three of these tools to ensure that its safety and security certification / verification process is rigorous, thorough, and compliant with all applicable FTA requirements. In this section of the SSMP, selected aspects of the certification methodology are described Design Criteria Verification Process The design criteria verification process is intended to ensure that the final design of the Project meets the design criteria established for the Project, including those criteria intended to specifically address safety and security considerations, such as may be derived from the results of the Preliminary Hazard Analysis and/or Threat & Vulnerability Analysis. Design criteria conformance checklists will be prepared by the Design Builder to list safety and security related criteria for certifiable Project elements, and facilitate verification of compliance by the appropriate contract specifications and drawings. The checklists will be reviewed and approved by the Director of Risk Management (DRM), the Safety and Security Specialty Consultant and the Safety and Security Committee (SSC) before they are applied to the Project. The checklists will be used by the designers in the verification process, by confirming the compliance of each listed specification, drawing, or other documentation, with the design criteria. Completed checklists will be reviewed and approved by the Safety and Security Specialty Consultant, the DRM and the SSC Construction Specification Conformance Process The construction specification conformance process is intended to ensure that individual elements and items as constructed and installed in the field, are in compliance with established and agreed upon design criteria, including those criteria established to address safety and security considerations. Construction verification checklists are logical extensions of the design criteria conformance checklists, and their use represents the second stage of the certification process. Like the design criteria conformance checklists, the construction verification checklists will be prepared by the Design Builder and reviewed and approved by the Safety and Security Specialty Consultant, the DRM and SSC before they are applied to the Project. The construction verification checklists will be used to verify that the constructed facilities and installed systems have been completed in conformance with the plans and specifications; such verification represents, by extension, conformance of the constructed facilities and installed systems with the design criteria based on the previous verification of the conformance of the plans and specifications with the design criteria. Verification of the conformance of constructed facilities and installed systems will be accomplished by the Design Builder and audited by the Safety and Security Specialty Consultant, using a combination of review of Design Builder documentation such as inspection and testing reports, and first hand visual examination and measurement. Upon completion of the checklists to the satisfaction of the DRM and SSC, the responsible members of the SSC will prepare, sign and submit Construction Specification Conformance Certificates of Compliance for the appropriate certifiable Project elements. Version 3.0 February 16,

29 7.3. Testing / Inspection Verification Multiple types of testing and inspection will take place during the construction phase of the Project. Examples include: individual component testing for systems; testing of complete systems prior to installation; materials testing for manufactured components or constructed facilities; integrated testing of installed systems; operational testing of systems and facilities; and, acceptance testing of complete systems and facilities. Testing requirements for the entire Project, including those specifically related to safety and security, will be identified early in the design process including through examination of specifications, drawings and contract documents, and will be documented in the Integrated Test Program Plan (ITPP). If additional test requirements, including those specifically related to safety and security, become necessary as the design advances, the ITPP will be updated accordingly. Independent testing and acceptance should be completed by the Technical Consultant. To the extent that individual tests must or should be witnessed by parties outside the Project team, for example fire and/or police departments, such parties will be identified in the Plan. Independent testing and acceptance should be completed by the Technical Consultant Hazard and Vulnerability Resolution Verification Each identified and approved hazard and vulnerability resolution or mitigation, derived from the PHA and/or TVA, will be incorporated into the applicable design and construction requirements and recorded on a tracking list. This list will be used by Project safety and security personnel, the Design Builder and the Safety and Security Specialty Consultant to monitor each hazard and vulnerability through the design, construction and testing of the Project, and ensure that each hazard and vulnerability has been satisfactorily addressed. The status of resolution of each hazard and vulnerability will be identified on the list. At each stage of the design, construction and testing of the Project, the SSC will review and approve the tracking list and the resolution status information identified thereon. Prior to revenue operation, and upon all hazards and vulnerabilities achieving a resolution status of Fully Resolved, one or more members of the SSC will prepare, sign and submit the Safety Certificates of Compliance for the appropriate certifiable Project elements Operational Readiness Verification Operational readiness will be determined by the satisfactory conduct of pre revenue operations, after all design, construction, installation and testing activities have been completed, all necessary manuals and appropriate rules and procedures are in place, all necessary training has been completed, and all required certifications have been prepared, signed and submitted. The Design Builder will provide support as needed during this process. During pre revenue operations, the BRT service is operated and maintained as it would be in revenue service, but without incurring the risks associated with carrying passengers. Both normal and abnormal operations will be simulated. Once it has been demonstrated, to the satisfaction of the PA that all system elements are fully functional and performing as designed, the system will be considered to be ready for revenue operation Safety and Security Certification Requirements Prior to the inauguration of revenue service, a Final Verification Report (FVR) will be prepared by the Safety and Security Specialty Consultant, for approval by the DRM and PA, upon conclusion of safety and security certification activities for each safety and security critical element, to verify compliance with the Safety and Security Compliance Plan (SSCP). The FVR is also called the Safety and Security Certification Verification Report (SSCVR). The FVR will be prepared in accordance with the requirements of the FTA 2002 Handbook for Transit Safety and Security Certification, and will include the Project Safety and Security Certificate. An interim certificate may be issued, if appropriate and in accordance withaccording to the FTA requirements, to begin the revenue operation, while the final punch list items are completed. Once all final punch list items are completed, a final certification is expected to be issued. Version 3.0 February 16,

30 8. CONSTRUCTION SAFETY AND SECURITY 8.1. Construction Safety and Security Program Elements The GRTC Broad Street BRT Project will employ the Design Build method of project delivery. The Design Builder will be responsible for initiating, supervising, observing and complying with all safety precautions and programs in connection with the work performed, as required by all applicable federal, state and local laws, regulations and ordinances. The responsibility of the Design Builder spans day to day management of the Project s construction safety and security program, development and implementation of Project construction security plans, and monitoring the safety and security of construction activities. The Design Builder is responsible for safety of the work, including work done or materials supplied by subcontractors, vendors or other persons; this responsibility cannot be delegated to subcontractors, vendors, or other persons. GRTC s Contractor Safety Policy and Procedures were adopted in July 2003 and updated in December GRTC routinely provides these Procedures to all contractors to inform them of their safety and security obligations and responsibilities; these Procedures will be updated as necessary, to govern the Project, in the contexts of both the Design Builder and GRTC. Prior to the start of construction, the Design Builder and its subcontractors will be required to formally adopt the GRTC Procedures, and to prepare and submit its/their own Contractor Safety and Security Plan(s) (CSSP) for approval by GRTC Construction Phase Hazard and Vulnerability Analysis All hazards and/or vulnerabilities that are identified during any risk assessment, and that are unique to the construction aspect of the Project, will be added to the hazard and vulnerability tracking list, addressed through appropriately identified means, and monitored until their resolution. The SSC will determine whether it will be necessary to perform additional analyses specifically to identify and mitigate hazards and/or vulnerabilities unique to the construction phase. The Design Builder will be responsible for development and application of design criteria and construction conformance checklists, participation in safety and security certification audits, performing and/or supporting integrated testing, providing training to GRTC personnel regarding operation and maintenance of systems and equipment, delivering O&M manuals for systems and equipment, and supporting emergency preparedness drills, as necessary Safety and Security Incentives GRTC and VDOT have not included performance incentives related to construction phase safety and security in the Design Build contract. However, GRTC and VDOT are proposing to includeincluding incentives for completion of the Interim Certification.. Version 3.0 February 16,

31 9. REQUIREMENTS FOR 49CFR Part 659, Rail Fixed Guideway Systems, State Safety Oversight (If Applicable) This document section, required by FTA, is not applicable to the GRTC BRT Project. Version 3.0 February 16,

32 10. FRA COORDINATION (If Applicable) This document section, required by FTA, is not applicable to the GRTC BRT Project. Version 3.0 February 16,

33 11. DEPARTMENT OF HOMELAND SECURITY COORDINATION (If Applicable) Activities GRTC will ensure compliance with Department of Homeland Security (DHS) policies and procedures through coordination with local DHS authorities. The DRM is the designated liaison with DHS and will take steps necessary to ensure that the Project complies with any and all applicable DHS requirements. It has not yet been determined whether the Project, once in operation, will be subject to Transportation Security Administration (TSA) Directives for Mass Transit, but GRTC will comply with any TSA directives as directed and advised by FTA. DHS will be invited, as deemed appropriate by GRTC, to participate in safety and security processes and activities Implementation Schedule Compliance with DHS/TSA regulations and requirements will be addressed in the detailed Project design and schedule Coordination Process The DRM will provide Project documentation to DHS if and when appropriate, either for review and comment or for information only. Issues raised by DHS may be resolved by the DRM, or elevated for consideration by other GRTC management as necessary and appropriate. Version 3.0 February 16,

34 APPENDICES A Integration of Safety and Security into Project Development Process B C D Safety and Security Budget Schedule for Completion of Safety and Security Activities Roles and Responsibilities Matrix D 1 Program Management D 2 Design D 3 Safety Certification D 4 Construction Safety D 5 Operational Readiness E F Safety and Security Analysis in the Design Process GRTC Employee Training Program Summary Version 3.0 February 16,

35 APPENDIX A INTEGRATION OF SAFETY AND SECURITY INTO PROJECT DEVELOPMENT PROCESS (Source: FTA Office of Safety and Security) SAFETY AND SECURITY IN PROJECT DEVELOPMENT PROCESS Safety and Security Management Activities Safety and Security Policies and Procedures Design, Construction, Integrated Testing and Demonstration Activities Project Management Plan RISK TOLERANCES SSMP and Project Safety/Security Certification Plan Codes and Standards Transit Experience Certifiable Elements List and SCIL Safety and Security Design Criteria and Design Manuals Contractual Requirements Safety and Security Analysis Certifiable Items Checklists Design Reviews Design Verification Compliance Documentation Contract Specifications and Drawings Design Reviews Inspections Contract Submittals CHANGE ORDERS Integrated Testing and Operating Requirements Test Plans and Procedures Quality Assurance Program Test Results Construction Rules, SOPs and Manuals Safety and Security Acceptance Review Project Acceptance Final Safety/Security Verification Report Version 3.0 February 16,

36 APPENDIX B SAFETY AND SECURITY BUDGET [TO BE PROVIDED] Version 3.0 February 16,

37 APPENDIX C SCHEDULE FOR COMPLETION OF SAFETY AND SECURITY ACTIVITIES Version 3.0 February 16,

38 APPENDIX D 1 ROLES AND RESPONSIBILITIES MATRIX PROGRAM MANAGEMENT SAFETY AND SECURITY TASKS AND RESPONSIBILITIES Legend: P Primary/Lead Responsibility S Supporting A Approval authority C Comment only N No actions required RA Recommend for approval VDOT Alternate Project Delivery Office Safety and Security Committee (SSC) GRTC Project Manager / Administrator GRTC Director of Risk Management Safety & Security Specialty Consultant GRTC Chief Operating Officer GRTC Chief Executive Officer Preliminary Engineering Consultant Design Builder Program Management Establish Safety and Security Policy Statement N A P/RA S N N A RA N Set safety and security policies, goals and objectives N A P/RA S S/RA C C C N Develop safety and security task list N A S/RA P S C C S S Assign roles and responsibilities for safety activities Assign roles and responsibilities for security activities S A RA P S C C S N S A RA P S C C S N Update Safety and Security Management Plan N A P/A P/A S A A P N Develop Safety and Security Certification Program Plan Perform program reviews and audits for safety and security activities Establish system for hazard and vulnerability tracking and resolution N A S/A S/RA P C C C S S A S/A P P N N S S N A S/A P S N N P P Version 3.0 February 16,

39 APPENDIX D 2 ROLES AND RESPONSIBILITIES MATRIX DESIGN SAFETY AND SECURITY TASKS AND RESPONSIBILITIES Legend: P Primary/Lead Responsibility S Supporting A Approval authority C Comment only N No actions required RA Recommend for approval VDOT Alternate Project Delivery Office Safety and Security Committee (SSC) GRTC Project Manager / Administrator GRTC Director of Risk Management Safety & Security Specialty Consultant GRTC Chief Operating Officer GRTC Chief Executive Officer Preliminary Engineering Consultant Design Builder Design Process Identify codes, standards, regulations or existing design criteria and manuals containing safety and security requirements C A S/RA S/RA C N N P C Establish Safety and Security Committee N N RA P N C C N N Perform hazard/vulnerability analysis for any design changes N A S P/RA S N N N S Perform preliminary hazards analysis (PHA) N A P RA N C C P N Perform security threat and vulnerability analysis (TVA) Develop a list of safety and security certifiable elements Update list of safety and security certifiable items as needed N A P S/RA N C C P N A A C RA S N N N P A A C RA S N N N P Version 3.0 February 16,

40 APPENDIX D 3 ROLES AND RESPONSIBILITIES MATRIX SAFETY CERTIFICATION SAFETY AND SECURITY TASKS AND RESPONSIBILITIES Legend: P Primary/Lead Responsibility S Supporting A Approval authority C Comment only N No actions required RA Recommend for approval VDOT Alternate Project Delivery Office Safety and Security Committee (SSC) GRTC Project Manager / Administrator GRTC Director of Risk Management Safety & Security Specialty Consultant GRTC Chief Operating Officer GRTC Chief Executive Officer Preliminary Engineering Consultant Design Builder Safety Certification Process Develop Design Criteria Verification Checklist C A RA P/A S C N N P Complete Design Criteria Verification Checklist N A RA P/A S N N N S Develop Construction Specification Conformance Checklist Complete Construction Specification Conformance Checklist Complete safety certification verification of integrated testing Verify that contractual vendor training classes have been completed Verify that hazard and vulnerability tracking items are successfully resolved. Identify and resolve restrictions, deviations and workarounds for open safety certification items. Issue final safety and security certificates for design verification and construction specification conformance. C A RA P/A S C N N P N A RA P/A S C N N P C A RA P/A P A N N S A RA C C S/RA A N N S N A C P P C N N S S A S P P RA N N S A A RA P S RA C N N Version 3.0 February 16,

41 APPENDIX D 4 ROLES AND RESPONSIBILITIES MATRIX CONSTRUCTION SAFETY SAFETY AND SECURITY TASKS AND RESPONSIBILITIES Legend: P Primary/Lead Responsibility S Supporting A Approval authority C Comment only N No actions required RA Recommend for approval VDOT Alternate Project Delivery Office Safety and Security Committee (SSC) GRTC Project Manager / Administrator GRTC Director of Risk Management Safety & Security Specialty Consultant GRTC Chief Operating Officer GRTC Chief Executive Officer Preliminary Engineering Consultant Design Builder Construction Safety Establish a construction Health, Safety and Welfare Plan (HSWP) Establish an emergency response plan for construction Conduct and document construction safety inspection; document and track any incidents Verify that construction safety and security training is completed A RA C C C N N N P A A C P S C N N S P A C C S N N N S P A C C S N N N S Version 3.0 February 16,

42 APPENDIX D 5 ROLES AND RESPONSIBILITIES MATRIX OPERATIONAL READINESS SAFETY AND SECURITY TASKS AND RESPONSIBILITIES Legend: P Primary/Lead Responsibility S Supporting A Approval authority C Comment only N No actions required RA Recommend for approval VDOT Alternate Project Delivery Office Safety and Security Committee (SSC) GRTC Project Manager / Administrator GRTC Director of Risk Management Safety & Security Specialty Consultant GRTC Chief Operating Officer GRTC Chief Executive Officer Preliminary Engineering Consultant Design Builder Operational Readiness Coordinate with Department of Homeland Security (DHS) N C S P S S N N N Perform safety and security review of Operations and Maintenance Procedures Revise existing safety rules and procedures to ensure Project inclusion Revise existing security rules and procedures to ensure Project inclusion. Conduct safety incident response and investigations. Perform trend analysis and response planning Conduct security incident investigations. Track pattern trending. Perform response planning. Develop and disseminate emergency safety and security procedures Provide safety and security related training to staff and applicable contractors N A S P S P N N N N A C S S P N N N N A S P S S N S N N A S P S A N N N N A S P S A N N N N A S P S P N N N N C S P S S N N S Conduct operational readiness reviews S N P S S P C N S Conduct emergency response drills and exercises N S S P S P C N N Conduct Public Outreach N C P S S C C N P Identify and resolve safety certification restrictions, deviations and workarounds Issue final safety and security certificates for operational readiness Issue Final Safety and Security Certification Verification Report N A P S S C C N N N A RA P/A S A C N N N A RA P/A S A C N N Version 3.0 February 16,

43 APPENDIX E SAFETY AND SECURITY ANALYSIS IN THE DESIGN PROCESS (Source: FTA Office of Safety and Security) Project Definition and General Requirements DESIGN Preliminary Project Description and Component Identification Identification of Safety and Security Codes, Standards, Requirements SAFETY AND SECURITY DESIGN CRITERIA Final Project Specifications and Drawings Preliminary Hazard and Vulnerability List and Supporting Analysis Preliminary Specifications and Drawings Design Approval Safety and Security Certifiable Elements and Items System Safety and Security Analysis Design Reviews Version 3.0 February 16,

44 APPENDIX F GRTC EMPLOYEE TRAINING PROGRAM SUMMARY [TO BE PROVIDED] Version 3.0 February 16,