state of california edmund g. brown jr.,...

STATE OF CALIFORNIA EDMUND G. BROWN JR., Governor

PUBLIC UTILITIES COMMISSION505 Van Ness Avenue

San Francisco, CA 94102

February 20, 2018 Agenda ID# 16324

TO PARTIES FOR RESOLUTION ST-207

This is a Commission Resolution of the Safety and Enforcement Division. It will be on theMarch 22, 2018, Commission Meeting Agenda. The Commission may act then, or it maypostpone action until later.

When the Commission acts on the Resolution, it may adopt all or part of it as written, amend ormodify it, or set it aside and prepare its own decision. Only when the Commission acts does theresolution become binding on the parties.

Parties may file comments on the Resolution as provided in Article 14 of the Commission’sRules of Practice and Procedure (Rules), accessible on the Commission’s website atwww.cpuc.ca.gov. Pursuant to Rule 14.3, opening comments shall not exceed 15 pages. Latesubmitted comments or reply comments will not be considered.

An electronic copy of the comments should be submitted to Commission Staff, Bill Lay(email [email protected]).

/s/ ELIZAVETA MALASHENKOELIZAVETA MALASHENKO, DirectorSafety and Enforcement Division

BLL:vdl

Attachment

211428788

CERTIFICATE OF SERVICE

I certify that I have by electronic or US mail this day served a true copy of Draft Resolution ST-207 on all identified parties in this matter as shown on the attached Service List.

Dated February 20, 2018, at San Francisco, California.

/s/ JIMMY XIAJimmy Xia

NOTICE

Parties should notify the Safety and Enforcement Division of anychange of address to ensure that they continue to receivedocuments. You must indicate the Resolution number on whichyour name appears.

Safety and Enforcement DivisionCalifornia Public Utilities Commission505 Van Ness AvenueSan Francisco, California 94102

SERVICE LISTResolution ST-207

Edward BoghossianDirector – Corporate SafetyLACMTAOne Gateway Plaza, 18th FloorLos Angeles, CA [email protected]

Governor Edmund G. Brownc/o State Capitol, Suite 1173Sacramento, CA 95814

Bernard JacksonSr. Executive Officer – Rail OperationsLACMTAOne Gateway Plaza, 18th FloorLos Angeles, CA [email protected]

James GallagherChief Operating OfficerLACMTAOne Gateway Plaza, 18th FloorLos Angeles, CA [email protected]

Gregory KildareChief Risk, Safety & AssetsLACMTAOne Gateway Plaza, 18th FloorLos Angeles, CA [email protected]

Phillip WashingtonCEOLACMTAOne Gateway PlazaLos Angeles, CA [email protected]

Sean LoofbourrowChief of SafetyNorth County Transit District810 Mission AvenueOceanside, CA [email protected]

Vijay KhawaniExecutive Office – Corporate SafetyLACMTAOne Gateway Plaza, 18th FloorLos Angeles, CA [email protected]

Matthew TuckerExecutive DirectorNorth County Transit District810 Mission AvenueOceanside, CA [email protected]

Donald FilippiChief of OperationsNorth County Transit District810 Mission AvenueOceanside, CA [email protected]

David BagleySystem Safety ManagerSan Diego Trolley, Inc.1255 Imperial Avenue, Suite 900San Diego, Ca [email protected]

Paul JablonskiCEOSan Diego Trolley, Inc.1255 Imperial Avenue, Suite 1000San Diego, CA [email protected]

Wayne TerryChief Officer of Operations- RailSan Diego Trolley, Inc.1255 Imperial Avenue, Suite 900San Diego, CA [email protected]

Brian RileySuperintendent of TransportationSan Diego Trolley, Inc.1255 Imperial Avenue, Suite 900San Diego, Ca [email protected]

Melvyn HenryChief Safety OfficerSF Municipal Transportation AgencyOne South Van Ness Avenue, 7th FloorSan Francisco, CA [email protected]

Michael KirchanskiSystem Safety ManagerSF Municipal Transportation AgencyOne South Van Ness Avenue, 7th FloorSan Francisco, CA [email protected]

Ed ReiskinDirector of TransportationSF Municipal Transportation AgencyOne South Van Ness Avenue, 7th FloorSan Francisco, CA [email protected]

John HaleyDirector of TransitSF Municipal Transportation AgencyOne South Van Ness Avenue, 7th FloorSan Francisco, CA [email protected]

Nuria FernandezGeneral Manager / CEOSanta Clara Valley Transportation Authority3331 North First StreetSan Jose, CA [email protected]

Rufus FrancisDirector of System Safety & SecuritySanta Clara Valley Transportation Authority3331 North First StreetSan Jose, CA [email protected]

Inez EvansChief Operating OfficerSanta Clara Valley Transportation Authority3331 North First StreetSan Jose, CA [email protected]

Denise PatrickSafety ManagerSanta Clara Valley Transportation Authority3331 North First StreetSan Jose, CA [email protected]

Henry LiGeneral Manager / CEOSacramento Regional Transit DistrictPO Box 2110Sacramento, CA [email protected]

Mark LonerganChief Operating OfficerSacramento Regional Transit DistrictPO Box 2110Sacramento, CA [email protected]

John DarraghDirector, Light RailSacramento Regional Transit DistrictPO Box 2110Sacramento, CA [email protected]

Rob HoslettSr. Safety SpecialistSacramento Regional Transit DistrictPO Box 2110Sacramento, CA [email protected]

Tasha ReederAssistant Manager – EngineeringThe Grove Trolley / Americana At BrandTrolley101 The Grove DriveLos Angeles, CA [email protected]

Peter HaydenSr. VP – EngineeringThe Grove Trolley / Americana At BrandTrolley101 The Grove DriveLos Angeles, CA [email protected]

Tryg MccoyDeputy Airport DirectorAir TrainPO Box 8097San Francisco, CA [email protected]

Michael RobertAssistant ManagerAir TrainPO Box 8097San Francisco, CA [email protected]

Tony BreslinProject ManagerSan Francisco International AirportP.O. Box 8097San Francisco, CA. [email protected]

Alfredo HinojosaSDC DirectorSan Francisco International Airport679 N. McDonnell RoadSan Francisco, CA [email protected]

Jeff LauChief Safety OfficerBay Area Rapid Transit District (BART)300 Lakeside Drive, 18th FloorOakland, CA [email protected]

Kenton RaineyChief of PoliceBay Area Rapid Transit District (BART)800 Madison PO BOX 12688Oakland, CA [email protected]

Paul OversierAssistant General ManagerBay Area Rapid Transit District (BART)PO Box 12688Oakland, CA [email protected]

Grace CrunicanGeneral ManagerBay Area Rapid Transit District (BART)PO Box 12688Oakland, CA [email protected]

Hal BastianPresident & CEOAngels Flight617 S. Olive Street, Suite 704Los Angeles, CA [email protected]

Steven D. DeWitt, PESenior VP for Business DevelopmentACS Infrastructure Development, Inc.One Alhambra Plaza, Suite 1200Coral Gables, FL [email protected]

Michael RogersDirector of FacilitiesGetty1200 Getty Center Drive, Suite 100Los Angeles, CA [email protected]

Bob CombsDirector of Security and Visitor ServicesGetty1200 Getty Center Drive, Suite 900Los Angeles, CA [email protected]

Darrell JohnsonChief Executive OfficerOrange County Transportation Authority550 South Main StreetOrange, CA [email protected]

Matt DesRosierHealth, Safety, & Env. Compliance ManagerOrange County Transportation Authority550 South Main StreetOrange, CA [email protected]

John ValsecchiSystem Design ManagerDowntown Riverfront Street CarPO Box 2110Sacramento, CA [email protected]

Ed ScofieldDirector, Project ManagementDowntown Riverfront Street CarPO Box 2110Sacramento, CA [email protected]

Mr. John WheatDirector of AirportsSacramento County Department of Airports6900 Airport BoulevardSacramento, CA [email protected]

Mr. David DelmosFacilities CoordinatorSacramento County Department of Airports6900 Airport BoulevardSacramento, CA [email protected]

Sharon BeasleyCompliance LiaisonCaltrans Div. of Rail and Mass TransportationMS 39P. O. Box 942874Sacramento, CA [email protected]

Josh W. ShawExecutive DirectorCalifornia Transit Association1415 L Street, Suite 200Sacramento, CA [email protected]

Tom Littleton1200 New Jersey Avenue, SEEast Building – Office of Transit Safety andOversight (TSO)Washington, DC [email protected]

Maria Wright1200 New Jersey Avenue, SEEast Building – Office of Transit Safety andOversight (TSO)Washington, DC [email protected]

Bill LaySr. Utilities EngineerCPUC320 West 4th Street, Suite 500Los Angeles, CA [email protected]

Daren GilbertProgram ManagerCPUC180 Promenade Circle, Suite 115Sacramento, CA [email protected]

Michael BorerSupervisor, Transit OperationsCPUC180 Promenade Circle, Suite 115Sacramento, CA [email protected]

Roger ClugstonDeputy DirectorCPUC505 Van Ness AvenueSan Francisco, CA [email protected]

Elizaveta MalashenkoDirectorCPUCSafety and Enforcement Division320 West 4th Street, Suite [email protected]

Patrick BerdgeLegalCPUC505 Van Ness AvenueSan Francisco, CA [email protected]

Stephen ArtusProgram and Project SupervisorCPUC505 Van Ness AvenueSan Francisco, CA [email protected]

Antranig GarabetianProgram and Project SupervisorCPUC320 West 4th Street, Suite 500Los Angeles, CA [email protected]

Steve EspinalSenior Utilities EngineerSafety and Enforcement DivisionRail Transit Safety Branch505 Van Ness Ave.San Francisco, CA [email protected]

Noel TakaharaSenior Utilities EngineerSafety and Enforcement DivisionRail Transit Safety Branch320 West 4th Street, Suite 500Los Angeles, CA [email protected]

Virginia LayaTransportation AnalystSafety and Enforcement DivisionRail Transit Safety Branch505 Van Ness Ave.San Francisco, CA [email protected]

Michael RobertsonProgram ManagerCPUC320 West 4th Street, Suite 500Los Angeles, CA [email protected]

Ronda PaschalDeputy Legislative SecretaryState Capitol, Suite 1173Sacramento, CA 95814

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SED/RTSB/EIM/RNC/DAR/SCA/BLL/vdl PROP. RES. Agenda ID# 16324

PUBLIC UTILITIES COMMISSION OF THE STATE OF CALIFORNIA

Safety and Enforcement DivisionRail Transit Safety Branch

Resolution ST-207March 22, 2018

RESOLUTION

RESOLUTION ST-207 GRANTING APPROVAL TOREVISIONS OF GENERAL ORDER 164-D PROPOSED BY

THE SAFETY AND ENFORCEMENT DIVISION ANDAUTHORIZING SUBMISSION OF THE CERTIFICATION

APPLICATION TO THE FEDERAL TRANSITADMINISTRATION

SUMMARYThis resolution approves the Safety and Enforcement Division Staff’sproposed modifications to General Order 164-D, “Rules and RegulationsGoverning State Safety Oversight of Rail Fixed Guideway Systems,” tocomply with new federal laws and regulations regarding rail transit statesafety oversight programs, and to prevent the loss of Federal TransitAdministration grant funding to any entity in California. The revisedGeneral Order will be designated as General Order 164-E, and will becomeeffective on May 1, 2018. This Resolution also authorizes the Safety andEnforcement Division to submit the application to the Federal TransitAdministration for certification of the California Public UtilitiesCommission as the State Safety Oversight Agency of California uponapproval of this Resolution.

BACKGROUND

The initial federal State Safety Oversight (SSO) program for rail fixedguideway transit systems was authorized by section 3029 of the 1991Intermodal Surface Transportation Efficiency Act (ISTEA). In enactingsection 3029, Congress determined that the states, not the Federal TransitAdministration (FTA), should be the principal oversight authorities for railtransit within their jurisdictions, given that public transportation is aninherently local activity. ISTEA required states to designate a State Safety

SED/RTSB/EIM/RNC/DAR/SCA/BLL/vdl DRAFT Resolution ST-207March 22, 2018

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Oversight Agency (SSOA) and FTA to develop regulations for states tomeet in conducting its oversight program. The California Public UtilitiesCommission (Commission or CPUC) at the time had a long-standing railtransit safety oversight program and was already conducting safetyoversight of existing California rail transit agencies (RTAs). On October13, 1992, Governor Pete Wilson designated the CPUC as the CaliforniaSSOA pursuant to ISTEA.

Also pursuant to ISTEA, Title 49 of Code of Federal Regulations Part 659(49 CFR Part 659) was adopted by the FTA on December 27, 1995. FTAmade 49 CFR Part 659 effective on January 1, 1997, giving states one yearto enact statutes or regulations to address the new safety requirements.States were required to designate an SSOA, create a system safety programstandard for RTAs to follow, conduct safety audits every three years, andinvestigate accidents and hazardous conditions. RTAs, in turn, had todevelop a system safety program plan, conduct internal safety audits,conduct accident investigations at the direction of the SSOA, and submitcorrective action plans for the SSOA’s approval.

In response to issuance of 49 CFR Part 659, Commission General Order(GO) 164, “Rules and Regulations Governing State Safety Oversight of RailFixed Guideway Systems,” was first adopted by the CPUC on September20, 1996. The GO was subsequently amended several times to its currentversion of GO 164-D.

On July 6, 2012, the Moving Ahead for Progress in the 21st Century Act(MAP-21), codified at 49 United States Code (U.S.C.) Section 5329, wassigned into law. MAP-21 directed FTA to establish a comprehensivepublic transportation safety program, one element of which is the railfixed-guideway SSO Program. Although there was the existing SSOprogram under 49 CFR Part 659, because of the disparate SSOA programsacross the nation, FTA was directed to certify the SSOA programs based oncertain criteria established in subsection 5329(e).

Pursuant to MAP-21, since its adoption, FTA has undertaken severalrulemakings to respond to its statutory mandates, one of which wassetting forth the requirements applicable to SSOAs, like the CPUC. Inrulemaking docket FTA-2015-0003, FTA adopted 49 CFR Part 674, whichbecame effective on April 15, 2016. The purpose of 49 CFR Part 674 is to


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carry out the statutory mandates to strengthen the state’s oversight of thesafety of the rail fixed-guideway systems within its jurisdiction. UnlikeCalifornia and the CPUC SSOA program, most other states had limited (orno) enforcement authority and limited staffing for their programs.

In order to strengthen the state’s oversight, 49 CFR Part 674 requiresSSOAs to have the necessary enforcement authority, legal independence,and financial and human resources for overseeing the number, size, andcomplexity of the RTAs within its jurisdiction. In order to meet thestatutory mandate, 49 CFR Part 674 specifies that a state must submit itsprogram standard (procedures manual) to FTA for approval and to obtainFTA certification of its overall program. In addition to our programstandard, specific requirements applicable to RTAs are also contained inGO 164-D, some of which must be modified to meet the new FTArequirements in 49 CFR Part 674.

Specific changes in 49 CFR Part 674 also includes notification andreporting requirements for types of “events” (defined as “accidents,”“incidents,” and “occurrences”) by the RTAs to the SSOA and FTA, whichhave changed from the formerly applicable requirements in 49 CFR Part659. Changes to this GO are to largely comply with the newly adoptedfederal reporting requirements and to adopt definitions FTA included in49 CFR Part 674.

In order to compel states to aggressively enact legislation or otheradministrative rules to meet the requirements, and adopt a programstandard to address the certification requirements laid out in 49 CFR Part674, MAP-21 requires FTA to withhold all FTA funding from any entity inany state not becoming certified three years from the effective date of 49CFR Part 674 (by April 15, 2019). FTA notes in a recent letter to CaliforniaGovernor Brown, included with this Resolution as Attachment A, that inCalifornia for calendar year 2019 FTA projects grant funding totaling justshort of $1.4B is at risk. This includes all FTA grant funding for anyCalifornia grant recipients, not just the agencies with rail transit systems,including small rural bus operators, research grants to universities, grantsto commuter rail systems, or any other recipient in the state.


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This Resolution recommends adopting Staff’s proposed changes to GO164-D and adopting GO 164-E to comply with the new regulations, as wellas prevent the loss of FTA grant funding to California. The CPUC cannotsubmit its SSOA certification application to the FTA until GO 164 ismodified.

DISCUSSION

Since MAP-21 was first signed into law and FTA began taking the steps tocomply with its statutory mandates, the CPUC’s Rail Transit Safety Branch(RTSB) has been working with FTA to achieve interim certification,evaluate our current program requirements, and since the adoption of 49CFR Part 674, reach general agreement on what changes to General Ordersand the Program Standard are necessary and appropriate.

Initially, before FTA began its rulemaking processes to adopt 49 CFR Part674, interim certification requirements were established by FTA based onboth MAP-21 and the then currently applicable 49 CFR Part 659regulations for SSOAs. California and Massachusetts were the only twoSSOA programs FTA pre-certified based on their existing program. Sincethat time, FTA rulemakings meeting the statutory mandate requirementsset forth in MAP-21 have been undertaken. The primary one impactingthe CPUC are the new SSOA requirements adopted in 49 CFR Part 674.Changes are clearly needed to GO 164-D to meet the new requirements.

In 49 CFR Part 674, FTA made changes to requirements for reportingaccidents and other system disruptions that requires changes to the currentGO 164-D. Specifically, accidents, incidents and occurrences are all nowdefined in the FTA regulation and categorized as “Events,” which allrequire reporting, tracking and/or investigation or analysis, depending ontheir severity. The majority of changes proposed by Staff are to addressthe new reporting and follow-up to Events occurring on the jurisdictionalRTA systems.

Additionally, 49 CFR Part 674 adopted new definitions for a number ofitems to clarify and establish a common understanding of various conceptswithin the industry, generally, and in the regulation, specifically. Staffincludes these changes in its proposed revision of GO 164-D. Several


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other specific recommendations were made by FTA to clarify requirementsand assure compliance with 49 CFR Part 674. Finally, Staff proposes othernon-substantive changes to the GO language and formatting.

The proposed changes and justification are discussed, and the revised GO164-E presented (both a tracked-changes version and a clean version) inthe CPUC Staff Report included as Attachment B to this resolution. Staffproposes that the revised General Order 164-E become effective on May 1,2018.

Staff recommends that the Commission approve Staff’s proposed GO 164-E.

FTA CERTIFICATION

Upon adoption of this Resolution, California will meet one of the keyrequirements of 49 CFR Part 674. Additionally, Staff has met andconsulted with FTA, conducted a detailed review of the RTSB ProgramStandard procedures manual, and modified it as necessary to comply withthe other requirements of 49 CFR Part 674. The Safety and EnforcementDivision should be authorized to proceed with submitting the Certificationapplication to the FTA upon approval of this Resolution.

NOTICE

On February 20, 2018, this Resolution was published on the Commission’sDaily Calendar.

COMMENTS

The draft resolution of the Safety and Enforcement Division in this matterwas mailed in accordance with Section 311 of the Public Utilities Code andRule 14.2(c) of the Commission’s Rules of Practice and Procedure. _____comments were received.

FINDINGS

1. On July 6, 2012, MAP-21 was signed into law.


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2. MAP-21 directed FTA to certify the state programs based on certaincriteria established in United States Code, Title 49, subsection 5329(e).

3. On March 16, 2016, FTA issued a final rule 49 CFR Part 674, madeeffective April 15, 2016, for all SSO of rail fixed guideway publictransportation systems not regulated by the Federal RailroadAdministration.

4. GO 164 must be modified to meet the new FTA requirements in 49 CRPart 674.

5. MAP-21 requires FTA to withhold all FTA funding from any entity inany state not becoming certified three years from the effective date of49 CFR Part 674 (by April 15, 2019) .

6. Staff has been working with FTA personnel over the past year todevelop responsive revisions to GO 164-D and its program standard tocomply with the requirements of 49 CFR Part 674.

7. Preliminary review by FTA indicates acceptability and compliance ofproposed revisions.

8. Upon adopting the proposed changes to comply with 49 CFR Part 674,the Commission may submit its certification application to FTA.


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THEREFORE, IT IS ORDERED THAT:

1. The request of the Safety and Enforcement Division to adopt theproposed General Order 164-E, as shown in Appendix B of the StaffReport attached to this Resolution is approved.

2. General Order 164-E will become effective May 1, 2018.

3. The Safety and Enforcement Division is authorized to submit the StateSafety Oversight Agency certification application to the Federal TransitAdministration.

4. This resolution is effective today.

I certify that the foregoing resolution was duly introduced, passed, andadopted by the Commission at its regularly scheduled meeting on March22, 2018. The following Commissioners voted favorably thereon:

_____________________________ALICE STEBBINSExecutive Director


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Attachment A1/30/2018 FTA Letter to Governor Brown

0U.S. Departmentof Transportation

Deputy Administrator 1200 New Jersey Avenue, SEWashington, DC 20590

Federal TransitAdministration

The Honorable Edmund G. BrownGovernor of CaliforniaState Capitol, Suite 1173Sacramento, CA 95814

Dear Governor Brown:

January 30, 2018

I am writing to urge the State of California to promptly complete the process for establishing afederally compliant State Safety Oversight (SSO) program for its rail transit systems. Federallaw requires that each State with a rail transit system obtain certification of its SSO programfrom the Federal Transit Administration (FTA) by April 15, 2019. To ensure that FTA will havesufficient time to review each State's SSO program application, FTA has recommended thatStates submit applications as early as possible. To date, California has advanced through threeof four stages of the application process, and I encourage your State to maintain this momentumand expeditiously submit your application to FTA.

The April 15, 2019, certification deadline is mandated by changes to Federal transit safety lawand cannot be waived by FTA. If California fails to meet the certification deadline, the lawprohibits the FTA from obligating any funds to any recipient within California until the SSOprogram is certified. In Fiscal Year 2019, FTA is projected to grant approximately$1,399,901,100 in Federal transit program formula funds (49 U.S.C. 5338) to California.Without a certified SSO program, FTA would be prohibited from obligating these funds until anSSO program certification is complete.

To assist in California's readiness for certification, FTA has been in regular communication withyour SSO manager, including one-on-one monthly calls, quarterly conference calls, and semi-annual stakeholder meetings. Training workshops have been conducted and guidance distributedto SSO program managers on SSO program requirements and the certification process.

The continued safety of California's rail transit systems requires the establishment of a federallycompliant SSO, and FTA is committed to partnering with you in completing this task.

The Honorable Edmund G. BrownPage 2

If you need additional information or assistance, please feel free to contact Dr. Thomas Liftieton,FTA's Associate Administrator for the Office of Transit Safety and Oversight, at (202) 366-1783or Thomas.Littletondot.gov. Dr. Littleton will be happy to assist you.

Sincerely,

K. Jn(Williams

cc: Mr. Michael Picker, President, California Public Utilities CommissionMr. Timothy Sullivan, Executive Director, California Public Utilities CommissionMs. Elizaveta Malashenko, Director, Safety and Enforcement Division, California Public

Utilities CommissionMr. Daren Gilbert, SSO Program Manager, California Public Utilities Commission


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Attachment BStaff Report on Proposed GO 164-D Changes

California Public Utilities Commission

Safety and Enforcement Division

STAFF REPORT

PROPOSED MODIFICATIONS TO

GENERAL ORDER 164‐D

RULES AND REGULATIONS GOVERNING STATE

SAFETY OVERSIGHT OF RAIL FIXED GUIDEWAY

TRANSPORTATION SYSTEMS

Safety and Enforcement Division

RESOLUTION ST‐207 ‐ ATTACHMENT B

• Elizaveta Malashenko, Director •

March 22, 2018

505 Van Ness Avenue

San Francisco, California 94102

Resolution ST‐207 Staff Report on Proposed Changes to General Order 164: Rules and Regulations Governing State Safety Oversight of Rail Fixed Guideway Transportation Systems

Resolution ST‐207 March 22, 2018

TABLE OF CONTENTS

EXECUTIVE SUMMARY ......................................................................................................................... 1

BACKGROUND ..................................................................................................................................... 1

DISCUSSION ......................................................................................................................................... 3

DIFFERENCES BETWEEN THE MAY 3, 2007, ADOPTED GENERAL ORDER 164‐D, AND THE CURRENT PROPOSAL FOR

GENERAL ORDER 164‐E ................................................................................................................................ 3

Subsection 1.1 ‐ Authority .................................................................................................................... 4

Subsection 1.4 – Exemptions or Modifications ..................................................................................... 5

Subsection 1.5 – Addition of Requirement for Adoption of a Program Standard ................................ 5

Subsection 2.1 – Addition of Definition of “Accident” .......................................................................... 5

Subsection 2.2 – Addition of Definition of “Accountable Executive” .................................................... 6

Subsection 2.4 – Clarification of Definition of “Contractor” ................................................................. 6

Subsection 2.5 – Clarification of Definition of “Corrective Action Plan” .............................................. 6

Subsection 2.6 – Addition of Defintion of “Director” ............................................................................ 7

Subsection 2.7 – Addition of Definition of “Event” ............................................................................... 7

Subsection 2.9 – Clarification of Definition of “FRA” ............................................................................ 7

Subsection 2.10 – Clarification of Definition of “FTA” .......................................................................... 7

Subsection 2.11 – Clarification of Definition of “Hazard” .................................................................... 8

Subsection 2.13 – Addition of Definition of “Incident” ......................................................................... 8

Subsection 2.14 – Minor Changes to Definition of “Individual” ........................................................... 8

Subsection 2.15 – Clarification of Definition of “Investigation” ........................................................... 8

Subection 2.18 – Addition of Definition “Occurrence” ......................................................................... 9

Resolution ST‐207 Staff Report on Proposed Changes to General Order 164: Rules and Regulations Governing State Safety Oversight of Rail Fixed Guideway Transportation Systems

Resolution ST‐207 March 22, 2018

Subsection 2.21 – Addition of Definition “Public Transportation Agency Safety Plan” ........................ 9

Subsection 2.23 – Clarification of Definition “Rail Transit Agency” ................................................... 10

Subsection 2.31 – Addition of Definition “Safety Management System” .......................................... 10

Subsection 2.33 – Addition of Definition of “Serious Injury” .............................................................. 10

Subsection 2.35 – Clarification of Definition “System Safety Program Plan” ..................................... 11

Subsection 3.1 – Clarification of Requirements for System Safety Program Plans ............................ 11

Subsection 4.1 – Changes to Requirements for System Security Plan ................................................ 12

Subsection 4.3 – Changes to Requirements for Reporting Security Breaches .................................... 12

Section 7 – Clarification of Requirements for Reporting Events ......................................................... 13

Section 8 – Clarification of Requirements for Investigating Accidents ............................................... 17

Section 9 – Clarification of Requirements for Corrective Action Plans ............................................... 18

Section 12 – Changes to the Requirements for Safety Certification Verification Report ................... 20

CONCLUSION ..................................................................................................................................... 21

APPENDIX A ....................................................................................................................................... 22

APPENDIX B ..................................................................................................................................... 23

SED Report on General Order 164: Rules and Regulations Governing State Safety Oversight of Rail Fixed Guideway Transportation Systems

Resolution ST‐207 Page 1 of 23

EXECUTIVE SUMMARY

This resolution presents the Safety and Enforcement Division staff’s (Staff) proposed modifications to

General Order 164 “Rules and Regulations Governing State Safety Oversight of Rail Fixed Guideway

Systems” to comply with new federal laws and regulations regarding rail transit state safety oversight

programs. In particular, 49 CFR Part 674 became effective on April 15, 2016. This final rule promulgated

by the Federal Transit Administration replaces the current State Safety Oversight rule at 49 CFR Part

659, which will be rescinded no later than three years following April 15, 2016, effective date of 49 CFR

Part 674. In order to comply with the new regulations in 49 CFR Part 674, Staff proposes making

changes to Commission General Order 164‐D. Changes include addition of definitions, changes in the

reporting requirements from Rail Transit Agencies for accidents and other “Events” (now classified as

accidents, incidents or occurrences,) other minor non‐substantive changes, and grammatical and

formatting changes to the existing General Order , as supported by the discussion of the changes below.

Staff recommends that the Commission adopt the revision to General Order 164‐D, included in the

Appendix of this report as General Order 164‐E.

BACKGROUND

The US Congress and President Obama enacted the Moving Ahead for Progress in the 21st Century Act

(MAP‐21) on July 6, 2012. Among a number of other things, MAP‐21 required the Federal Transit

Administration (FTA) to adopt a comprehensive Public Transportation Safety Program, one element of

which was to strengthen the rail transit State Safety Oversight program of the FTA required by 49 CFR

Part 659.

The CPUC has a long‐standing rail transit safety oversight program which pre‐dates the Federal program which began in the early 1990’s. California Public Utilities Code § 991521 makes all fixed guideway public transportation systems in California planned, acquired, or constructed, on or after 1979 subject to the regulations of the California Public Utilities Commission (CPUC or Commission). The Commission has

1 Public Utilities Code §99152 states “Any public transit guideway planned, acquired, or constructed, on or after January 1, 1979, is subject to regulations of the Public Utilities Commission relating to safety appliances and procedures. The commission

shall inspect all work done on those guideways and may make further additions or changes necessary for the purpose of safety

to employees and the general public. The commission shall develop an oversight program employing safety planning criteria,

guidelines, safety standards, and safety procedures to be met by operators in the design, construction, and operation of those

guideways. Existing industry standards shall be used where applicable. The commission shall enforce the provisions of this

section.”



developed a rigorous and comprehensive program over the years to assure the safety of systems under its jurisdiction. The Rail Transit Safety Branch of the Commission’s Safety and Enforcement Division is responsible for the Commission’s fixed guideway public transportation safety oversight program. On October 13, 1992, pursuant to the requirements of the Intermodal Surface Transportation Efficiency Act of 1991, Governor Pete Wilson designated the CPUC as the state agency charged with developing and implementing safety plans for all fixed guideway transit systems in California, referred to as the State Safety Oversight Agency (SSOA) by the FTA. Subsequently, in 1996 the FTA adopted 49 CFR Part 659, which is the current federal regulation for SSOAs like CPUC to meet regarding its public transportation fixed guideway safety oversight obligations. The CPUC has been operating its SSOA program under authority from 49 CFR Parts 659 since that time. MAP‐21 required FTA to develop certification requirements for SSOAs and provides for grants to eligible States to develop or carry out rail fixed guideway public transportation safety oversight programs. FTA developed interim certification requirements based on the Congressional direction provided by MAP‐21 until it took the steps to develop regulations to strengthen 49 CFR Part 659. On October 1, 2013, the FTA certified the CPUC SSOA program as one of only two in the nation whose existing program met all interim certification requirements, and eligible for grant funding. Subsequently the Commission passed Resolution ST‐169 which authorized staff to apply for the available grant funding for our SSOA program. On July 2, 2015, FTA approved the CPUC’s grant funding application, and the Commission has applied for and received three grants thus far totaling $14,307,445. To strengthen the SSOA program requirements of 49 CFR Part 659 as required by MAP‐21, FTA adopted new requirements in 49 CFR Part 674, which became effective on April 15, 2016, which FTA believes are responsive to Congressional mandates contained in MAP‐21. Three years from that date (April 15, 2019) 49 CFR Part 659 will sunset and only 49 CFR will provide authority for the SSOA program. With the adoption by FTA of 49 CFR Part 674, the CPUC must now make changes to its fixed guideway public transportation safety oversight program in order to attain FTA certification under Part 674 requirements before April 15, 2019. Under MAP‐21, as an incentive for states to be cooperative and proactive in attaining full FTA certification of its SSOA by that date, failure by a state to designate a SSOA and to get that SSOA certified by FTA before April 15, 2019, would result in the Federal government prohibition of any FTA grant funds being allocated to any entity in that state.

The necessary changes to comply with revised requirements of 49 CFR Part 674 involve changes to our

Program Standard Procedures Manual, which have already been undertaken by RTSB Staff, and revisions

to General Order 164‐D, which is the subject of this report and Resolution ST‐207. The draft revised

program standard and the draft revisions to General Order 164‐D contained in this report have been

preliminarily reviewed by FTA, and recommendations for further revisions and additions were discussed

and incorporated, where appropriate. Upon approval of revisions to General Order 164‐D and

Commission adoption of General Order 164‐E, Staff will submit the CPUC certification application.



DISCUSSION

In order to comply with federal regulations adopted by the FTA in 49 CFR Part 674, which will allow the

CPUC and State of California to become certified by FTA, Staff is proposing revising General Order 164‐D

to a new version to be designated as General Order 164‐E. This section of the report describes the

changes, the reasons for each proposed change, and a brief discussion regarding the change, including

the proposed language.

DIFFERENCES BETWEEN THE MAY 3, 2007, ADOPTED GENERAL ORDER 164‐D, AND THE

CURRENT PROPOSAL FOR GENERAL ORDER 164‐E

Staff proposes substantive changes in this current version to address 49 CFR Part 674 in the following

areas:

Section 1.1 – Authority

Section 1.4 – Clarification for Exemptions or Modifications

Section 1.5 – Addition of Requirement for Adoption of a Program Standard

Section 2.1 ‐ Addition of Definition “Accident”

Section 2.2 –Addition of Definition “Accountable Executive”

Section 2.4. – Clarification of definition “Contractor”

Section 2.5 ‐ Clarification of Definition “Corrective Action Plan”

Section 2.6 – Addition of definition “Director”

Section 2.7 ‐ Addition of Definition “Event”

Section 2.9 – Clarification of Definition of “FRA”

Section 2.10 – Clarification of Definition of “FTA”

Section 2.11 – Clarification of Definition of “Hazard”

Section 2.13 – Addition of Definition “Incident”

Section 2.14 – Minor changes to Definition “Individual”

Section 2.15 ‐ Clarification of Definition “Investigation”

Section 2.18 – Addition of Definition “Occurrence”



Section 2.21 – Addition of Definition “Public Transportation Agency Safety Plan”

Section 2.23 – Clarification of Definition “Rail Transit Agency”

Section 2.31 – Addition of Definition “Safety Management System”

Section 2.33 – Addition of Definition “Serious Injury”

Section 2.35 – Clarification of Definition “System Safety Program Plan”

Section 3 – Clarification of Requirements for System Safety Program Plans

Section 4 – Changes to Requirements for System Security Plan

Section 7 – Clarification of Requirements for Reporting Events

Section 8 – Clarification of requirements for Investigating accidents

Section 9 – Clarification of Requirements for Corrective Action Plans

Section 12 – Changes to the Requirements for Safety Certification Verification Report

Additionally, when terms used in the body of the General Order were defined in the Definition section, Staff italicized these terms throughout the General Order to provide clarity and to indicate that the reader can refer to the definition section. This is consistent with recent Commission General Order Revisions and adoptions pertaining to rail transit safety, such as Commission General Order (GO) 175‐A and Staff’s proposed revisions to Commission GO 172 (yet to be considered under a separate rulemaking.) Staff believes this makes the General Order easier to understand and comply with, and has received feedback from rail transit agency personnel confirming that. Staff also corrected minor typographic errors, and made other minor non‐substantive changes for clarity and consistency throughout the document. Some proposed changes necessitated renumbering of sections or paragraphs, which we have noted in the report. In the discussion below, when showing the proposed language, deleted language is shown in strikethrough font, and new language is underlined.

SUBSECTION 1.1 ‐ AUTHORITY

Since the original adoption of General Order 164, new relevant federal laws have been passed by

Congress modifying United States Code (U.S.C) and regulations have been adopted by the Federal

Transit Administration in the United States Code of Federal Regulations (CFR), making changes to laws

and regulations relating to the authorization and certification of rail transit State Safety Oversight

Agencies (SSOA), like the CPUC. The proposed changes to GO 164 include adding cites to the newly

adopted U.S.C. and CFR sections. Also, FTA recommended adding “and other applicable Federal and

State laws.” to the end of the paragraph to account for FTA requirements that may stem from other



sections of the Moving Ahead for Progress in the 21st Century Act, or future legislation regarding rail

transit safety and State Safety Oversight Agencies. We have added that language.

Staff proposes revising this section as follows:

“These rules and regulations are authorized by and implement the provisions of 49 U.S.C. §

53305329; Intermodal Surface Transportation Efficiency Act of 1991, Sec. 3029, Title 49 of the

Code of Federal Regulations (CFR), Part 659674, State Safety Oversight; Final Rule Sections 778

and 99152 of the California Public Utilities Code, and other applicable Federal and State laws.”

SUBSECTION 1.4 – EXEMPTIONS OR MODIFICATIONS

Non‐substantive changes are recommended to this section to clarify the requirements and to clean up

the language of the section. In order to clarify the requirements for requesting exemptions or

modifications from RTAs, Staff proposes minor modifications to the language as outlined below.


“Requests for exemption from, or modification of, these rules and regulations must be filed by

Rail Transit Agencies, and shall contain a full statement of the reasons justifying the request and

demonstrating. A request must demonstrate that safety is would not be reduced by the

proposed exemption or modification. Any exemption or modification so granted shall be limited

to the particular matter case covered by the request. Any All exemptions or modifications shall

require Commission approval.”

SUBSECTION 1.5 – ADDITION OF REQUIREMENT FOR ADOPTION OF A PROGRAM STANDARD

The original General Order 164 did not specifically require adoption of a program standard procedures

manual, although one was developed and implemented and has been in place for many years. FTA

specifically recommended that the revised General Order include such a provision. Since many of the

requirements of 49 CFR Part 674 are addressed through the standard procedures that SED’s RTSB Staff

employs in the daily conduct of its oversight activities, Staff agrees that this is a reasonable addition to

the General Order. Staff proposes the addition subsection 1.5 to read as follows:

“The Commission Division responsible for rail fixed guideway safety shall adopt a program

standard procedures manual establishing processes and procedures that govern its rail fixed

guideway safety program activities.”

SUBSECTION 2.1 – ADDITION OF DEFINITION OF “ACCIDENT”

The original General Order 164‐D did not include a definition of “Accident.” As noted below in Section 7,

the requirements in 49 CFR Part 674 for reporting the various types of “events”, which now include 3

levels that include “accidents,” “incidents,” and “occurrences,” are the most significant changes to



General Order 674. In 49 CFR Part 674, the term “accident” is used to specify the types of event that is

required to be immediately (within 2 hours) reported, and “accident” is specifically defined. We adopt

that definition, and definitions for the other types (see subsections 2.7, 2.13, and 2.18) , into our

General Order. Subsection 2.1 shall read as follows:

“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 involving a rail transit vehicle; a runaway train; an evacuation for

life safety reasons; or any derailment of a rail transit vehicle, at any location, at any time,

whatever the cause.”

SUBSECTION 2.2 – ADDITION OF DEFINITION “ACCOUNTABLE EXECUTIVE”

The original General Order 164‐D, “Chief Executive” was referenced as an individual who can endorse

the RTA’s policies, goals, and objectives for the safety program. In 49 CFR Part 674, reflecting the FTA

adoption of the principles of Safety Management Systems and its use in that context, all references to

“Chief Executive” have been replaced with “Accountable Executive.” In order to be consistent with the

terms used in 49 CFR Part 674, Staff proposes the addition of the definition “Accountable Executive,” as

defined by FTA, to read as follows:

“Accountable Executive means a single, identifiable individual who has ultimate responsibility

for carrying out the Public Transportation Agency Safety Plan of a public transportation agency;

responsibility for carrying out the agency’s Transit Asset Management Plan (see 49 CFR Part

625); and control or direction over the human and capital resources needed to develop and

maintain both the agency’s Public Transportation Agency Safety Plan and the agency’s Transit

Asset Management Plan.”

SUBSECTION 2.4 – CLARIFICATION OF DEFINITION “CONTRACTOR”

To be consistent with the definition used in 49 CFR Part 674, Staff proposes modifying the language in

General Order 164 as follows:


“Contractor means an entity that performs tasks required on behalf of the FTA, Commission, or

Rail Transit Agency (RTA) through contract or other agreement.”

SUBSECTION 2.5 – CLARIFICATION OF DEFINITION “CORRECTIVE ACTION PLAN”

To be consistent with the definition used in 49 CFR Part 674, Staff proposes modifying the language in

General Order 164 in the definition of “corrective action plan.”




“Corrective Action Plan (CAP) means a plan developed by an a RTA that describes the

actions the RTA will take to minimize, mitigate, control, correct, or eliminate risks and

hazards, and the schedule for implementing those actions.

SUBSECTION 2.6 – ADDITION OF DEFINTION “DIRECTOR”

The original General Order 164‐D did not include a definition of “Director.” Staff proposes the addition

of “Director,” consistent with other rail transit Commission General Orders, to read as follows:

“Director means Director of the Commission’s division overseeing rail transit safety, or the

Deputy Director overseeing rail transit safety.”

SUBSECTION 2.7 – ADDITION OF DEFINITION “EVENT”

49 CFR Part 674 now designates three levels of reportable and/or trackable “events,” and the specifics

of reporting or tracking them depends on their severity. The tracking and reporting of “events” is

described more fully below, in the discussion regarding the proposed changes to Section 7

requirements. To be consistent with the terms and definitions used in 49 CFR Part 674, Staff proposes

adding the following definition:

“Event means an accident, incident, or occurrence.”

The three terms designated as “events” are also defined in this proposed General Order 164 revision, as

described herein (See subsections 2.1, 2.13, and 2.18).

SUBSECTION 2.9 – CLARIFICATION OF DEFINITION “FRA”

49 CFR Part 674 clarifies that the FRA is an Administration within the US Department of Transportation.

To be consistent with the terms and definitions used in 49 CFR Part 674, Staff proposes a minor addition

to the definition:

“FRA means the Federal Railroad Administration, an agency within the United States

Department of Transportation.”

SUBSECTION 2.10 – CLARIFICATION OF DEFINITION “FTA”

Similar to the addition in Section 2.9, 49 CFR Part 674 clarifies that FTA is an Administration within the

US Department of Transportation. To be consistent with the terms and definitions used in 49 CFR Part

674, Staff proposes a minor addition to the definition in section 2.10:

“FTA means the Federal Transit Administration, an agency within the United States Department

of Transportation.”



SUBSECTION 2.11 – CLARIFICATION OF DEFINITION “HAZARD”

To be consistent between the definitions used in 49 CFR Part 674 and General Order 164, staff proposes

modifying the language as outlined below.


“Hazard means any real or potential condition (as defined in the RTA’s hazard management

process) that can cause injury, illness or death; damage to or loss of a system the facilities,

equipment or property, rolling stock or infrastructure of a RTA; or damage to the environment.”

SUBSECTION 2.13 – ADDITION OF DEFINITION “INCIDENT”

As noted above under the Section 2.7 proposed revision, reportable items now fall into three categories

under the term “event.” Events also include “incidents” which is specifically defined. To be consistent

with the terms and definitions used in 49 CFR Part 674, Staff proposes adding the following definition:

“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 rail transit agency.”

SUBSECTION 2.14 – MINOR CHANGES TO DEFINITION “INDIVIDUAL”

Minor non‐substantive changes are made to this definition to remove a redundancy and correct

punctuation.

Staff’s proposed language is:

Individual means a passenger;, employee;, contractor;, other rail transit facility worker,

pedestrian;, trespasser;, or any person on rail transit RTA‐controlled property.

SUBSECTION 2.15 – CLARIFICATION OF DEFINITION “INVESTIGATION”

To be consistent with the definition used in 49 CFR Part 674 and General Order 164, staff proposes

modifying the language as follows:


“Investigation means the process used to determine the causal and contributing factors of an

accident, incident, or hazard, so that actions can be identified to prevent for the purpose of

preventing recurrence and mitigating risk.”



SUBECTION 2.18 – ADDITION OF DEFINITION “OCCURRENCE”

The third type of reportable events (See Section 2.7) are “occurrences.” They are not required to be

immediately reported, but must be tracked to closure and documentation made available to the CPUC

upon request. To be consistent with the terms and definitions used in 49 CFR Part 674, Staff proposes

adding the definition as follows:

“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 RTA.”

SUBSECTION 2.21 – ADDITION OF DEFINITION “PUBLIC TRANSPORTATION AGENCY SAFETY

PLAN”

The adoption of new federal rules under 49 U.S.C. § 5329(d), and subsequent FTA adoption of 49 CFR

Part 674 require RTAs to develop a safety program and adopt and implement such a program in a

written plan. Under 49 CFR Part 659, such a plan was designated as their System Safety Program Plan

(SSPP). 49 CFR Part 674 requires RTAs to develop and adopt a revised safety plan addressing the

requirements of 49 CFR Part 674 and incorporating the concepts of Safety Management Systems, which

will be called its Public Transportation Agency Safety Plan (PTASP). Under the new rules, the current rail

transit agency System Safety Program Plan will be replaced with its Public Transportation Agency Safety

Plan once final rules are issued by the FTA on its development and content. FTA has opened a

rulemaking proceeding to finalize such a regulation in docket FTA‐2015‐0021. However, FTA has not

completed its PTASP rulemaking. Therefore, Part 674, the State Safety Oversight regulations, includes a

caveat that an RTA’s SSPP will continue to be its agency safety plan until one year after the FTA’s PTASP

rule effective date. We include this language in our proposed definitions (of both PTASP, here, and SSPP

in Section 2.35) within our proposed General Order 164‐E. (NOTE: No specific timeline on issuance of

the final PTASP rules have been made by FTA due to the change in Administrations since the rulemaking

process began.)

For the reasons stated above, Staff proposes adding the PTASP definition as follows:

“Public Transportation Agency Safety Plan (PTASP) means the comprehensive agency safety plan

for an RTA required by 49 U.S.C. 5329(d) and based on a Safety Management System. Until one

year after the effective date of FTA’s PTASP final rule, a System Safety Program Plan (SSPP)

developed pursuant to 49 CFR Part 659 will serve as the RTA’s safety plan.”

Although we believe these statements in the General Order may obviate the need to revise the General

Order further when the FTA issues the PTASP rule, that will be evaluated at the time it is published and a

determination made at that point. The scope of the FTA’s PTASP rule and its specific requirements will

determine if Section 3 or other sections of General Order 164‐E will require further future revisions.



SUBSECTION 2.23 –CLARIFICATION OF DEFINITION “RAIL TRANSIT AGENCY”

In working with the FTA to evaluate our current rules and program standard procedures manual to

assure a smooth transition to CPUC certification under 49 CFR Part 674, the FTA recommended the

addition of “under the jurisdiction of the Commission,” to be consistent with the definition used in 49

CFR Part 674. Although it seems intuitive, to address the FTA concern, Staff proposes modifying the

language as requested.

Staff proposes revising this section to state:

“Rail Transit Agency (RTA) means any entity that plans, designs, constructs, and/or operates a

RFGS and is within the jurisdiction of the Commission.”

SUBSECTION 2.31 – ADDITION OF DEFINITION “SAFETY MANAGEMENT SYSTEM”

FTA has adopted the principles of Safety Management Systems and the PTASP rulemaking indicates it

will require those concepts to be integral to an RTA’s revised safety plan (PTASP) to be consistent with

the terms and definitions used in the Federal Register final rule publication for 49 CFR Part 674, Staff

proposes adding the following definition of Safety Management System:

“Safety Management System means the formal, top‐down, organization‐wide data‐driven

approach to managing safety risk and assuring the effectiveness of safety risk mitigations. SMS

includes policies, procedures, and practices for the management of safety risk.”

SUBSECTION 2.33 – ADDITION OF DEFINITION “SERIOUS INJURY”

One of the primary changes of Part 674 from Part 659 is the accident reporting requirements outlined

below in the discussion on changes to Section 7. However, as part of those changes several definitions

have been added or slightly modified to reflect the new Part 674 requirements. One of those changes is

the requirement to report accidents involving “serious injury,” as noted in the revised Section 7.2,

below. Since this is a new requirement, we define “serious injury” as it is contained in 49 CFR Part 674

within the revised GO 164. To be consistent with the terms and definitions used in 49 CFR Part 674, Staff

proposes adding the following definition:

“Serious injury means any injury which: (1) requires hospitalization for more than 48 hours,

commencing within 7 days from the date of the injury was received; (2) results in a fracture of

any bone (except simple fractures of fingers, toes, or nose); (3) causes severe hemorrhages,

nerve, muscle, or tendon damage; (4) involves any internal organ; or (5) involves second or

third‐degree burn(s), or any burns affecting more than 5 percent of the body surface.”



SUBSECTION 2.35 –CLARIFICATION OF DEFINITION “SYSTEM SAFETY PROGRAM PLAN”

As noted above in the discussion regarding the change to Section 2.21, we insert a note within the

definition of System Safety Program Plan (SSPP) noting the SSPP will serve as the agency safety plan until

one year after the FTA issues a final PTASP rule. Thus, Staff proposes modifying the language as follows:


“System Safety Program Plan (SSPP) means a document adopted by an RTA detailing its safety

policies, objectives, responsibilities, and procedures. Until one year after the effective date of

FTA’s PTASP final rule, a System Safety Program Plan (SSPP) developed pursuant to 49 CFR Part

659 will serve as the RTA’s safety plan.”

SUBSECTION 3.1 –CLARIFICATION OF REQUIREMENTS FOR SYSTEM SAFETY PROGRAM

PLANS

Staff proposes adding a date requirement for the annual certification of the RTA’s System Safety

Program Plan in Section, 3.1. This requirement has been part of the RTSB Program Standard Procedures

Manual for many years, so the requirement is not new, however, we propose adding the due date to GO

164 to provide clarity to the requirement and to insure consistency in transit agency submittal time

frames. With the requirement listed in the General Order, it will promote consistent annual submittals,

which have not always been received timely. Additionally, FTA requested we revise “communicate” to

something requiring a written explanation for any rejection as required by 49 CFR Part 674. Staff

considers these non‐substantive changes that are added for clarity.


“Each new RTA shall submit its initial SSPP (see section 2.21 and 2.35) to Staff for Commission

approval. No new RTA shall begin transit operations prior to Commission approval of its initial

SSPP. Each RTA shall annually certify, prior to February 15th of each year, by a letter to Staff

that it has reviewed the SSPP to determine whether the plan should be modified or updated. If

an a RTA determines revisions of the SSPP is are necessary, the RTA shall submit the revised

SSPP to Staff with a request for approval. If the revised SSPP is acceptable to Staff, Staff shall

issue a formal letter to the RTA approving the revised SSPP as consistent with Section 3.2, best

industry practices, and in furtherance of the public’s interest in system safety and security. If it

is not acceptable, Staff shall provide written explanation of the reasons for communicate its

rejection to the RTA, and if the RTA disagrees, it shall file a formal application seeking approval

by the Commission”.

Additionally, Staff made minor formatting and other non‐substantive changes to subsection 3.2. In

addition, consistent with the definition added in Section 2.2 above, staff proposes changing all



references in this section and the entire General Order 164 from “chief executive” to “accountable

executive.”

SUBSECTION 4.1 –CHANGES TO REQUIREMENTS FOR SYSTEM SECURITY PLAN

In this section, Staff proposes making changes similar to those in Section 3, for the same reasons, adding

a date requirement for the annual certification of the RTA’s System Security Plan, and requiring a

written explanation of any rejection of a RTA’s System Security Plan.

Staff proposes modifying the existing language to the following:

“Each new RTA shall submit its initial Security Plan to Staff for Commission approval.

No new RTA shall begin transit operations prior to Commission approval of its initial

Security Plan. Each RTA System Security Plan must be developed and maintained as a

separate document and shall not be part of the RTA’s SSPP. Each RTA shall annually

certify, prior to February 15th of each year, to the Commission by letter to Staff, that it

has reviewed the Security Plan to determine whether the plan should be modified or

updated. If an RTA determines revision of the Security Plan is necessary, the RTA shall

submit the revised Security Plan to Staff with a request for approval. If the revised

Security Plan is acceptable to Staff, Staff shall issue a formal letter to the RTA

approving the revised Security Plan as consistent with Section 4.3, best industry

practices, and in furtherance of the public’s interest in system safety and security. If it

is not acceptable, Staff shall communicate provide written explanation of the reasons

for its rejection to the RTA, and if the RTA disagrees, it shall file a formal application

seeking approval by the Commission.”

SUBSECTION 4.3 –CHANGES TO REQUIREMENTS FOR REPORTING SECURITY BREACHES

In addition to other changes already discussed, in Section 4.3 f, Staff proposes removing

language in order to acknowledge the requirements in 49 CFR Part 674, in which the FTA

removed reporting of security events from the reporting requirements. While we still want

the RTA’s System Security Plan to establish procedures for them, since we have removed any

requirement to report those type of events from Sections 6 and 7 of the GO pursuant to 49

CFP Part 674, we removed that phrase from subsection 4.3 f.

Staff proposes revising subsection 4.3 f. as follows:



“The process for notifying, investigating, and reporting security breaches that meet

the accident notification and investigation thresholds in Sections 6 and 7.”

SECTION 7 –CLARIFICATION OF REQUIREMENTS FOR REPORTING EVENTS

In 49 CFR Part 674, reporting requirements and criteria for accidents was changed as compared to 49

CFR Part 659, and constitutes the most significant proposed changes to the General Order. As noted

above in the discussion regarding definitions in Subsections, 2.1 (accident), 2.7 (event), 2.13 (incident),

and 2.18 (occurrence), reporting and tracking system anomalies has changed, and the three levels,

collectively known as “events,” have been specifically defined by the FTA. The proposed changes in

Section 7 incorporate the necessary changes for the General Order to mirror and adopt the new FTA

requirements.

Proposed changes by Staff to Section 7 are discussed below:

First of all, Staff proposes changing the title of the section to be consistent with the terms used in 49 CFR

Part 674. Event has been defined as an accident, incident or occurrence. The original title was

“Requirements for Reporting Accidents.” Staff proposes revising the section title to “Requirements for

Reporting Events”

Next, Staff proposes changing Subsection 7.1 to replace the existing General Order language, where the

immediately reportable anomalies were called “incidents,” which now has a specific different meaning

under the new FTA definitions, to “accidents,” which are now the immediately reportable “event” under

FTA definitions.

Additionally in subsection 7.1, we resolve a conflict within the existing General Order by removing the

final sentence of the Section which requires that “Notification shall be by telephone to the designated

contact person.” This conflicts with the language in the first sentence of this subsection directing transit

agencies to report “…in the manner directed by Staff.” The change also recognizes the advancement of

technology and will allow for different and more effective means of notification, such as e‐mail or web

reporting.

In support of this change, we note that Staff is currently testing a web‐based reporting mechanism that

allows transit agencies to report immediately reportable accidents into a web form within the CPUC web

site that distributes the notification to more RTSB Staff than just the single recipient of a telephonic

report. This is significantly more effective than telephonic reporting, and eliminates concerns about

staff absences and timely receipt of notification during nights and weekends by RTSB Staff. RTAs have

been supportive of broadening the reporting mechanisms available to them, and have indicated general

support for this change.




“Each RTA shall submit notification of immediately reportable incident reports accidents to the

Commission in the manner directed by Staff. An immediately reportable incident accident is

one that meets or exceeds the thresholds established in Section 7.2. The RTA shall notify the

Staff representative or designee within two hours of any immediately reportable accident

reportable incident involving a rail transit vehicle or taking place on a rail transit‐controlled

property. Notification shall be by telephone to the designated contact person.”

In Section 7.2, the reporting criteria and thresholds have been changed in the current 49 CFR Part 674

from the requirements of 49 CFR Part 659. The current language in General Order 164‐D states:

“Each RTA shall immediately notify Staff of incidents where one of the following occurs:

a. A fatality at the scene, or where an individual is confirmed dead within 30 calendar

days of a rail transit‐related incident;

b. Injury to two or more individuals requiring immediate medical attention away

from the scene;

c. Property damage to rail transit vehicles, non‐rail transit vehicles, other rail transit

property or facilities, and non‐transit property that equals or exceeds $25,000;

d. A collision at an at‐grade crossing;

e. A mainline derailment;

f. A collision with an individual on a rail right‐of‐way;

g. A collision between a rail transit vehicle and a second rail transit vehicle, or a rail

transit non‐revenue vehicle;

h. An evacuation due to life safety reasons”

Staff proposes revising the section to adopt the 49 CFR Part 674 criteria as follows:

“Immediately reportable accidents include:

a. A fatality (occurring at the scene, or within 30 calendar days following the

accident);

b. One or more persons suffering serious injury, as defined in Subsection 2.33;

c. A collision involving a rail transit vehicle and any other vehicle, object, or

individual;

d. A derailment of any rail transit vehicle at any location, at any time, whatever the

cause; or

e. A runaway train.”



In Section 7.3, Staff proposes minor changes to modify the language to “accident,” as now required by

49 CFR Part 674, and one addition to clarify the notification requirements from the RTA to Staff. The one

addition is to require in the General Order a brief narrative of the accident with facts known at the time

of reporting, so the other information has context and Staff can make a preliminary determination on

whether a physical response by staff may be necessary. Although this is routine in RTA reporting

already, we place it in the General Order as a non‐substantive revision to clarify the requirements for all

RTA personnel.

Staff proposes revising the section as follows:

“The RTA shall provide as part of the notification:

a. The time and date of the incident accident;

b. The location of the incident accident, including the CPUC Commission highway‐rail

grade crossing number, if applicable;

c. The number of fatalities and/or injuries;

d. The rail transit vehicles involved in the incident accident, if any;

e. The factor from Section 7.2 that makes the incident accident immediately

reportable; and

f. A narrative description of the accident, as known at the time of reporting; and

g. The emergency response organizations at the scene of the incident accident.”

A new requirement by FTA in 49 CFR 674 is the requirement to make concurrent notification of

immediately reportable accidents to the FTA. Staff proposes adding such language under a new

Subsection 7.4. The new Section 7.4 will state the following:

“Concurrent notification to the FTA is required for all immediately reportable accidents.”

In old Section 7.4 now renumbered to 7.5, Staff proposes clarifying the existing requirements for the

Federal Railroad Administration (FRA) notification of accidents meeting FRA criteria on shared‐use track

and along jointly shared rail corridors (but not shared track). Although the current version of the

General Order 164 does not include the requirement to notify FRA of accidents in joint rail corridors,

that is the requirement already based on FRA’s requirements for rail transit systems operating in joint

corridors with FRA regulated rail systems that are part of the general railroad system. Placing the

additional language regarding joint use corridor accident notification to the FRA will clarify their

requirements on FRA reporting and more accurately reflect existing requirements. For that reason we

identify this addition as a non‐substantive addition.


“An RTA that shares track or with shared rights‐of‐way with the general railroad



system and is subject to the FRA incident accident notification requirements, shall,

within two hours, notify Staff of any incident accident requiring notification to the

FRA.

In Section 7.6 (old section 7.5), Staff added additional language requiring recording of accident

data for SMS analysis. The FTA in its Federal Register 49 CFR Part 674 Final Rule publication

lists this requirement in Appendix to Part 674—Notification and Reporting of Accidents,

Incidents, and Occurrences. To assist RTAs in compliance, we echo that requirement in the

General Order.


“Each RTA shall submit written accident reports on forms prescribed by Staff. Each RTA

shall submit such written reports within 30 calendar days after the last day of the

month in which the accident occurred. Each RTA shall file written reports for all

immediately reportable accidents and develop sufficient records for SMS analysis.”

In Section 7.7, Staff added additional language to allow more flexibility for RTAs and Staff

regarding the monthly accident corrective action summary report submittal requirements.

The original language requires the use of a specific form. In the revision we simply require that

the report format be acceptable to Staff. This will allow various formats, including database

printouts or other software reports that may already exist with that data, rather than requiring

development of a report on a specific form.


“Each RTA shall file a monthly accident corrective action summary report. Each RTA

shall file this report on a form prescribed by in a format acceptable to Staff within 30

calendar days from the last day of the month covered. Each RTA shall file the monthly

summary report whether or not any reportable accident occurred during the month.”

Section 7.8 was added by Staff to include in the General Order the requirements for reporting

“incidents,” the second new FTA category of “Events,” as per the requirements of 49 CFR Part



674. The new proposed language states the following regarding “incidents”:

“Each RTA shall report incidents to FTA within 30 days via the National Transit

Database and develop sufficient records for SMS analysis. If a RTA or Staff later

determines that an incident meets the definition of an accident, that event must be

reported as set forth in Section 7.1 through 7.7. Incidents include the following:

a. A personal injury that is not a serious injury;

b. One or more injuries requiring medical transportation away from the event; and

c. Damage to facilities, equipment, rolling stock or infrastructure that disrupts the

operations of a rail transit agency.

Similar to Section 7.8, Section 7.9 was added to include reporting requirements for

“occurrences,” the third and least severe type of FTA “Events.” The new proposed language in

accordance with 49 CFR Part 674 requirements states the following:

“Each RTA shall collect, track and analyze data on occurrences to reduce the likelihood

of recurrence, inform the practice of SMS and make available for Staff and/or FTA

review. Occurrences include the following:

a. No personal injury;

b. Close calls or near misses;

c. Safety rule violations;

d. Violations of safety policies;

e. Damage to catenary or third –rail equipment that do not disrupt operations; and

f. Vandalism or theft.

SECTION 8 –CLARIFICATION OF REQUIREMENTS FOR INVESTIGATING ACCIDENTS

In Section 8, the General Order requires RTAs to investigate accidents and develop reports and any

necessary corrective action plans to address investigation findings. Reports and corrective actions are

then reviewed for sufficiency and accuracy, and if acceptable, approved by Staff in writing. In its review

of our proposed General Order revisions, FTA recommended that we preface this section by

acknowledging that in such cases where the State Safety Oversight Agency requires the RTA to

investigate and develop an investigation report, the State Safety Oversight Agency is ultimately

responsible for the sufficiency of investigations. To address the FTA concern we have added the

following language to the beginning of subsection 8.1:



“Although the Commission is ultimately responsible for the sufficiency and thoroughness of all

accident investigations, E each RTA shall investigate, on behalf of the Commission, all reportable

accidents …”

In this Section, Staff also makes several minor non‐substantive additions and deletions of various words,

punctuation or acronyms for clarity, and makes other non‐substantive changes noted below.

In Subsection 8.3 d., staff added “If necessary” to the beginning of the sentence to acknowledge that

accident investigations and reports do not always identify corrective actions or require development of

corrective action plans.

In Section 8 we break up Subsection 8.3 e., which is rather lengthy, into 8.3 e. and 8.3 f. for clarity.

Finally, the change in subsection 8.4 recognizes that the accident reports are not and have not

ever been typically “filed” with the commission in the traditional sense of that term from the

Commission’s Rules of Practice and Procedure, but are instead submitted to staff for their

review and approval.

SECTION 9 –CLARIFICATION OF REQUIREMENTS FOR CORRECTIVE ACTION PLANS

In this Section, Staff changes “corrective action plans” to the industry‐standard acronym of “CAPs”

throughout. Additionally “CAPs” is included in the definition of corrective action plans in Section 2.5 of

the General Order.

In Section 9.1, Staff proposes adding subsection 9.1 c., 9.1 d. and 9.1 e to include the requirements to

develop CAPs for internal audit findings, inspection findings, and hazards, which are already required by

GO 164‐D or the RTSB Program Standard Procedures Manual. Although these are not new requirements

for the RTAs, they should be included in this Section because the Section deals with CAPs development,

which should specify all sources which can generate CAPs.

Section 9.1c will state the following:

“The RTA’s Internal Safety Audit findings, as required by Section 5 of this General Order.”

Section 9.1d will state the following:

“Inspection findings identified by Staff through its inspection reports issued to RTAs.”

Since Section 6 implies CAPs development to address, mitigate and control hazards the requirements for

CAPs from Hazards, Section 9.1e will state the following:

“Hazards identified by the RTA through its hazard management process, when appropriate.”

In addition, the sections immediately following Section 9.1 provide more specificity to the CAPs

submittals noted in Section 9.1, so in addition to existing sections 9.2 and 9.3 pertaining to



investigations and triennial audit findings, respectively, Staff proposes adding new Section 9.4, regarding

CAPs from internal audit findings, and Section 9.5 on CAPs from inspections.

Section 9.4 will state:

“Each RTA shall submit a CAP based on the findings of the internal safety audit

required by Section 5 of this General Order. The CAP shall identify the action to be

taken, with an accompanying implementation schedule, and the individual or

department responsible for the implementation.”

Section 9.5 will state the following:

“Each RTA shall submit a CAP based on the findings of any Staff inspections issued to

the RTA. The CAP shall identify the action to be taken with an accompanying

implementation schedule, and the individual or department responsible for the

implementation.”

We also make two minor non‐substantive changes to subsection 9.4, which is renumbered to

subsection 9.6 with the additions of the new subsections 9.4 and 9.5 noted above. Previously

CAPs submittals were to be accepted and approved by formal letter. We remove the

requirement for a formal letter, and simply require Staff to “notify” the RTA that Staff accepts

the CAP. This acknowledges that electronic communications are typically far more efficient

and formal letters no longer necessary to conduct routine communications.

The second change in subsection 9.6 (old 9.4) is to change the cite from 9.2 to 9.5 to recognize

the addition of the 2 subsections we added to Section 9.

Also in Section 9, we propose adding a section that acknowledges that in some cases a RTA

may need to implement corrective actions for something requiring immediate remediation

that falls into the categories of required CAPs in Section 9.1, and rather than strictly following

the review and approval process of section 9.6, provides flexibility to act expeditiously. The

new proposed section 9.7 will allow a RTA to implement a corrective action and then notify

Staff for review and approval.

Subsection 9.7 will state the following:

“Where immediate or emergency corrective actions are required to ensure immediate

safety, the RTA may implement the corrective action prior to RTSB Staff approval,



provided timely notification of the CAP is provided to RTSB Staff and Staff

subsequently provided review and approval.”

A final change in Section 9 is to add a subsection 9.10, which clarifies that should the RTA take

corrective action to correct the deficiency and finding prior to the time when the CAP is due,

that the RTA may simply provide the evidence of correction rather than a CAP. This addition

will clarify for the RTAs, who sometimes make corrections at the time the finding is identified

or shortly thereafter, that in such cases, no CAP is needed and evidence of correction is

sufficient, once verified by staff, for closure of the finding.

Subsection 9.10 will state the following:

“Where corrective actions have been taken prior to the due date for CAP submittal,

evidence of the corrective action taken may be substituted for submittal of a proposed

CAP.”

SECTION 12 –CHANGES TO THE REQUIREMENTS FOR SAFETY CERTIFICATION VERIFICATION

REPORT

Staff proposes making minor changes to Section 12.2 requiring Staff response to a safety certification

verification report (SCVR) submittal within 9 calendar days. Staff’s experience is that this requirement

for Staff to respond is frequently insufficient if the SCVR is submitted on a Friday or during a period that

includes a holiday, or if the SCVR is for a complex project (for example new vehicle project SCVRs) it can

be several thousand pages. Therefore, Staff is proposing to change from 9 calendar days to 14 calendar

days in order to give Staff more time, a minimum of 2 weeks, to review and process the received report

and provide the written response. Staff is not proposing to alter the existing requirement for the RTA to

submit the SCVR at least 21 days in advance of their proposed start of service, but the prosed change

will allow staff an additional few days to complete its review and advise the Director on approval, within

that existing time frame.



CONCLUSION

Staff recommends the proposed General Order be adopted as General Order 164‐E.

Staff has reviewed and analyzed the requirements of the new Federal Transit Administration regulations

contained in 49 CFR 674, met and consulted with the Federal Transit Administration (who reviewed,

commented on, and ultimately concurred with the final proposed revisions to General Order 164 and

our revised Program Standard Procedures Manual) and went through the bulk of the proposed revisions

with the RTA Safety Department representatives at our most recent joint semi‐annual meeting.

Since Staff has conducted outreach to the RTAs affected by the proposed changes and met and

conferred with the FTA regarding these changes, Staff believes all stakeholders are in general agreement

with the proposed revisions, however, the proposed changes outlined in this report are subject to public

comment when the matter is placed on the agenda for consideration by the Commission at one of its

regularly scheduled public meetings.

The proposed revisions to the General Order are made to:

1. comply with new Federal Law;

2. make minor non‐substantive changes to language, punctuation and formatting; and

3. make relatively minor non‐controversial revisions or additions to capture existing requirements

or processes.

Staff recommends that the Commission adopt the new General Order 164‐E, included in Appendix A

(tracked‐changes version) and Appendix B (clean version of revised GO) to this report.



APPENDIX A

SED’s Proposed

General Order 164‐E

(tracked‐changes version)

Rules and Regulations Governing State Safety Oversight of Rail Fixed

Guideway Systems

- 1 -

GENERAL ORDER NO. 164-D

(Supersedes General Order No. 164-C)

PUBLIC UTILITIES COMMISSION

OF THE

STATE OF CALIFORNIA

General Order 164-E (Supersedes General Order 164-D)

RULES AND REGULATIONS GOVERNING STATE SAFETY OVERSIGHT OF RAIL FIXED GUIDEWAY SYSTEMS

Adopted September 20, 1996. Effective September 20, 1996.

(D.96-09-081 in R.96-04-021)

Amended September 3, 1997. Effective October 1, 1997.

Resolution No. ST-27

Amended December 2, 1999. Effective December 2, 1999.


Adopted February 27, 2003. Effective February 27, 2003.

(D.03-02-048 in R.02-01-009)

Amended May 3, 2007. Effective May 3, 2007.

(D.07-05-014 in R.06-10-004)

Amended XXXXX xx, 2018. Effective XXXXX xx, 2018.

(Resolution No. ST-207)

GENERAL ORDER 164-E

- 2 -

TABLE OF CONTENTS

Section Title Page No.

1 General Provisions 3

2 Definitions 4

3 Requirements for System Safety Program Plans 79

4 Requirements for System Security Plans 1416

5 Requirements for Internal Safety and Security Audits 1618

6 Requirements for Hazard Management Process 1820

7 Requirements for Reporting AccidentsEvents 1921

8 Requirements for Investigating Accidents 2124

9 Requirements for Corrective Action Plans 2326

10 Requirements for At Grade Rail Crossings 2528

11 Requirements for Safety Certification Plan 2831

12 Requirements for Safety Certification Verification Report 3033

13 Commission Approval 3134

GENERAL ORDER 164-E

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IT IS ORDERED that the following rules and regulations

governing the safety oversight of Rail Transit Agencies (RTA) and

Rail Fixed Guideway Systems shall hereafter be observed in this

State unless otherwise directed by the California Public Utilities

Commission (Commission). Terms defined in the Definition section

are italicized throughout this General Order.

1 GENERAL PROVISIONS

1.1 Authority. These rules and regulations are authorized by

and implement the provisions of 49 U.S.C. 5330, Intermodal

Surface Transportation Efficiency Act of 1991, Sec.

3029,5329; Title 49 of the Code of Federal Regulations,

(CFR), Part 659, Rail Fixed Guideway Systems6741, State

Safety Oversight; Final Rule, and Sections 778 and 99152 of

the California Public Utilities Code, and other applicable

Federal and State laws.

1.2 Applicability. These rules and regulations are applicable to

all Rail Transit Agencies (RTAs) and Rail Fixed Guideway

Systems in California.

1.3 Additional Rules. The Commission may make such

additional rules and regulations or changes to these rules

and regulations as are necessary for the purpose of safety.

1.4 Exemptions or Modifications. Requests for exemption

1 Pursuant to section 20030(e) of the Moving Ahead for Progress in the 21st Century Act (Pub. L. 112-141; July 2012) (“Map 21”), the statute now codified at 49 U.S.C. 5330, title “State Safety Oversight,” will be repealed three years after the effective date of 49 CFR Part 674 on March 16, 2016. No later than three years after the effective date of the 49 CFR Part 674, the regulations now codified at 49 CFR Part 659 will be rescinded.

GENERAL ORDER 164-E

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from, or modification of, these rules and regulations must be

filed by Rail Transit Agencies, and shall contain a full

statement of the reasons justifying the request and

demonstrating. A request must demonstrate that safety

iswould not be reduced. by the proposed exemption or

modification. Any exemption or modification so granted

shall be limited to the particular mattercase covered by the

request. Any All exemptions or modifications shall require

Commission approval.

1.41.5 The Commission Division responsible for rail fixed

guideway safety shall adopt a program standard procedures

manual establishing processes and procedures that govern

its rail fixed guideway safety program activities.

1.51.6 For the purpose of construing these rules, may is

permissive and shall is mandatory.

2 DEFINITIONS

2.1 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

involving a rail transit vehicle; a runaway train; an

evacuation for life safety reasons; or any derailment of a rail

transit vehicle, at any location, at any time, whatever the

cause.

2.2 Accountable Executive means a single, identifiable individual

who has ultimate responsibility for carrying out the Public

Transportation Agency Safety Plan of a public transportation

agency; responsibility for carrying out the agency’s Transit

Asset Management Plan (see 49 CFR Part 625); and control

GENERAL ORDER 164-E

- 5 -

or direction over the human and capital resources needed to

develop and maintain both the agency’s Public

Transportation Agency Safety Plan and the agency’s Transit

Asset Management Plan.

2.12.3 Certifiable Elements List means a list that contains all

facilities, systems, rail at-grade crossings, and other items

that are subject to safety certification due to their safety

functions.

2.22.4 Contractor means an entity that performs tasks

required on behalf of theFTA, Commission, or Rail Transit

Agency (RTA). through contract or other agreement.

2.32.5 Corrective Action Plan (CAP) means a plan developed by

ana RTA that describes the actions the RTA will take to

minimize, mitigate, control, correct, or eliminate risks and

hazards, and the schedule for implementing those actions.

2.6 Director means the Director of the Commission’s division

overseeing rail transit safety, or the Deputy Director

overseeing rail transit safety.

2.7 Event means an accident, incident or occurrence.

2.42.8 Existing Industry Standards means the currently

accepted industry and professional engineering standards

and/or guidelines relating to the design, construction,

operation, and maintenance of Rail Fixed Guideway Systems

such as ANSI, APTA, AREMA, ASCE, ASEE, ASME, FRA,

FTA, IEEE, NFPA, and others.

2.52.9 FRA means the Federal Railroad Administration, an

agency within the United States Department of

Transportation.

GENERAL ORDER 164-E

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2.62.10 FTA means the Federal Transit Administration., an

agency within the United States Department of

Transportation.

2.72.11 Hazard means any real or potential condition (as

defined in the RTA’s hazard management process)that can

cause injury, illness, or death; damage to or loss of a

systemthe facilities, equipment, rolling stock or

propertyinfrastructure of a RTA; or damage to the

environment.

2.82.12 Hazard Analysis means any analysis performed to

identify hazards for the purpose of their elimination,

mitigation, or control.

2.13 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


2.92.14 Individual means a passenger;, employee;, contractor;

other rail transit facility worker;, pedestrian;, trespasser;, or

any person on rail transitRTA-controlled property.

2.102.15 Investigation means the process used to determine the

causal and contributing factors of an accident, incident, or

hazard, so that actions can be identified to preventfor the

purpose of preventing recurrence. and mitigating risk.

2.112.16 Mainline means all tracks used for the purpose of the

movement of passengers on rail transit vehicles. Mainline

does not include storage tracks, yard tracks or other tracks

used for the purpose of storage.

GENERAL ORDER 164-E

- 7 -

2.122.17 Major Projects (Projects) means new rail systems or

extensions, the acquisition and integration of new vehicles

and safety critical technologies into existing service or major

safety critical redesign projects, excluding functionally and

technologically similar replacements.

2.18 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 RTA.

2.132.19 Passenger means a person who is on board, boarding,

or alighting from a rail transit vehicle for the purpose of

travel.

2.142.20 Person means any individual.

2.21 Public Transportation Agency Safety Plan (PTASP) means the

comprehensive agency safety plan for a RTA required by 49

U.S.C. 5329(d) and based on a Safety Management System.

Until one year after the effective date of FTA’s PTASP final

rule, a System Safety Program Plan (SSPP) developed

pursuant to 49 CFR 659 will serve as the RTA’s safety plan.

2.152.22 Rail Fixed Guideway System (RFGS) means any light,

heavy, or rapid rail system, monorail, inclined plane,

funicular, trolley, cable car, automatic people mover, or

automated guideway transit system used for public transit

and not regulated by the FRAFederal Railroad Administration

or not specifically exempted by statute from Commission

oversight.

2.162.23 Rail Transit Agency (RTA) means the entity that plans,

designs, constructs, and/or operates a RFGS and is within

the jurisdiction of the Commission.

GENERAL ORDER 164-E

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2.172.24 Rail Transit Agency-Controlled Property means property

that is used by the RTA and may be owned, leased, or

maintained by the RTA.

2.182.25 Rail Transit Vehicle means an RTA’s rolling stock,

including but not limited to passenger and maintenance

vehicles.

2.192.26 Safety means freedom from harm resulting from

unintentional acts or circumstances.

2.202.27 Safety Certification is the series of acts or processes

that collectively verify the safety readiness of a Project for

public use.

2.212.28 Safety Certification Plan (SC Plan) means a Project-

specific document developed by ana RTA, which ensures

that elements critical to safety are planned, designed,

constructed, analyzed, tested, inspected, and implemented,

and that employees are trained and rules and procedures

followed, in compliance with the RFGS and regulatory safety

requirements.

2.222.29 Safety Certification Verification Report (SCVR) means a

Project-specific document that will be the final certificate of

compliance verifying that the Project complies with all safety

requirements identified by ana RTA’s SC Plan.

2.232.30 Safety Design Criteria means the organized listing of

safety codes, regulations, rules, design procedures, existing

industry standards, recommended practices, analyses,

handbooks and manuals prepared to provide guidance to

Project designers in development of technical specifications

that meet minimum safety parameters.

GENERAL ORDER 164-E

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2.31 Safety Management System (SMS) means the formal, top-

down, organization-wide data-driven approach to managing

safety risk and assuring the effectiveness of safety risk

mitigations. SMS includes policies, procedures, and

practices for the management of safety risk.

2.242.32 Security means freedom from harm resulting from

intentional acts or circumstances.

2.33 Serious injury means any injury which: (1) requires

hospitalization for more than 48 hours, commencing within

7 days from the date of the injury was received; (2) results in

a fracture of any bone (except simple fractures of fingers,

toes, or nose); (3) causes severe hemorrhages, nerve, muscle,

or tendon damage; (4) involves any internal organ; or (5)

involves second or third-degree burn(s), or any burns

affecting more than 5 percent of the body surface.

2.252.34 Staff means Commission employees responsible for the

safety oversight of the RTAs.

2.262.35 System Safety Program Plan (SSPP) means a document

adopted by ana RTA detailing its safety policies, objectives,

responsibilities, and procedures. Until one year after the

effective date of the FTA’s PTASP final rule, a System Safety

Program Plan (SSPP) developed pursuant to 49 CFR 659 will

serve as the RTA’s safety plan.

2.272.36 System Security Plan (Security Plan) means a document

adopted by ana RTA detailing its security policies, objectives,

responsibilities, and procedures.

3 REQUIREMENTS FOR SYSTEM SAFETY PROGRAM PLANS

GENERAL ORDER 164-E

- 10 -

3.1 Each new RTA shall submit its initial SSPP (see Ssection

2.21 and 2.35) to Staff for Commission approval. No new

RTA shall begin transit operations prior to Commission

approval of its initial SSPP. Each RTA shall annually certify,

prior to February 15th of each year, by a letter to Staff that it

has reviewed the SSPP to determine whether the plan should

be modified or updated. If ana RTA determines revisions of

the SSPP is are necessary, the RTA shall submit the revised

SSPP to Staff with a request for approval. If the revised SSPP

is acceptable to Staff, Staff shall issue a formal letter to the

RTA approving the revised SSPP as consistent with Section

3.2, best industry practices, and in furtherance of the

public’s interest in system safety and security. If it is not

acceptable, Staff shall provide written explanation

communicate of the reasons for its rejection to the RTA, and

if the RTA disagrees, it shall file a formal application seeking

approval by the Commission.

3.2 The SSPP shall include, at a minimum:

a. A policy statement signed by the RTA’s

chiefaccountable executive that endorses the safety

program and describes the authority that establishes

the SSPP.

b. A clear definition of the goals and objectives for the

safety program and stated management

responsibilities to ensure they are achieved.

c. An overview of the RTA’s management structure,

including:

i. An organization chart;

GENERAL ORDER 164-E

- 11 -

ii. A description of how the safety function is integrated

into the entire RTA organization; and

iii. The line of authority and responsibility for safety

related matters.

d. The process used to control changes to the SSPP,

which must at least:

i. Specify annual assessment for updating the SSPP; and

ii. Require coordination with the Commission and provide

timeframes for submission, revision, and approval.

e. A description of the specific activities required to

implement the system safety program, including:

i. Tasks to be performed by the rail transit safety

function, by position and management accountability,

specified matrices and/or narrative format; and

ii. Safety related tasks to be performed by other rail

transit departments, by position and management

accountability, specified matrices and/or narrative

format.

f. A description of the process used by the RTA to

implement its hazard management program including

activities for:

i. Hazard identification;

ii. Hazard investigation, evaluation and analysis;

iii. Hazard mitigation, control, and elimination;

iv. Hazard tracking; and

v. Requirements for ongoing reporting to the Commission

in relation to hazard management activities and

status.

GENERAL ORDER 164-E

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g. A description of the process used by the RTA to ensure

that safety concerns are addressed in modifications to

existing systems, vehicles, and equipment that do not

require formal safety certification.

h. A description of the safety certification process used to

ensure that safety concerns and hazards are

adequately addressed prior to initiation of Projects and

subsequent Projects to extend, rehabilitate, or modify

an existing system, or to replace vehicle and

equipment. (Refer to Sections 11 and 12 for Project

Requirements for Safety Certification Plan and

Requirements for Safety Certification Verification

Reports.)

i. A description of the process used to collect, maintain,

analyze, and distribute safety data within the RTA, to

ensure the safety function receives the necessary

information to support implementation of the system

safety program.

j. A description of the process used to perform accident

notification, investigation, and reporting, including:

i. Notification thresholds for internal and external

organizations;

ii. Accident investigation process and references to

procedures;

iii. The process used to develop, implement, and track

corrective actions that address investigation findings;

iv. Reporting to internal and external organizations; and

v. Ensuring full participation and coordination with the

GENERAL ORDER 164-E

- 13 -

Commission.

k. A description of the process used to develop an

approved, coordinated schedule for all emergency

management program activities, including:

i. Meetings with external agencies;

ii. Emergency planning responsibilities and requirements;

iii. A process used to evaluate emergency preparedness,

including a plan for and the frequency of emergency

drills;

iv. After action reports and implementation of findings;

v. Revision and distribution of emergency response

procedures;

vi. Familiarization training for public safety organizations;

and

vii. Employee training.

l. A description of the process used to ensure that

planned and scheduled internal safety reviews are

performed to evaluate compliance with the SSPP,

including:

i. Identification of the departments and functions subject

to review;

ii. Responsibility for scheduling reviews;

iii. The process for conducting reviews, including the

development of the checklists and procedures and

issuing of findings;

iv. Reporting requirements;

v. Tracking the status of recommendations and corrective

action plansCAPs; and

GENERAL ORDER 164-E

- 14 -

vi. The means for ensuring full participation and

coordination with the CommissionStaff.

m. A description of the process used to develop, maintain,

and ensure compliance with rules and procedures

having a safety impact, including:

i. Identification of operating and maintenance rules and

procedures subject to review;

ii. Techniques used to assess the implementation of

operating rules and procedures by employees, such as

performance testing;

iii. Techniques used to assess the effectiveness of

supervision relating to implementation of operating

and maintenance rules; and

iv. A process for documenting results and incorporating

them into the hazard management program.

n. A description of the process used for facilities and

equipment safety inspections, including:

i. Identification of the facilities and equipment subject to

regular safety related inspection and testing;

ii. Techniques used to conduct inspections and testing;

iii. Inspection schedules and procedures; and

iv. Description of how results are entered in the hazard

management process.

o. A description of the maintenance audits and

inspections program, including identification of the

affected facilities and equipment, maintenance cycles,

documentation required, and the process for

integrating identified problems into the hazard

GENERAL ORDER 164-E

- 15 -

management process.

p. A description of the training and certification program

for employees and contractors, including:

i. Categories of safety-related work requiring training

and certification and the required retraining and

recertification period for each category;

ii. A description of the training/retraining and

certification/recertification program for employees and

contractors in safety-related positions;

iii. Process used to maintain and access employee and

contractor training records; and

iv. A process used to assess compliance with training and

certification requirements.

q. A description of the configuration management control

process, including:

i. The authority required to make configuration changes;

ii. A process for making changes; and

iii. A process and assurances for notifying all involved

departments.

r. A description of the safety program for employees and

contractors that incorporates the applicable local, state

and federal requirements, including:

i. Safety requirements that employees and contractors

must follow when working on, or in close proximity to,

RTA property; and

ii. Processes for ensuring that employees and contractors

know and follow the requirements.

s. A description of the hazardous materials program,

GENERAL ORDER 164-E

- 16 -

including the process used to ensure knowledge of and

compliance with program requirements.

t. A description of the drug and alcohol program and the

process used to ensure knowledge of and compliance

with program requirements.

u. A description of the measures, controls, and

assurances in place to ensure that safety principles,

requirements and representatives are included in the

procurement process.

3.3 Staff may perform inspections, investigations, and reviews of

the design, construction, operation, maintenance and

administration of each RTA to assess whether the actual

safety procedures and practices of the RTA comply with its

SSPP. RTA shall permit Staff to have access to all facilities,

documents, and records, and shall provide reports when

requested.

3.4 Each RTA shall undergo an on-site review of the

implementation of its SSPP by Staff at least once every three

years to verify compliance with and evaluate the

effectiveness of the SSPP. Staff may conduct the on-site

review with its own personnel or by employing the services of

a contractor other than the RTA.

3.5 Following each triennial on-site review, the Commission will

issue a resolution based upon the Staff findings and

recommendations, including an analysis of the efficacy of

the SSPP and the need, if any, for updating the plan.

4 REQUIREMENTS FOR SYSTEM SECURITY PLANS

GENERAL ORDER 164-E

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4.1 Each new RTA shall submit its initial Security Plan to Staff

for Commission approval. No new RTA shall begin transit

operations prior to Commission approval of its initial

Security Plan. Each RTA System Security Plan must be

developed and maintained as a separate document and shall

not be part of the RTA’s SSPP. Each RTA shall annually

certify, prior to February 15th of each year, to the

Commission by letter to Staff, that it has reviewed the

Security Plan to determine whether the plan should be

modified or updated. If an RTA determines revision of the

Security Plan is necessary, the RTA shall submit the revised

Security Plan to Staff with a request for approval. If the

revised Security Plan is acceptable to Staff, Staff shall issue a

formal letter to the RTA approving the revised Security Plan

as consistent with Section 4.3, best industry practices, and

in furtherance of the public’s interest in system safety and

security. If it is not acceptable, Staff shall communicate

provide written explanation of the reasons for its rejection to

the RTA, and if the RTA disagrees, it shall file a formal

application seeking approval by the Commission.

4.2 The Security Plan shall address the personal security of

passengers, employees, and the general public. FTA’s

applicable report shall serve as a set of guidelines for

preparation of the Security Plan. Procedural details that the

RTA classifies as confidential information to prevent or

mitigate breaches of security shall not be revealed in the

Security Plan. RTAs should identify all information they

deem confidential for security purposes pursuant to Public

GENERAL ORDER 164-E

- 18 -

Utilities Code Section 583.

4.3 At a minimum, the Security Plan shall address the following:

a. Identify the policies, goals, and objectives for the

security program endorsed by the RTA’s

chiefaccountable executive (e.g. Chief Executive Officer,

General Manager, President, etc.).

b. The process for managing threats and vulnerabilities

during operations, and for Projects, extensions, new

vehicles and equipment, including integration with the

safety certification process.

c. The controls in place that address the personal

security of passengers and employees.

d. The process for conducting internal security reviews to

evaluate compliance and measure the effectiveness of

the Security Plan.

e. The process for making the Security Plan and

accompanying procedures available to the Commission

for review and approval.

f. The process for notifying, investigating, and reporting

security breaches that meet the accident notification

and investigation thresholds in Sections 6 and 7..



GENERAL ORDER 164-E

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4.54.4 administration of each RTA to assess whether the

actual security procedures and practices of the RTA comply

with its Security Plan. RTA shall permit Staff access to all

facilities, documents, and records.

4.64.5 Each RTA shall undergo an on-site review of the

implementation of its Security Plan by Staff at least once

every three years to verify compliance with and evaluate the

effectiveness of the Security Plan. Staff may conduct the on-

site review with its own personnel or by employing the

services of an organization other than the RTA.

4.74.6 Following each triennial on-site review, the

Commission will issue a decision based upon Staff findings

and recommendations, including an analysis of the efficacy

of the Security Plan and the need, if any, for updating the

plan.

5 REQUIREMENTS FOR INTERNAL SAFETY AND SECURITY

AUDITS

5.1 Each RTA shall annually perform planned and scheduled

internal safety and security audits to evaluate compliance

and measure the effectiveness of its SSPP and Security Plan.

5.2 All of the elements described in Sections 3 and 4, and the

RTA’s SSPP and Security Plan shall be included in the scope

of the activities to be audited by each RTA. This total scope

must be completely covered by the internal safety and

security auditsaudit conducted within a 3-year period, and

every 3-year period thereafter.

5.3 Each RTA shall prepare a schedule of internal safety and

GENERAL ORDER 164-E

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security audits to be performed during each calendar year.

5.4 Each RTA shall submit this schedule, including any

subsequent changes, to Staff at least 30 calendar days

before any scheduled audits.

5.5 Each RTA shall perform each internal safety and security

audit in accordance with written checklists by personnel

technically qualified to verify compliance and judge the

effectiveness of the SSPP activity or Security Plan activity

being audited. Each RTA shall provide the checklists to

Staff prior to the audit. The auditors may be

organizationally assigned to the unit responsible for

management of the activity being audited, but they must be

independent from the first line of supervision responsible for

performance of the activity being audited.

5.6 Each RTA shall document the internal safety and security

audit in an annual report that covers the audits performed

during each calendar year.

a. The annual report shall state the results of each audit

in terms of the adequacy and effectiveness of the SSPP

and the Security Plan. It shall include the status of

subsequent findings and corrective actions.

b. Prior to the 15th of February each year, the RTA shall

submit to Staff the annual report for the internal

safety and security audits performed during the

preceding year for initial evaluation.

c. The annual report must be accompanied by a formal

letter of certification signed by the RTA’s

chiefaccountable executive indicating that the RTA is in

GENERAL ORDER 164-E

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compliance with its SSPP and Security Plan. If the RTA

determines that findings from its internal safety and

security audits indicate that the RTA is not in

compliance with its SSPP or Security Plan, the

chiefaccountable executive must identify the activities

the RTA will take to achieve compliance.

d. Staff shall perform an initial evaluation of the RTA’s

Internal Safety and Security Audit Annual Report and

indicate whether Staff wouldwill recommend its

approval or its rejection to the Commission. If Staff

would recommend recommends rejection, Staff shall

identify the areas in the report that, in Staff’s

determination, require correction. The RTA shall have

the option to revise the report and resubmit to Staff. If

the RTA does not agree with the rejection, RTA shall

meet and confer with Staff in an effort to resolve the

disagreement. If no resolution is achieved through

negotiation, the RTA shall apply to the Commission for

approval pursuant to the formal application procedure

under the Commission’s Rules of Practice and

Procedure. If Staff recommends approval, it shall issue

a formal letter approving the report as consistent with

the plans approved under Sections 3 and 4.

6 REQUIREMENTS FOR HAZARD MANAGEMENT PROCESS

Each RTA SSPP’s discussion of the hazard management

process shall include a process to identify and resolve hazards

during operations, including any hazards resulting from system

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extensions and modifications, operational changes or other

changes within the rail transit environment. The hazard

management process must, at a minimum:

a. Define the approach to hazard management and the

implementation of an integrated system-wide hazard

resolution process.

b. Specify the sources of, and mechanisms to support the

on-going identification of hazards.

c. Define the process by which identified hazards are

evaluated and prioritized for elimination or control.

d. Identify the mechanism used to track to resolution the

identified hazard(s).

e. Define minimum thresholds for the notification and

reporting of hazard(s) to the CommissionStaff.

f. Specify the process for reporting of hazard resolution

activities to the CommissionStaff.

7 REQUIREMENTS FOR REPORTING ACCIDENTSEVENTS

7.1 Each RTA shall submit notification of immediately reportable

incident reportsaccidents to the Commission in the manner

directed by Staff. An immediately reportable

incidentaccident is one that meets or exceeds the thresholds

established in Section 7.2. The RTA shall notify the Staff

representative or designee within two hours of any

immediately reportable accidentincident involving a rail

transit vehicle or taking place on a rail transit-controlled

property. Notification shall be by telephone to the designated

contact person.

GENERAL ORDER 164-E

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7.2 Each RTA shall immediately notify Staff of incidents where

one of the following occurs:

7.2 Immediately reportable accidents include:

a. A fatality (occurring at the scene, or where an

individual is confirmed dead within 30 calendar days

of a rail transit-related incident;following the accident);

b. Injury to twoOne or more individuals requiring

immediate medical attention away from the scene;

c.b. Property damage to rail transit vehicles, non-rail

transit vehicles, other rail transit property or facilities,

and non-transit property that equals or exceeds

$25,000;persons suffering serious injury, as defined in

Section 2.33;

d. A collision at an at-grade crossing;

e. A mainline derailment;

f. A collision with an individual on a rail right-of-way;

c. A collision betweeninvolving a rail transit vehicle and a

second rail transit any other vehicle, object, or

aindividual;

g.d. A derailment of any rail transit non-revenue vehicle; at

any location, at any time, whatever the cause; or

h. An evacuation due to life safety reasons

e. A runaway train.

7.3 The Rail Transit AgencyRTA shall provide as part of the

notification:

a. The time and date of the incidentaccident;

b. The location of the incidentaccident, including CPUC

the Commission highway-rail grade crossing number,

GENERAL ORDER 164-E

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if applicable;


d. The rail transit vehicles involved in the

incidentaccident, if any;

e. The factor from Section 7.2 that makes the

incidentaccident immediately reportable;

e.f. Narrative description of the accident, as known at the

time of reporting; and

f.g. The emergency response organizations at the scene of

the incidentaccident.

7.4 Concurrent notification to the FTA is required for all

immediately reportable accidents.

7.47.5 An RTA that shares track or with shared rights-of-way

with the general railroad system and is subject to the FRA

incidentaccident notification requirements, shall, within two

hours, notify Staff of any incidentaccident requiring

notification to the FRA.

7.57.6 Each RTA shall submit written accident reports on

forms prescribed by Staff. Each RTA shall submit such

written reports within 30 calendar days after the last day of

the month in which the accident occurred. Each RTA shall

file written reports for all immediately reportable accidents

and develop sufficient records for Safety Management

System (SMS) analysis.

7.67.7 Each RTA shall file a monthly accident corrective

action summary report. Each RTA shall file this report onin

a form prescribed byformat acceptable to Staff within 30

calendar days from the last day of the month covered. Each

GENERAL ORDER 164-E

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RTA shall file the monthly summary report whether or not

any reportable accident occurred during the month.

7.8 Each RTA shall report incidents to FTA within 30 days via

the National Transit Database and develop sufficient records

for SMS analysis. If a RTA or Staff later determines that an

incident meets the definition of an accident, that event must

be reported as set forth in Sections 7.1 through 7.7.

Incidents include the following:


b. One or more injuries requiring medical transportation

away from the event; and

c. Damage to facilities, equipment, rolling stock or

infrastructure that disrupts the operations of a rail

transit agency.

7.9 Each RTA shall collect, track and analyze data on

occurrences to reduce the likelihood of recurrence, inform

the practice of SMS and make available for Staff and/or FTA






e. Damage to catenary or third–rail equipment that do

not disrupt operations; and


8 REQUIREMENTS FOR INVESTIGATING ACCIDENTS

8.1 Although the Commission is ultimately responsible for the

GENERAL ORDER 164-E

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sufficiency and thoroughness of all accident investigations,

eEach RTA shall investigate, on behalf of the Commission,

all reportable accidents involving a rail transit vehicle or

taking place on rail transit agency-controlled property. Staff

may also perform a separate, independent investigation of

any such accident.

8.2 The accident investigations performed by each RTA shall be

conducted in accordance with written procedures. Each

RTA Accident Investigation Procedure, including any

changes, shall be submitted to Staff for review.

8.3 When investigating accidents that require immediate

notification per Section 7.2, the RTA shall:

a. Notify Staff when additional investigation is conducted

b.a. by an investigation team or panel performing interviews,

questioning witnesses, or conducting inspections,

measurements, examinations, or tests, etc. as part of the

investigation beyond the initial on scene investigation;

c.b. Provide for Staff’s participation to the fullest extent

possible in accident investigations, and make all

information related to the accident investigation,

including data from event recorders, available to Staff

for review;

d.c. Document in a written report each item investigated,

the investigation findings, the most probable cause of

the accident, contributing causes, and

recommendations for corrective action to prevent a

recurrence of the accident;

e.d. PrepareIf necessary, prepare a corrective action

GENERAL ORDER 164-E

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planCAP as a part of the investigation report or in a

separate document. (For corrective action planCAP

detail refer to Section 9.));

e. Submit its final investigation report within 60 calendar

days of the occurrence of the accident. If the

investigation takes longer than 60 calendar days to

complete, the RTA shall submit interim status reports

every 30 calendar days. ; and

f. If the final investigative report is acceptable to Staff,

Staff shall issue a formal letter to the RTA approving

the report as consistent with best industry

investigation procedures and in furtherance of the

public’s interest in system safety and security. If it is

not acceptable, Staff shall identify the areas in the

report to be corrected. If the RTA does not agree with

the rejection, the Staff shall either conduct its own

investigation, or communicate its disagreement with

the findings of the accident investigation to the RTA

and meet and confer with the RTA in an effort to make

mutually agreeable findings. If such agreement is not

reached, the RTA’s report and a statement of the

reasons why Staff disagrees shall be formally filed with

the Commission.

8.4 No Investigation report or recommendation of the

Commission, nor any investigation report of an RTA filed

withsubmitted to the Commission, shall be admissible as

evidence in any action for damages based on or arising out

of matters covered therein, pursuant to Public Utilities Code

GENERAL ORDER 164-E

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Ssection 315.

9 REQUIREMENTS FOR CORRECTIVE ACTION PLANS

9.1 Rail Transit Agencies shall develop corrective action

plansCAPs for the following:

a. Results from investigations, in which identified causal

and contributing factors are determined by RTA or

Staff as requiring corrective actions.

b. Recommendations contained in the Staff triennial

safety and security review reports as adopted by the

Commission.

c. The RTA’s Internal Safety Audit findings, as required

by Section 5 of this General Order.

c.d. Inspection findings identified by Staff through its

inspection reports issued to the RTAs.

e. Hazards identified by the RTA through its hazard

management process, when appropriate.

9.2 Each RTA shall submit an investigation corrective action

planCAP to Staff within 60 calendar days of the occurrence of

the accident as part of the investigation report or in a

separate document. If the corrective action planCAP

implementation takes longer than 60 calendar days to

complete, the RTA shall submit interim status reports every

30 calendar days. The corrective action planCAP shall

identify the action to be taken with an accompanying

implementation schedule, and the individual or department

responsible for the implementation.

9.3 Each RTA shall submit a corrective action planCAP based on

the recommendations contained in the Staff triennial safety

GENERAL ORDER 164-E

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and security review reports as adopted by the Commission.

The corrective action planCAP shall identify the action to be

taken with an accompanying implementation schedule, and

the individual or department responsible for the

implementation. Each RTA shall submit to Staff corrective

action plan CAP interim status reports according to the

Commission Resolution.

9.39.4 Each RTA shall submit a CAP based on the findings of

the internal safety audit required by Section 5 of this

General Order. The CAP shall identify the action to be

taken, with an accompanying implementation schedule, and


implementation.

9.5 Each RTA shall submit a CAP based on the findings of any

Staff inspections issued to the RTA. The CAP shall identify

the action to be taken with an accompanying



9.6 Each RTA shall submit each corrective action planCAP to

Staff with a request for review and approval. If the corrective

action planCAP is acceptable to Staff, Staff shall issue a

formal letter tonotify the RTA approving the corrective action

planCAP as consistent with Sections 9.1 andthrough 9.25

inclusive, best industry practices, and in furtherance of the


unacceptable to Staff, Staff shall identify the areas in the

plan that, in its determination, require correction, and

communicate that information to the RTA. If the RTA does

GENERAL ORDER 164-E

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not agree with the rejection, RTA shall meet and confer with

Staff in an effort to resolve this disagreement. If no

resolution is achieved through negotiation, the RTA shall

apply to the Commission for approval pursuant to the

application procedure under the Commission’s Rules of

Practice and Procedure.

9.49.7 Where immediate or emergency corrective actions are

required to ensure immediate safety, the RTA may

implement the corrective action prior to Staff approval,

provided timely notification of the CAP is provided to Staff

and Staff subsequently provided review and approval.

9.59.8 If the National Transportation Safety Board (NTSB)

investigates an accident involving an RTA, Staff and the RTA

shall meet to address NTSB’s findings and determine the

appropriate corrective actions to be taken based on those

findings and all other information available on the

incidentaccident.

9.69.9 Each RTA shall submit to Staff verification that the

corrective action(s) has been implemented as described in

the corrective action planCAP, or that a proposed alternate

action(s) has been implemented with the agreement of Staff.

9.10 Where corrective actions have been taken prior to the due

date for CAP submittal, evidence of the corrective action

taken may be substituted for submittal of a proposed CAP.

10 REQUIREMENTS FOR AT-GRADE RAIL CROSSINGS

GENERAL ORDER 164-E

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10.1 The procedures described in this section apply to the construction

of all at-grade crossings (crossings) established after the effective

date of this General Order.

10.2 In the initial phase, the RTA shall consult with Staff during the

process of developing a Draft Environmental Impact Report (DEIR)

for projects that require such a document to be prepared. For other

proposed crossings, where a DEIR is not required, the RTA shall

consult with Staff prior to initiating preliminary engineering. The

purpose of this consultation is for the RTA to provide its reasons

and supporting evidence, why the at-grade crossing is not a good

candidate for closure or grade separation. Staff shall provide

feedback by a letter to the RTA. The following information is to be

provided to Staff as part of the consultation:

a. Current and projected railroadrail operations. If the if

crossing is planned to be used by other types of trains such

as freight trains, the number, type and speed(s) of trains shall

be provided;

b. Current and projected highway usage – number, type (cars,

trucks, buses, pedestrians, bicyclists, etc.), and speed of

vehicles;

c. Existing and projected facilities that generate traffic in the

area, such as shopping centers, major industries, schools,

entertainment venues, or emergency services (hospitals, fire

stations, police departments, etc.); and

d. Preliminary drawings and/or aerial photographs, or site maps

of the crossing and vicinity – include information on nearby

roads to determine if they can accommodate additional

vehicular traffic if existing intersections are eliminated.

GENERAL ORDER 164-E

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10.3 In the second phase, the RTA shall request Commission

authorization for every crossing during the preliminary engineering

phase of the project. At its option, the RTA may choose either of

the following processes to request Commission approval:

i. Filing a Rail Crossing Hazard Analysis Report (RCHAR) as

outlined below,; or

ii. Filing a formal application in accordance with the

Commission’s Rules of Practice and Procedure.

10.4 If the RTA chooses option (i) in Section 10.3, it shall submit to Staff

an RCHAR listing every at-grade rail crossing. The RCHAR shall

include the following:

a. Detailed engineering drawings for each at-grade

crossing;

b. Proposed rail operations;

c. Updates of data provided during consultation (see

Section 10.2));

d. Analysis of identified hazards at each proposed at-

grade crossing,; such as:

Queuing on tracks

Pedestrian movements

Turning movements

Sightlines

e. Identification of hazard mitigation measures, such as:

Crossing warning devices

Active and passive signs

Median islands

Fencing and channelization

GENERAL ORDER 164-E

- 33 -

10.5 After an RCHAR that meets the requirements of Section 10.4 is

submitted, Staff shall schedule field diagnostic review meetings,

with all affected agencies, within 60 days after receiving the

RCHAR, to assess the safety aspects of the proposed at-grade

crossing design(s). Within 90 days after the field diagnostic reviews

are completed, Staff shall provide preliminary recommendations to

the RTA pertaining to the design of each at-grade crossing.

10.6 If the RTA accepts Staff’s preliminary recommendations, then those

recommendations will be considered to be final and the RTA shall

submit plans incorporating the changes for approval by


10.7 If the RTA does not accept Staff’s preliminary recommendations,

then the RTA can request a meeting with Staff to discuss the design

of the at-grade crossings. Within 30 days after this meeting, Staff

shall provide their final recommendations to the RTA. If the RTA

accepts Staff’s final recommendations, the RTA shall submit final

plans incorporating the changes for approval by Commission

Resolution.

10.8 If the RTA and Staff cannot reach agreement on the design of

specific at-grade crossings, then the RTA may file a formal

application with the Commission for those crossings, in accordance

with Section 10.3 (ii), where an agreement was not reached.

10.9 Nothing in this GOGeneral Order shall preclude the RTA from filing

a formal application in accordance with Section 10.3 (ii) at any

point in the process.

11 REQUIREMENTS FOR SAFETY CERTIFICATION PLAN

GENERAL ORDER 164-E

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11.1 Each RTA shall be responsible for Safety Certification of all

Projects that initiate preliminary engineering after February

27, 2003.. The RTA shall ensure that all entities involved in

design, construction, operation, and maintenance of all

Projects shall comply with the requirements of the Safety

Certification process.

11.2 Each RTA shall prepare a Project specific Safety Certification

Plan (SC Plan) for each of its Projects. Applicable FTA

guidelines shall be used as a reference.

11.3 Each RTA shall submit the SC Plan to Staff for review and

Commission approval during the preliminary engineering

phase. The RTA shall revise and expand the SC Plan as the

Project progresses, as necessary. The RTA shall file any

revision of the SC Plan with Staff. Within 45 calendar days,

Staff shall approve or reject the proposed revisions.

11.4 The SC Plan shall address safety certification management

including organizational authority and responsibilities, safety

certification activities, processes and procedures, documentation

requirements and responsibilities, and reporting requirements.

11.5 The SC Plan shall describe the controls used to maintain

effective communications and liaison with Staff throughout

the life of the Project. It shall also include procedures to

obtain and adequately address Staff’s written comments on

safety and security design reviews conducted throughout

Project development lifecycle.

11.6 The SC Plan shall identify the process used to verify and

document conformance with safety and security

requirements during design, construction, testing, and

GENERAL ORDER 164-E

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operational readiness. The SC Plan shall include the

following:

a. The hazard management process to conduct safety

hazard analyses and safety hazard resolution. The

document shall include a list of hazard analyses to be

performed. Each RTA shall submit hazard analyses to

Staff upon request.

b. A list of all safety and security design criteria that will

be used in the planning, design, and construction of

Projects.

c. Certifiable elements and sub-elements list.

d. Safety certification audits conducted in accordance

with written checklists to verify compliance and judge

the effectiveness of the SC Plan.

e. Format of Conformance checklists, and a list of the

actual checklists as they become available,: the actual

checklists shall be submitted upon request.

f. Safety Certification milestones.

g. Procedure for updates.

12 REQUIREMENTS FOR SAFETY CERTIFICATION VERIFICATION

REPORT

12.1 Each RTA shall submit a Safety Certification Verification

Report to verify Project compliance with the SC Plan.

12.2 Each RTA shall submit the SCVR to Staff at least 21 calendar days

prior to the start of service. The SCVR shall certify that: (a) all

requirements of the SC Plan have been completed except for listed

open items, if any, (b) that all safety hazards have been adequately

GENERAL ORDER 164-E

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mitigated, and (c) adequate restrictions/workarounds are in place

to ensure the safety of operations until open items are closed. Staff

shall respond to the SCVR within 914 calendar days of filing by

indicating that it approves the SCVR, or identifying areas that are

not acceptable to Staff. Staff shall give its approval of the SCVR by

issuing a formal letter to the RTA so stating. The Staff’s approval

letter will not bind the Commission, but shall constitute provisional

Commission approval. The Project shall not be placed in service

until the SCVR is provisionally approved by Staff in this manner.

12.3 The SCVR shall include a:

a. Letter of Intent to Operate;

b. Final Project Verification of Safety; and

c. Remaining Open Items List, if any, with appropriate

workarounds.

13 COMMISSION APPROVAL

13.1 Where formal Commission approval is required by this General

Order, requests for Commission approval, shall be made by letter to

Staff unless otherwise specified. Staff shall prepare a resolution on

the request for Commission consideration at a public meeting.

13.2 All protests, comments, and appeals of initial Staff or Director

determinations shall be submitted to the Commission pursuant to

the CommissionCommission’s Rules of Practice and Procedure.

Dated May 3, 2007XXXXX xx, 20187, at San Francisco, California.


STATE OF CALIFORNIA

GENERAL ORDER 164-E

- 37 -

By PAUL CLANONALICE STEBBINS

Executive Director



APPENDIX B

SED’s Proposed

General Order 164‐E

(clean version)

Rules and Regulations Governing State Safety Oversight of Rail Fixed

Guideway Systems

- 1 -


OF THE

STATE OF CALIFORNIA

General Order 164-E (Supersedes General Order 164-D)

RULES AND REGULATIONS GOVERNING STATE SAFETY OVERSIGHT OF RAIL FIXED GUIDEWAY SYSTEMS

Adopted September 20, 1996. Effective September 20, 1996.

(D.96-09-081 in R.96-04-021)

Amended September 3, 1997. Effective October 1, 1997.


Amended December 2, 1999. Effective December 2, 1999.


Adopted February 27, 2003. Effective February 27, 2003.

(D.03-02-048 in R.02-01-009)

Amended May 3, 2007. Effective May 3, 2007.

(D.07-05-014 in R.06-10-004)

Amended XXXXX xx, 2018. Effective XXXXX xx, 2018.

(Resolution No. ST-207)

GENERAL ORDER 164-E

- 2 -

TABLE OF CONTENTS

Section Title Page No.

1 General Provisions 3

2 Definitions 4

3 Requirements for System Safety Program Plans 9

4 Requirements for System Security Plans 16

5 Requirements for Internal Safety and Security Audits 18

6 Requirements for Hazard Management Process 20

7 Requirements for Reporting Events 21

8 Requirements for Investigating Accidents 24

9 Requirements for Corrective Action Plans 26

10 Requirements for At Grade Rail Crossings 28

11 Requirements for Safety Certification Plan 31

12 Requirements for Safety Certification Verification Report 33

13 Commission Approval 34

GENERAL ORDER 164-E

- 3 -

IT IS ORDERED that the following rules and regulations

governing the safety oversight of Rail Transit Agencies (RTA) and

Rail Fixed Guideway Systems shall hereafter be observed in this

State unless otherwise directed by the California Public Utilities

Commission (Commission). Terms defined in the Definition section

are italicized throughout this General Order.

1 GENERAL PROVISIONS

1.1 Authority. These rules and regulations are authorized by

and implement the provisions of 49 U.S.C. 5329; Title 49 of

the Code of Federal Regulations (CFR), Part 6741, State

Safety Oversight; Sections 778 and 99152 of the California

Public Utilities Code, and other applicable Federal and State

laws.

1.2 Applicability. These rules and regulations are applicable to

all Rail Transit Agencies (RTAs) and Rail Fixed Guideway

Systems in California.

1.3 Additional Rules. The Commission may make such

additional rules and regulations or changes to these rules

and regulations as necessary for the purpose of safety.

1.4 Exemptions or Modifications. Requests for exemption

from, or modification of, these rules and regulations shall

contain a full statement of the reasons justifying the request.

1 Pursuant to section 20030(e) of the Moving Ahead for Progress in the 21st Century Act (Pub. L. 112-141; July 2012) (“Map 21”), the statute now codified at 49 U.S.C. 5330, title “State Safety Oversight,” will be repealed three years after the effective date of 49 CFR Part 674 on March 16, 2016. No later than three years after the effective date of the 49 CFR Part 674, the regulations now codified at 49 CFR Part 659 will be rescinded.

GENERAL ORDER 164-E

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A request must demonstrate that safety would not be

reduced by the proposed exemption or modification. Any

exemption or modification so granted shall be limited to the

particular case covered by the request. All exemptions or

modifications shall require Commission approval.

1.5 The Commission Division responsible for rail fixed guideway

safety shall adopt a program standard procedures manual

establishing processes and procedures that govern its rail

fixed guideway safety program activities.

1.6 For the purpose of construing these rules, may is permissive

and shall is mandatory.

2 DEFINITIONS

2.1 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

involving a rail transit vehicle; a runaway train; an

evacuation for life safety reasons; or any derailment of a rail

transit vehicle, at any location, at any time, whatever the

cause.

2.2 Accountable Executive means a single, identifiable individual

who has ultimate responsibility for carrying out the Public

Transportation Agency Safety Plan of a public transportation

agency; responsibility for carrying out the agency’s Transit

Asset Management Plan (see 49 CFR Part 625); and control

or direction over the human and capital resources needed to

develop and maintain both the agency’s Public

Transportation Agency Safety Plan and the agency’s Transit

Asset Management Plan.

GENERAL ORDER 164-E

- 5 -

2.3 Certifiable Elements List means a list that contains all

facilities, systems, rail at-grade crossings, and other items

that are subject to safety certification due to their safety

functions.

2.4 Contractor means an entity that performs tasks on behalf of

FTA, Commission, or RTA through contract or other

agreement.

2.5 Corrective Action Plan (CAP) means a plan developed by a

RTA that describes the actions the RTA will take to minimize,

mitigate, control, correct, or eliminate risks and hazards,

and the schedule for implementing those actions.

2.6 Director means the Director of the Commission’s division

overseeing rail transit safety, or the Deputy Director

overseeing rail transit safety.

2.7 Event means an accident, incident or occurrence.

2.8 Existing Industry Standards means the currently accepted

industry and professional engineering standards and/or

guidelines relating to the design, construction, operation,

and maintenance of Rail Fixed Guideway Systems such as

ANSI, APTA, AREMA, ASCE, ASEE, ASME, FRA, FTA, IEEE,

NFPA, and others.

2.9 FRA means the Federal Railroad Administration, an agency

within the United States Department of Transportation.

2.10 FTA means the Federal Transit Administration, an agency

within the United States Department of Transportation.

2.11 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 RTA; or

GENERAL ORDER 164-E

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damage to the environment.

2.12 Hazard Analysis means any analysis performed to identify

hazards for the purpose of their elimination, mitigation, or

control.

2.13 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


2.14 Individual means a passenger, employee, contractor,

pedestrian, trespasser, or any person on RTA-controlled

property.

2.15 Investigation means the process used to determine the

causal and contributing factors of an accident, incident, or

hazard, for the purpose of preventing recurrence and

mitigating risk.

2.16 Mainline means all tracks used for the purpose of the

movement of passengers on rail transit vehicles. Mainline

does not include storage tracks, yard tracks or other tracks

used for the purpose of storage.

2.17 Major Projects (Projects) means new rail systems or

extensions, the acquisition and integration of new vehicles

and safety critical technologies into existing service or major

safety critical redesign projects, excluding functionally and

technologically similar replacements.

2.18 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 RTA.

GENERAL ORDER 164-E

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2.19 Passenger means a person who is on board, boarding, or

alighting from a rail transit vehicle for the purpose of travel.

2.20 Person means any individual.

2.21 Public Transportation Agency Safety Plan (PTASP) means the

comprehensive agency safety plan for a RTA required by 49

U.S.C. 5329(d) and based on a Safety Management System.

Until one year after the effective date of FTA’s PTASP final

rule, a System Safety Program Plan (SSPP) developed

pursuant to 49 CFR 659 will serve as the RTA’s safety plan.

2.22 Rail Fixed Guideway System (RFGS) means any light, heavy,

or rapid rail system, monorail, inclined plane, funicular,

trolley, cable car, automatic people mover, or automated

guideway transit system used for public transit and not

regulated by the Federal Railroad Administration or not

specifically exempted by statute from Commission oversight.

2.23 Rail Transit Agency (RTA) means the entity that plans,

designs, constructs, and/or operates a RFGS and is within

the jurisdiction of the Commission.

2.24 Rail Transit Agency-Controlled Property means property that

is used by the RTA and may be owned, leased, or maintained

by the RTA.

2.25 Rail Transit Vehicle means an RTA’s rolling stock, including

but not limited to passenger and maintenance vehicles.

2.26 Safety means freedom from harm resulting from

unintentional acts or circumstances.

2.27 Safety Certification is the series of acts or processes that

collectively verify the safety readiness of a Project for public

use.

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2.28 Safety Certification Plan (SC Plan) means a Project-specific

document developed by a RTA, which ensures that elements

critical to safety are planned, designed, constructed,

analyzed, tested, inspected, and implemented, and that

employees are trained and rules and procedures followed, in

compliance with the RFGS and regulatory safety

requirements.

2.29 Safety Certification Verification Report (SCVR) means a

Project-specific document that will be the final certificate of

compliance verifying that the Project complies with all safety

requirements identified by a RTA’s SC Plan.

2.30 Safety Design Criteria means the organized listing of safety

codes, regulations, rules, design procedures, existing

industry standards, recommended practices, analyses,

handbooks and manuals prepared to provide guidance to

Project designers in development of technical specifications

that meet minimum safety parameters.

2.31 Safety Management System (SMS) means the formal, top-

down, organization-wide data-driven approach to managing

safety risk and assuring the effectiveness of safety risk

mitigations. SMS includes policies, procedures, and

practices for the management of safety risk.

2.32 Security means freedom from harm resulting from

intentional acts or circumstances.

2.33 Serious injury means any injury which: (1) requires

hospitalization for more than 48 hours, commencing within

7 days from the date of the injury was received; (2) results in

a fracture of any bone (except simple fractures of fingers,

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toes, or nose); (3) causes severe hemorrhages, nerve, muscle,

or tendon damage; (4) involves any internal organ; or (5)

involves second or third-degree burn(s), or any burns

affecting more than 5 percent of the body surface.

2.34 Staff means Commission employees responsible for the

safety oversight of the RTAs.

2.35 System Safety Program Plan (SSPP) means a document

adopted by a RTA detailing its safety policies, objectives,

responsibilities, and procedures. Until one year after the

effective date of the FTA’s PTASP final rule, a System Safety

Program Plan (SSPP) developed pursuant to 49 CFR 659 will

serve as the RTA’s safety plan.

2.36 System Security Plan (Security Plan) means a document

adopted by a RTA detailing its security policies, objectives,

responsibilities, and procedures.

3 REQUIREMENTS FOR SYSTEM SAFETY PROGRAM PLANS

3.1 Each new RTA shall submit its initial SSPP (see Section 2.21

and 2.35) to Staff for Commission approval. No new RTA

shall begin transit operations prior to Commission approval

of its initial SSPP. Each RTA shall annually certify, prior to

February 15th of each year, by a letter to Staff that it has

reviewed the SSPP to determine whether the plan should be

modified or updated. If a RTA determines revisions of the

SSPP are necessary, the RTA shall submit the revised SSPP

to Staff with a request for approval. If the revised SSPP is

acceptable to Staff, Staff shall issue a formal letter to the

RTA approving the revised SSPP as consistent with Section

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3.2, best industry practices, and in furtherance of the

public’s interest in system safety and security. If it is not

acceptable, Staff shall provide written explanation of the

reasons for its rejection to the RTA, and if the RTA disagrees,

it shall file a formal application seeking approval by the

Commission.

3.2 The SSPP shall include, at a minimum:

a. A policy statement signed by the RTA’s accountable

executive that endorses the safety program and

describes the authority that establishes the SSPP.

b. A clear definition of the goals and objectives for the

safety program and stated management

responsibilities to ensure they are achieved.

c. An overview of the RTA’s management structure,

including:

i. An organization chart;

ii. A description of how the safety function is integrated

into the entire RTA organization; and

iii. The line of authority and responsibility for safety

related matters.

d. The process used to control changes to the SSPP,

which must at least:

i. Specify annual assessment for updating the SSPP; and

ii. Require coordination with the Commission and provide

timeframes for submission, revision, and approval.

e. A description of the specific activities required to

implement the system safety program, including:

i. Tasks to be performed by the rail transit safety

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function, by position and management accountability,

specified matrices and/or narrative format; and

ii. Safety related tasks to be performed by other rail

transit departments, by position and management

accountability, specified matrices and/or narrative

format.

f. A description of the process used by the RTA to

implement its hazard management program including

activities for:

i. Hazard identification;

ii. Hazard investigation, evaluation and analysis;

iii. Hazard mitigation, control, and elimination;

iv. Hazard tracking; and

v. Requirements for ongoing reporting to the Commission

in relation to hazard management activities and

status.

g. A description of the process used by the RTA to ensure

that safety concerns are addressed in modifications to

existing systems, vehicles, and equipment that do not

require formal safety certification.

h. A description of the safety certification process used to

ensure that safety concerns and hazards are

adequately addressed prior to initiation of Projects and

subsequent Projects to extend, rehabilitate, or modify

an existing system, or to replace vehicle and

equipment. (Refer to Sections 11 and 12 for Project

Requirements for Safety Certification Plan and

Requirements for Safety Certification Verification

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Report.)

i. A description of the process used to collect, maintain,

analyze, and distribute safety data within the RTA, to

ensure the safety function receives the necessary

information to support implementation of the system

safety program.

j. A description of the process used to perform accident

notification, investigation, and reporting, including:

i. Notification thresholds for internal and external

organizations;

ii. Accident investigation process and references to

procedures;

iii. The process used to develop, implement, and track

corrective actions that address investigation findings;

iv. Reporting to internal and external organizations; and

v. Ensuring full participation and coordination with the

Commission.

k. A description of the process used to develop an

approved, coordinated schedule for all emergency

management program activities, including:

i. Meetings with external agencies;

ii. Emergency planning responsibilities and requirements;

iii. A process used to evaluate emergency preparedness,

including a plan for and the frequency of emergency

drills;

iv. After action reports and implementation of findings;

v. Revision and distribution of emergency response

procedures;

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vi. Familiarization training for public safety organizations;

and

vii. Employee training.

l. A description of the process used to ensure that

planned and scheduled internal safety reviews are

performed to evaluate compliance with the SSPP,

including:

i. Identification of the departments and functions subject

to review;

ii. Responsibility for scheduling reviews;

iii. The process for conducting reviews, including the

development of the checklists and procedures and

issuing of findings;

iv. Reporting requirements;

v. Tracking the status of recommendations and CAPs;

and

vi. The means for ensuring full participation and

coordination with Staff.

m. A description of the process used to develop, maintain,

and ensure compliance with rules and procedures

having a safety impact, including:

i. Identification of operating and maintenance rules and

procedures subject to review;

ii. Techniques used to assess the implementation of

operating rules and procedures by employees, such as

performance testing;

iii. Techniques used to assess the effectiveness of

supervision relating to implementation of operating

GENERAL ORDER 164-E

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and maintenance rules; and

iv. A process for documenting results and incorporating

them into the hazard management program.

n. A description of the process used for facilities and

equipment safety inspections, including:

i. Identification of the facilities and equipment subject to

regular safety related inspection and testing;

ii. Techniques used to conduct inspections and testing;

iii. Inspection schedules and procedures; and

iv. Description of how results are entered in the hazard

management process.

o. A description of the maintenance audits and

inspections program, including identification of the

affected facilities and equipment, maintenance cycles,

documentation required, and the process for

integrating identified problems into the hazard

management process.

p. A description of the training and certification program

for employees and contractors, including:

i. Categories of safety-related work requiring training

and certification and the required retraining and

recertification period for each category;

ii. A description of the training/retraining and

certification/recertification program for employees and

contractors in safety-related positions;

iii. Process used to maintain and access employee and

contractor training records; and

iv. A process used to assess compliance with training and

GENERAL ORDER 164-E

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certification requirements.

q. A description of the configuration management control

process, including:

i. The authority required to make configuration changes;

ii. A process for making changes; and

iii. A process and assurances for notifying all involved

departments.

r. A description of the safety program for employees and

contractors that incorporates the applicable local, state

and federal requirements, including:

i. Safety requirements that employees and contractors

must follow when working on, or in close proximity to,

RTA property; and

ii. Processes for ensuring that employees and contractors

know and follow the requirements.

s. A description of the hazardous materials program,

including the process used to ensure knowledge of and

compliance with program requirements.

t. A description of the drug and alcohol program and the

process used to ensure knowledge of and compliance

with program requirements.

u. A description of the measures, controls, and

assurances in place to ensure that safety principles,

requirements and representatives are included in the

procurement process.




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safety procedures and practices of the RTA comply with its

SSPP. RTA shall permit Staff to have access to all facilities,

documents, and records, and shall provide reports when

requested.


implementation of its SSPP by Staff at least once every three

years to verify compliance with and evaluate the

effectiveness of the SSPP. Staff may conduct the on-site

review with its own personnel or by employing the services of

a contractor other than the RTA.


issue a resolution based upon the Staff findings and


the SSPP and the need, if any, for updating the plan.

4 REQUIREMENTS FOR SYSTEM SECURITY PLANS

4.1 Each new RTA shall submit its initial Security Plan to Staff

for Commission approval. No new RTA shall begin transit

operations prior to Commission approval of its initial

Security Plan. Each RTA System Security Plan must be

developed and maintained as a separate document and shall

not be part of the RTA’s SSPP. Each RTA shall annually

certify, prior to February 15th of each year, to the

Commission by letter to Staff, that it has reviewed the

Security Plan to determine whether the plan should be

modified or updated. If a RTA determines revision of the

Security Plan is necessary, the RTA shall submit the revised

Security Plan to Staff with a request for approval. If the

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revised Security Plan is acceptable to Staff, Staff shall issue a

formal letter to the RTA approving the revised Security Plan

as consistent with Section 4.3, best industry practices, and

in furtherance of the public’s interest in system safety and

security. If it is not acceptable, Staff shall provide written

explanation of the reasons for its rejection to the RTA, and if

the RTA disagrees, it shall file a formal application seeking

approval by the Commission.

4.2 The Security Plan shall address the personal security of

passengers, employees, and the general public. FTA’s

applicable report shall serve as a set of guidelines for

preparation of the Security Plan. Procedural details that the

RTA classifies as confidential information to prevent or

mitigate breaches of security shall not be revealed in the

Security Plan. RTAs should identify all information they

deem confidential for security purposes pursuant to Public

Utilities Code Section 583.

4.3 At a minimum, the Security Plan shall address the following:

a. Identify the policies, goals, and objectives for the

security program endorsed by the RTA’s accountable

executive.

b. The process for managing threats and vulnerabilities

during operations, and for Projects, extensions, new

vehicles and equipment, including integration with the

safety certification process.

c. The controls in place that address the personal

security of passengers and employees.

d. The process for conducting internal security reviews to

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evaluate compliance and measure the effectiveness of

the Security Plan.

e. The process for making the Security Plan and

accompanying procedures available to the Commission

for review and approval.

f. The process for notifying, investigating, and reporting

security breaches.




security procedures and practices of the RTA comply with its

Security Plan. RTA shall permit Staff access to all facilities,

documents, and records.


implementation of its Security Plan by Staff at least once

every three years to verify compliance with and evaluate the

effectiveness of the Security Plan. Staff may conduct the on-

site review with its own personnel or by employing the

services of an organization other than the RTA.


issue a decision based upon Staff findings and


the Security Plan and the need, if any, for updating the plan.

5 REQUIREMENTS FOR INTERNAL SAFETY AND SECURITY

AUDITS

5.1 Each RTA shall annually perform planned and scheduled

internal safety and security audits to evaluate compliance

GENERAL ORDER 164-E

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and measure the effectiveness of its SSPP and Security Plan.

5.2 All of the elements described in Sections 3 and 4, and the

RTA’s SSPP and Security Plan shall be included in the scope

of the activities to be audited by each RTA. This total scope

must be completely covered by the internal safety and

security audit conducted within a 3-year period, and every 3-

year period thereafter.

5.3 Each RTA shall prepare a schedule of internal safety and

security audits to be performed during each calendar year.

5.4 Each RTA shall submit this schedule, including any

subsequent changes, to Staff at least 30 calendar days

before any scheduled audits.

5.5 Each RTA shall perform each internal safety and security

audit in accordance with written checklists by personnel

technically qualified to verify compliance and judge the

effectiveness of the SSPP activity or Security Plan activity

being audited. Each RTA shall provide the checklists to

Staff prior to the audit. The auditors may be

organizationally assigned to the unit responsible for

management of the activity being audited, but they must be

independent from the first line of supervision responsible for

performance of the activity being audited.

5.6 Each RTA shall document the internal safety and security

audit in an annual report that covers the audits performed

during each calendar year.

a. The annual report shall state the results of each audit

in terms of the adequacy and effectiveness of the SSPP

and the Security Plan. It shall include the status of

GENERAL ORDER 164-E

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subsequent findings and corrective actions.

b. Prior to the 15th of February each year, the RTA shall

submit to Staff the annual report for the internal

safety and security audits performed during the

preceding year for initial evaluation.

c. The annual report must be accompanied by a formal

letter of certification signed by the RTA’s accountable

executive indicating that the RTA is in compliance with

its SSPP and Security Plan. If the RTA determines that

findings from its internal safety and security audits

indicate that the RTA is not in compliance with its

SSPP or Security Plan, the accountable executive must

identify the activities the RTA will take to achieve

compliance.

d. Staff shall perform an initial evaluation of the RTA’s

Internal Safety and Security Audit Annual Report and

indicate whether Staff will recommend its approval or

its rejection to the Commission. If Staff recommends

rejection, Staff shall identify the areas in the report

that, in Staff’s determination, require correction. The

RTA shall have the option to revise the report and

resubmit to Staff. If the RTA does not agree with the

rejection, RTA shall meet and confer with Staff in an

effort to resolve the disagreement. If no resolution is

achieved through negotiation, the RTA shall apply to

the Commission for approval pursuant to the formal

application procedure under the Commission’s Rules

of Practice and Procedure. If Staff recommends

GENERAL ORDER 164-E

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approval, it shall issue a formal letter approving the

report as consistent with the plans approved under

Sections 3 and 4.

6 REQUIREMENTS FOR HAZARD MANAGEMENT PROCESS

Each RTA SSPP’s discussion of the hazard management

process shall include a process to identify and resolve hazards

during operations, including any hazards resulting from system

extensions and modifications, operational changes or other

changes within the rail transit environment. The hazard

management process must, at a minimum:

a. Define the approach to hazard management and the

implementation of an integrated system-wide hazard

resolution process.

b. Specify the sources of, and mechanisms to support the

on-going identification of hazards.

c. Define the process by which identified hazards are

evaluated and prioritized for elimination or control.

d. Identify the mechanism used to track to resolution the

identified hazard(s).

e. Define minimum thresholds for the notification and

reporting of hazard(s) to Staff.

f. Specify the process for reporting of hazard resolution

activities to Staff.

7 REQUIREMENTS FOR REPORTING EVENTS

7.1 Each RTA shall submit notification of immediately reportable

accidents to the Commission in the manner directed by

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Staff. An immediately reportable accident is one that meets

or exceeds the thresholds established in Section 7.2. The

RTA shall notify Staff within two hours of any immediately

reportable accident.

7.2 Immediately reportable accidents include:

a. A fatality (occurring at the scene, or within 30 calendar

days following the accident);

b. One or more persons suffering serious injury, as

defined in Section 2.33;

c. A collision involving a rail transit vehicle and any other

vehicle, object, or individual;

d. A derailment of any rail transit vehicle at any location,

at any time, whatever the cause; or

e. A runaway train.

7.3 The RTA shall provide as part of the notification:

a. The time and date of the accident;

b. The location of the accident, including the

Commission highway-rail grade crossing number, if

applicable;


d. The rail transit vehicles involved in the accident, if any;

e. The factor from Section 7.2 that makes the accident

immediately reportable;

f. Narrative description of the accident, as known at the

time of reporting; and

g. The emergency response organizations at the scene of

the accident.

7.4 Concurrent notification to the FTA is required for all

GENERAL ORDER 164-E

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immediately reportable accidents.

7.5 A RTA that shares track or with shared rights-of-way with

the general railroad system and is subject to the FRA

accident notification requirements, shall, within two hours,

notify Staff of any accident requiring notification to the FRA.

7.6 Each RTA shall submit written accident reports on forms

prescribed by Staff. Each RTA shall submit such written

reports within 30 calendar days after the last day of the

month in which the accident occurred. Each RTA shall file

written reports for all immediately reportable accidents and

develop sufficient records for Safety Management System

(SMS) analysis.

7.7 Each RTA shall file a monthly accident corrective action

summary report. Each RTA shall file this report in a format

acceptable to Staff within 30 calendar days from the last day

of the month covered. Each RTA shall file the monthly

summary report whether or not any reportable accident

occurred during the month.

7.8 Each RTA shall report incidents to FTA within 30 days via

the National Transit Database and develop sufficient records

for SMS analysis. If a RTA or Staff later determines that an

incident meets the definition of an accident, that event must

be reported as set forth in Sections 7.1 through 7.7.

Incidents include the following:


b. One or more injuries requiring medical transportation

away from the event; and

c. Damage to facilities, equipment, rolling stock or

GENERAL ORDER 164-E

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infrastructure that disrupts the operations of a rail

transit agency.

7.9 Each RTA shall collect, track and analyze data on

occurrences to reduce the likelihood of recurrence, inform

the practice of SMS and make available for Staff and/or FTA






e. Damage to catenary or third–rail equipment that do

not disrupt operations; and


8 REQUIREMENTS FOR INVESTIGATING ACCIDENTS

8.1 Although the Commission is ultimately responsible for the

sufficiency and thoroughness of all accident investigations,

each RTA shall investigate, on behalf of the Commission, all

reportable accidents involving a rail transit vehicle or taking

place on rail transit agency-controlled property. Staff may

also perform a separate, independent investigation of any

such accident.

8.2 The accident investigations performed by each RTA shall be

conducted in accordance with written procedures. Each

RTA Accident Investigation Procedure, including any

changes, shall be submitted to Staff for review.

8.3 When investigating accidents that require immediate

notification per Section 7.2, the RTA shall:

GENERAL ORDER 164-E

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a. Notify Staff when additional investigation is conducted by an

investigation team or panel performing interviews, questioning

witnesses, or conducting inspections, measurements,

examinations, or tests, etc. as part of the investigation beyond

the initial on scene investigation;

b. Provide for Staff’s participation to the fullest extent

possible in accident investigations, and make all

information related to the accident investigation,

including data from event recorders, available to Staff

for review;

c. Document in a written report each item investigated,

the investigation findings, the most probable cause of

the accident, contributing causes, and

recommendations for corrective action to prevent a

recurrence of the accident;

d. If necessary, prepare a CAP as a part of the

investigation report or in a separate document. (For

CAP detail refer to Section 9);

e. Submit its final investigation report within 60 calendar

days of the occurrence of the accident. If the

investigation takes longer than 60 calendar days to

complete, the RTA shall submit interim status reports

every 30 calendar days; and

f. If the final investigative report is acceptable to Staff,

Staff shall issue a formal letter to the RTA approving

the report as consistent with best industry

investigation procedures and in furtherance of the


GENERAL ORDER 164-E

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not acceptable, Staff shall identify the areas in the

report to be corrected. If the RTA does not agree with

the rejection, Staff shall either conduct its own

investigation, or communicate its disagreement with

the findings of the accident investigation to the RTA

and meet and confer with the RTA in an effort to make

mutually agreeable findings. If such agreement is not

reached, the RTA’s report and a statement of the

reasons why Staff disagrees shall be formally filed with

the Commission.

8.4 No Investigation report or recommendation of the

Commission, nor any investigation report of a RTA submitted

to the Commission, shall be admissible as evidence in any

action for damages based on or arising out of matters

covered therein, pursuant to Public Utilities Code

Section 315.

9 REQUIREMENTS FOR CORRECTIVE ACTION PLANS

9.1 Rail Transit Agencies shall develop CAPs for the following:

a. Results from investigations, in which identified causal

and contributing factors are determined by RTA or

Staff as requiring corrective actions.

b. Recommendations contained in the Staff triennial

safety and security review reports as adopted by the

Commission.

c. The RTA’s Internal Safety Audit findings, as required

by Section 5 of this General Order.

d. Inspection findings identified by Staff through its

inspection reports issued to the RTAs.

GENERAL ORDER 164-E

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e. Hazards identified by the RTA through its hazard

management process, when appropriate.

9.2 Each RTA shall submit an investigation CAP to Staff within

60 calendar days of the occurrence of the accident as part of

the investigation report or in a separate document. If the

CAP implementation takes longer than 60 calendar days to

complete, the RTA shall submit interim status reports every

30 calendar days. The CAP shall identify the action to be

taken with an accompanying implementation schedule, and


implementation.

9.3 Each RTA shall submit a CAP based on the

recommendations contained in the Staff triennial safety and

security review reports as adopted by the Commission. The

CAP shall identify the action to be taken with an

accompanying implementation schedule, and the individual

or department responsible for the implementation. Each RTA

shall submit to Staff CAP interim status reports according to

the Commission Resolution.

9.4 Each RTA shall submit a CAP based on the findings of the

internal safety audit required by Section 5 of this General

Order. The CAP shall identify the action to be taken, with an

accompanying implementation schedule, and the individual

or department responsible for the implementation.

9.5 Each RTA shall submit a CAP based on the findings of any

Staff inspections issued to the RTA. The CAP shall identify

the action to be taken with an accompanying


GENERAL ORDER 164-E

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9.6 Each RTA shall submit each CAP to Staff with a request for

review and approval. If the CAP is acceptable to Staff, Staff

shall notify the RTA approving the CAP as consistent with

Sections 9.1 through 9.5 inclusive, best industry practices,

and in furtherance of the public’s interest in system safety

and security. If it is unacceptable to Staff, Staff shall

identify the areas in the plan that, in its determination,

require correction, and communicate that information to the

RTA. If the RTA does not agree with the rejection, RTA shall

meet and confer with Staff in an effort to resolve this

disagreement. If no resolution is achieved through

negotiation, the RTA shall apply to the Commission for

approval pursuant to the application procedure under the


9.7 Where immediate or emergency corrective actions are

required to ensure immediate safety, the RTA may

implement the corrective action prior to Staff approval,

provided timely notification of the CAP is provided to Staff

and Staff subsequently provided review and approval.

9.8 If the National Transportation Safety Board (NTSB)

investigates an accident involving a RTA, Staff and the RTA

shall meet to address NTSB’s findings and determine the

appropriate corrective actions to be taken based on those

findings and all other information available on the accident.

9.9 Each RTA shall submit to Staff verification that the

corrective action(s) has been implemented as described in

the CAP, or that a proposed alternate action(s) has been

GENERAL ORDER 164-E

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implemented with the agreement of Staff.

9.10 Where corrective actions have been taken prior to the due

date for CAP submittal, evidence of the corrective action

taken may be substituted for submittal of a proposed CAP.

10 REQUIREMENTS FOR AT-GRADE RAIL CROSSINGS

10.1 The procedures described in this section apply to the construction

of all at-grade crossings (crossings) established after the effective

date of this General Order.

10.2 In the initial phase, the RTA shall consult with Staff during the

process of developing a Draft Environmental Impact Report (DEIR)

for projects that require such a document to be prepared. For other

proposed crossings, where a DEIR is not required, the RTA shall

consult with Staff prior to initiating preliminary engineering. The

purpose of this consultation is for the RTA to provide its reasons

and supporting evidence, why the at-grade crossing is not a good

candidate for closure or grade separation. Staff shall provide

feedback by a letter to the RTA. The following information is to be

provided to Staff as part of the consultation:

a. Current and projected rail operations. If the crossing is

planned to be used by other types of trains such as freight

trains, the number, type and speed(s) of trains shall be

provided;

b. Current and projected highway usage – number, type (cars,

trucks, buses, pedestrians, bicyclists, etc.), and speed of

vehicles;

c. Existing and projected facilities that generate traffic in the

area, such as shopping centers, major industries, schools,

GENERAL ORDER 164-E

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entertainment venues, or emergency services (hospitals, fire

stations, police departments, etc.); and

d. Preliminary drawings and/or aerial photographs, or site maps

of the crossing and vicinity – include information on nearby

roads to determine if they can accommodate additional

vehicular traffic if existing intersections are eliminated.

10.3 In the second phase, the RTA shall request Commission

authorization for every crossing during the preliminary engineering

phase of the project. At its option, the RTA may choose either of

the following processes to request Commission approval:

i. Filing a Rail Crossing Hazard Analysis Report (RCHAR) as

outlined below; or

ii. Filing a formal application in accordance with the


10.4 If the RTA chooses option (i) in Section 10.3, it shall submit to Staff

a RCHAR listing every at-grade rail crossing. The RCHAR shall

include the following:

a. Detailed engineering drawings for each at-grade

crossing;

b. Proposed rail operations;

c. Updates of data provided during consultation (see

Section 10.2);

d. Analysis of identified hazards at each proposed at-

grade crossing; such as:

Queuing on tracks

Pedestrian movements

Turning movements

Sightlines

GENERAL ORDER 164-E

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e. Identification of hazard mitigation measures, such as:

Crossing warning devices

Active and passive signs

Median islands

Fencing and channelization

10.5 After a RCHAR that meets the requirements of Section 10.4 is

submitted, Staff shall schedule field diagnostic review meetings,

with all affected agencies, within 60 days after receiving the

RCHAR, to assess the safety aspects of the proposed at-grade

crossing design(s). Within 90 days after the field diagnostic reviews

are completed, Staff shall provide preliminary recommendations to

the RTA pertaining to the design of each at-grade crossing.

10.6 If the RTA accepts Staff’s preliminary recommendations, then those

recommendations will be considered to be final and the RTA shall

submit plans incorporating the changes for approval by


10.7 If the RTA does not accept Staff’s preliminary recommendations,

then the RTA can request a meeting with Staff to discuss the design

of the at-grade crossings. Within 30 days after this meeting, Staff

shall provide their final recommendations to the RTA. If the RTA

accepts Staff’s final recommendations, the RTA shall submit final

plans incorporating the changes for approval by Commission

Resolution.

10.8 If the RTA and Staff cannot reach agreement on the design of

specific at-grade crossings, then the RTA may file a formal

application with the Commission for those crossings, in accordance

with Section 10.3 (ii), where an agreement was not reached.

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10.9 Nothing in this General Order shall preclude the RTA from filing a

formal application in accordance with Section 10.3 (ii) at any point

in the process.

11 REQUIREMENTS FOR SAFETY CERTIFICATION PLAN

11.1 Each RTA shall be responsible for Safety Certification of all

Projects. The RTA shall ensure that all entities involved in

design, construction, operation, and maintenance of all

Projects shall comply with the requirements of the Safety

Certification process.

11.2 Each RTA shall prepare a Project specific Safety Certification

Plan (SC Plan) for each of its Projects. Applicable FTA

guidelines shall be used as a reference.

11.3 Each RTA shall submit the SC Plan to Staff for review and

Commission approval during the preliminary engineering

phase. The RTA shall revise and expand the SC Plan as the

Project progresses, as necessary. The RTA shall file any

revision of the SC Plan with Staff. Within 45 calendar days,

Staff shall approve or reject the proposed revisions.

11.4 The SC Plan shall address safety certification management

including organizational authority and responsibilities, safety

certification activities, processes and procedures, documentation

requirements and responsibilities, and reporting requirements.

11.5 The SC Plan shall describe the controls used to maintain

effective communications and liaison with Staff throughout

the life of the Project. It shall also include procedures to

obtain and adequately address Staff’s written comments on

GENERAL ORDER 164-E

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safety and security design reviews conducted throughout

Project development lifecycle.

11.6 The SC Plan shall identify the process used to verify and

document conformance with safety and security

requirements during design, construction, testing, and

operational readiness. The SC Plan shall include the

following:

a. The hazard management process to conduct safety

hazard analyses and safety hazard resolution. The

document shall include a list of hazard analyses to be

performed. Each RTA shall submit hazard analyses to

Staff upon request.

b. A list of all safety and security design criteria that will

be used in the planning, design, and construction of

Projects.

c. Certifiable elements and sub-elements list.

d. Safety certification audits conducted in accordance

with written checklists to verify compliance and judge

the effectiveness of the SC Plan.

e. Format of Conformance checklists, and a list of the

actual checklists as they become available, the actual

checklists shall be submitted upon request.

f. Safety Certification milestones.

g. Procedure for updates.

12 REQUIREMENTS FOR SAFETY CERTIFICATION VERIFICATION

REPORT

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12.1 Each RTA shall submit a Safety Certification Verification

Report to verify Project compliance with the SC Plan.

12.2 Each RTA shall submit the SCVR to Staff at least 21 calendar days

prior to the start of service. The SCVR shall certify that: (a) all

requirements of the SC Plan have been completed except for listed

open items, if any, (b) that all safety hazards have been adequately

mitigated, and (c) adequate restrictions/workarounds are in place

to ensure the safety of operations until open items are closed. Staff

shall respond to the SCVR within 14 calendar days of filing by

indicating that it approves the SCVR, or identifying areas that are

not acceptable to Staff. Staff shall give its approval of the SCVR by

issuing a formal letter to the RTA. The Staff’s approval letter will

not bind the Commission, but shall constitute provisional

Commission approval. The Project shall not be placed in service

until the SCVR is provisionally approved by Staff in this manner.

12.3 The SCVR shall include a:

a. Letter of Intent to Operate;

b. Final Project Verification of Safety; and

c. Remaining Open Items List, if any, with appropriate

workarounds.

13 COMMISSION APPROVAL

13.1 Where formal Commission approval is required by this General

Order, requests for Commission approval, shall be made by letter to

Staff unless otherwise specified. Staff shall prepare a resolution on

the request for Commission consideration at a public meeting.

GENERAL ORDER 164-E

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13.2 All protests, comments, and appeals of initial Staff determinations

shall be submitted to the Commission pursuant to the


Dated XXXXX xx, 2018, at San Francisco, California.


STATE OF CALIFORNIA

By ALICE STEBBINS Executive Director

state of california edmund g. brown jr.,...

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