Checklist No. · Web viewOn January 22, 2016, staff mailed a letter to SCDOA’s Director, advising...

2016TRIENNIAL SAFETY REVIEW OF

SACRAMENTO COUNTY DEPARTMENT OF AIRPORTS (SCDOA) AUTOMATED PEOPLE MOVER

SYSTEM

RAIL TRANSIT SAFETY BRANCHSAFETY AND ENFORCEMENT DIVISIONCALIFORNIA PUBLIC UTILITIES COMMISSION505 VAN NESS AVENUESAN FRANCISCO, CA 94102

Final ReportNovember 23, 2016

Elizaveta Malashenko, DirectorSafety and Enforcement Division

2016 TRIENNIAL ON-SITE SAFETY REVIEW OF SACRAMENTO COUNTY DEPARTMENT OF AIRPORTS (SCDOA) AUTOMATED

PEOPLE MOVER SYSTEM

ACKNOWLEDGEMENT

The California Public Utilities Commission’s Rail Transit Safety Branch (RTSB) staff conducted this system safety program review. Staff members directly responsible for conducting safety review and inspection activities include:

Daren Gilbert – Rail Transit Safety Branch ManagerStephen Artus – Program and Project SupervisorMike Borer – Supervisor, Transit Operations and Safety

SectionSteve Espinal – Senior Utilities EngineerRaed Dwairi – Utilities Engineer, Triennial Review LeadHoward Huie – Utilities EngineerRobert Hansen – Utilities EngineerAdam Freeman – Inspector Kevin McDonald – Inspector

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TABLE OF CONTENTS

Page

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

2. INTRODUCTION ..........................................................................................2

3. BACKGROUND .............................................................................................3

SCDOA APM System Description ...........................................................3

4. SAFETY REVIEW PROCEDURE ...................................................................6

5. FINDINGS AND RECOMMENDATIONS.......................................................7

APPENDICES

A. Abbreviations and Acronyms List ................................................................12

B. SCDOA 2016 Triennial Safety Review Checklist Index................................14

C. SCDOA 2016 Triennial Safety Review Recommendations List....................15

D. SCDOA 2016 Triennial Safety Review Checklists........................................16

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1. EXECUTIVE SUMMARY

The California Public Utilities Commission’s (Commission) Safety and Enforcement Division (SED), Rail Transit Safety Branch staff (staff) conducted an on-site system safety program review of Sacramento County Department of Airports (SCDOA) Automated People Mover System (APM) in February 2016.

The 2016 triennial review was preceded by a pre-review conference with SCDOA personnel on February 22, 2016. The previous review was conducted in October 2012, however due to scheduling concerns; this review was delayed to February, 2016.

Staff conducted the 2016 SCDOA safety review from February 22 through February 25, 2016. The review focused on verifying the effective implementation of the System Safety Program Plan.

Staff held a post-review conference with SCDOA personnel following the on-site safety review on March 11, 2016. Staff provided SCDOA personnel with a synopsis of the preliminary review findings and preliminary recommendations for corrective actions.

The review results indicate that SCDOA has a comprehensive System Safety Program Plan (SSPP). However, staff noted 1 exception during the review. This exception is described in the Finding and Recommendation section of the checklist covering the Drug & Alcohol Program. Of the 23 checklists, staff made 1 recommendation or finding requiring corrective actions.

The Introduction for this report is presented in Section 2. The Background, in Section 3, contains a description of SCDOA APM system. Section 4 describes the review procedure. The findings and recommendations are depicted in Section 5. A listing of the Abbreviations and Acronyms is in Appendix A. The 2016 SCDOA Triennial Safety Review Checklist Index and the Recommendations List are included, respectively, in Appendices B and C. The Triennial Safety Review Checklists are presented in Appendix D.

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2. INTRODUCTION

The Commission’s General Order (GO) 164-D, Rules and Regulations Governing State Safety Oversight of Rail Fixed Guideway Systems, and the Federal Transit Administration’s (FTA) Rule, Title 49 Code of Federal Regulations (CFR) Part 659, Rail Fixed Guideway Systems: State Safety Oversight, require the designated State Safety Oversight Agencies to perform a review of each rail transit agency’s system safety program at a minimum of once every three years. The purpose of the triennial review is to verify compliance and evaluate the effectiveness of each rail transit agency’s System Safety Program Plan (SSPP) and to assess the level of compliance with GO 164-D as well as other Commission safety requirements. This is the second triennial on-site safety review of the SCDOA.

On January 22, 2016, staff mailed a letter to SCDOA’s Director, advising that the Commission’s safety review had been scheduled February 22-26, 2016. The letter included 27 checklists that served as the basis for the review. Five of the 23 checklists outlined inspections of vital relays, electric power systems, and vehicles. The remaining checklists focused on the verification of the effective implementation of the SCDOA SSPP.

The 2016 SCDOA triennial safety review consisted of on-site physical inspections of vital relays, vehicles, electric power systems, observations of the day to day duties performed by SCDOA employees from various job classifications, records review of SSPP elements, SCDOA standard operating procedures (SOPs), and other SCDOA rules during February 22-26, 2016. At the conclusion of each review activity, staff provided SCDOA representatives with a verbal summary of the preliminary findings and discussed any recommendations for corrective action.

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3. BACKGROUND

A. SCDOA APM System DescriptionSCDOA has embarked on a Sacramento International Airport (SMF) development process to identify and implement the vision developed in the SMF Master Plan to modify existing airport infrastructure and develop new facilities through the year 2020. The Master Plan was approved by the Sacramento County Board of Supervisors (BOS) in February 2004.Completed concurrently with the Master Plan was the Terminal Modernization Program (TMP), which included preliminary facilities requirements, terminal complex alternatives, and evaluation of four terminal development concepts, two of which included an APM system. The BOS approved the selection of the preferred terminal development concept which was ranked highest with respect to long term strategic, operational, environmental, feasibility / constructability, and customer service. A key decision factor was that this allowed the existing Terminal B to continue in operation while its replacement was constructed.Through authorization from the BOS in June 2007, SCDOA has contracted with Bombardier Transportation Holding (BTH) for the design, supply, installation, and Operations & Maintenance (O&M) of an airport APM System at SMF as part of the TMP. The APM System includes a completely automated dual lane shuttle offering passengers a connection between the Central Terminal B and Airside Concourse B. General system and operating characteristics are given in Table 1-1 and the configuration of the APM system is provided in Figure 1-1. The complete system includes power distribution, power rail and vehicle power collector assemblies and interface, communication system, the CITYFLO 650 communications-based train control system required to operate the system, automatic station platform doors, and CX-100 vehicles. The CX-100 vehicle is a fully automated, air-conditioned vehicle capable of operating twenty-four hours per day. Major APM facilities consist of:

An elevated dual-lane exclusive guideway with an emergency/backup walkway located between guideways

Two passenger stations with flow-through configurations (one center platform and two side platforms) located on level three on of the Central Terminal B building and level two of the Concourse B building

A maintenance facility located on level one under the Airside Concourse B station

A Central Control room located within the maintenance facility Two equipment rooms, each on level one of their respective buildings:

Central Terminal B and Concourse B A power distribution substation located on level one of Central Terminal

B

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The APM System is designed for two 2-car trains ; it currently operates in a 1-car train configuration for each direction. The System will be expanded with additional vehicles when deemed necessary by SCDOA to accommodate passenger growth.

Table 1-1 SMF APM System CharacteristicsFacilities & TrainsStations 2Route length 1100 feet per lane

Trains in service 2, initially 1-car, ultimately 2-car

Maintenance Facility 1Central Control Room 1Estimated Rider ship (passengers per hour per direction)Initial 2300Ultimate 3000OperationsPeak period Dual Lane ShuttleOff-peak period Single Lane ShuttleNight period On-call Single Lane ShuttleAverage Round Trip Time

Approx 3.0 minutes

Cruise Speed Approx 20 mphOperating Hours 24 / 7 / 365

Figure 1-1 SMF APM System and Facility Configuration

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The APM operates wholly on the SMF property, mostly above the Airside Concourse B apron. It is intended for airline, airport employees/tenants and ticketed passengers only. Departing APM passengers and their carry-on luggage are not cleared through TSA security and no checked luggage is carried on the APM System. Baggage is transported from the Central Terminal B building to the Airside Concourse B. Arriving passengers traveling from Concourse B to Central Terminal B will be originating from the secure side of the Airport, having cleared security at their airport of origin.Scheduled maintenance for the System occurs during the night period to minimize interference with passenger service. Any unscheduled maintenance takes place as needed, taking into consideration the need for safe and reliable service for airport patrons and employees.APM Ridership numbers for paying passengers who have departed and arrived at the airport via airplane and utilized the APM system as of September 2016 was 10 million passengers.

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4. SAFETY REVIEW PROCEDURE

Staff conducted the 2016 safety review in accordance with Rail Transit Safety Branch Procedure RTSS-4, Procedure for Performing Triennial Safety and Security Reviews of Rail Transit Systems. Staff developed 27 checklists to evaluate the adequacy of SCDOA’s system safety program and the efficacy of its implementation. The safety evaluation included the system’s various departments, programs and processes which have system safety functions and responsibilities. It is based on Commission and FTA requirements, SCDOA’s System Safety Program Plan, safety related SCDOA documents, and the staff’s knowledge of the APM system. A list of the 27 checklists is contained in Appendix B.

Each checklist identifies safety-related elements and characteristics inspected and/or reviewed by staff. The checklists substantiate compliance with Commission rules and regulations, SCDOA reference documents, as well as, relevant rules and policies which establish the safety program requirements. The completed checklists include staff’s findings and recommendations for any findings indicating non-compliance. In addition to recommendations based on specific findings of non-compliance, the completed checklists may include staff comments designed to improve SCDOA’s system safety program. Finally, the completed checklists may include references to the methods used by staff to evaluate compliance with SCDOA’s System Safety Program Plan. The methods used to perform the review include:

Discussions and interviews with SCDOA management Review of rules, procedures, policies, and records Observations of operations and maintenance activities Interviews with rank and file employees Inspections and measurements of equipment and infrastructure

Upon completion of the safety review and inspection activities associated with each checklist, staff verbally reviewed findings and, if appropriate, preliminary recommendations for corrective actions with the respective SCDOA personnel. This practice not only provides a chance to clear up any misunderstandings about the findings and recommendations, it also provides the SCDOA representative an opportunity to promptly address any necessary safety improvements.

The review checklists concentrated on system safety program requirements that affect the safety of the operations, public, employees, and property, which are important to reducing safety hazards, preventing accidents, and improving safety.

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5. FINDINGS AND RECOMMENDATIONS

The SCDOA 2016 Triennial Safety Review was a comprehensive review of SCDOA’s system safety program elements and their implementation. To achieve that end, staff interviewed management and rank and file employees, reviewed system safety program elements, examined and evaluated selected program records, inspected selected facilities and equipment, and observed various operations and maintenance activities.The reviewers and inspectors concluded that the SCDOA rail system has a comprehensive SSPP and is effectively implementing the plan. The reviewers and inspectors, however, did make 1 recommendation to improve the system safety program. Overall, the review confirms that SCDOA is generally in compliance with its SSPP. Staff’s findings identify one area where changes should be made to further improve SCDOA’s APM system safety by bringing SCDOA into full compliance with its SSPP. The review identified 1 recommendation from the 27 checklists.Listed below, in outline form and in the same order as the checklists, are the SCDOA system safety program’s elements which staff reviewed or inspected. Each entry also includes, when appropriate, a brief summary of findings of non-compliant conditions and recommendations to SCDOA for corrective action.

1. Policy Statement & Authority for SSPP (SCDOA Leadership Involvement and Commitment to Safety)No findings of non-compliance; no recommendations.

2. SSPP Goals & Objectives No findings of non-compliance; no recommendations.

3. Overview of Management Structure No findings of non-compliance; no recommendations.

4. SSPP Control & Update Procedure No findings of non-compliance; no recommendations.

5. SSPP Implementation Activities & Responsibilities No findings of non-compliance; no recommendations.

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6. Hazard Management Process No findings of non-compliance; no recommendations.

7. System ModificationNo findings of non-compliance; no recommendations.

8. Safety and Security CertificationNo findings of non-compliance; no recommendations.

9. Safety Data Collection and AnalysisNo findings of non-compliance; no recommendations.

10. Accident/Incident InvestigationsNo findings of non-compliance; no recommendations.

11. Emergency Management Program No findings of non-compliance; no recommendations.

12. Internal Safety AuditsNo findings of non-compliance; no recommendations.

13-A. Rules ComplianceNo findings of non-compliance; no recommendations.

13-B. Rules Compliance: Operation Safety Compliance Program ReviewNo findings of non-compliance; no recommendations.

14. Facilities Equipment Inspections and MaintenanceNo findings of non-compliance; no recommendations.

15-A. Maintenance Audits and InspectionsNo findings of non-compliance; no recommendations.

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15-B. Maintenance Audits and Inspections – Train Inspections Inspector

No findings of non-compliance; no recommendations.

15-C. Equipment Maintenance Program, Signal System & Vital Relays Maintenance


15-D. Data Transmission System Maintenance No findings of non-compliance; no recommendations.

16. Training and Certification Programs for Employees and ContractorsNo findings of non-compliance; no recommendations.

17. Configuration Management No findings of non-compliance; no recommendations.

18. Local, State, and Federal Requirements and Employee Safety Program


19. Hazardous Materials ProgramsNo findings of non-compliance; no recommendations.

20. Drug and Alcohol ProgramFinding of Non-Compliance:In 2014 approximately 17% (2 of 12) of the employees were administered the drug test and 8% (1 of 12) were administered the alcohol test.

Recommendation:Bombardier shall adhere to their Drug and Alcohol policy AME-5, section 6.3.3 and administered random drug and alcohol tests to 25% and 10% of the safety sensitive employees respectively annually.

21. Procurement ProcessNo findings of non-compliance; no recommendations.

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22. Hours of Service of Train Operators, Train Controllers, Supervisors, and Signal Maintenance TechniciansNo findings of non-compliance; no recommendations.

23. Contractor Safety ProgramNo findings of non-compliance; no recommendations.

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APPENDICES

A. Abbreviations and Acronyms List

B. SCDOA 2016 Triennial Safety Review Checklist Index

C. SCDOA 2016 Triennial Safety Review Recommendations List

D. SCDOA 2016 Triennial Safety Review Checklists

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APPENDIX A

ABBREVIATIONS and ACRONYMS LIST

Abbreviation / Acronym Description

APM Automated People MoverATCS Automatic Train Control SystemBOS Board of SupervisorsBTH Bombardier Transportation HoldingCAO Chief Administrative OfficerCFR Code of Federal RegulationsCommission California Public Utilities CommissionCPUC California Public Utilities CommissionDTS Data Transmission SystemFAA Federal Aviation AdministrationFMI Field Modification InstructionFTA Federal Transit AdministrationGO General OrderHSE Health Safety & EnvironmentMMIS Maintenance Management Information SystemMSDS Material Safety Data SheetO&M Operations and MaintenanceRTSB Rail Transit Safety BranchSED Safety and Enforcement DivisionSCDOA Sacramento County Department of AirportsSMF Sacramento International AirportSOP Standard Operating ProcedureSSC Safety & Security CommitteeSSCP Safety and Security Certification PlanSSP System Security PlanSSPP System Safety Program PlanStaff Safety and Enforcement Division personnelTCA Temporary Change AuthorizationTMP Terminal Modernization ProgramTSA Transportation Security Administration

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APPENDIX B

2016 SCDOA TRIENNIAL SAFETY REVIEW CHECKLIST INDEX

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Checklist No.

Element / Characteristic Checklist No. Element / Characteristic

1

Policy Statement & Authority for RSSPP (SCDOA Leadership Involvement and Commitment to Safety)

14 Facilities Equipment Inspections and Maintenance

2 SSPP Goals & Objectives 15-A Maintenance Audits and Inspections

3 Overview of Management Structure 15-B Maintenance Audits and Inspections – Train Inspections

4 SSPP Control & Update Procedure 15-C Equipment Maintenance Program, Vital Relay Maintenance

5SSPP Implementation Activities & Responsibilities 15-D Data Transmission System

Maintenance

6 Hazard Management Process 16 Training and Certification Programs for Employees and Contractors

7 System Modification 17 Configuration Management

8 Safety and Security Certification 18Local, State, and Federal Requirements and Employee Safety Program

9 Safety Data Collection and Analysis 19 Hazardous Materials Programs

10 Accident/Incident Investigations 20 Drug and Alcohol Program

11 Emergency Management Program 21 Procurement Process

12 Internal Safety Audits 22 Hours of Service – Controllers, Train Operators & Maintainers

13-A Rules Compliance 23 Contractor Safety Program

13-BRules Compliance – Operation Safety

APPENDIX C

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2016 SCDOA TRIENNIAL SAFETY REVIEW RECOMMENDATION LIST

No.

Recommendation Checklist No.

1 Bombardier shall adhere to their Drug and Alcohol policy AME-5, section 6.3.3 and administer random drug and alcohol tests to 25% and 10% of the safety sensitive employees respectively annually.

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APPENDIX D

2016 SCDOA TRIENNIAL SAFETY REVIEW CHECKLISTS

2016 CPUC SYSTEM SAFETY REVIEW CHECKLIST FORSACRAMENTO COUNTY DEPARTMENT OF AIRPORTS

Checklist No. 1 Subject

Policy Statement and Authority for System Safety Program Plan (Leadership Involvement and Commitment to Safety)

Date of Review

February 22, 2016

Department(s)

Sacramento County Department of Airports (SCDOA) Leadership, Safety and Security Committee (SSC)

Reviewers/Inspectors

Daren GilbertMike Borer

Stephen ArtusSteve EspinalRaed Dwairi

Person(s) Contacted

John Wheat, Director of AirportsTJ Chen, CAOChris Martin, APM ManagerDavid Delemos, Facilities Coordinator

REFERENCE CRITERIA

1. General Order 164-D2. SCDOA System Safety Program Plan (SSPP), Revision 7.

ELEMENT/CHARACTERISTICS AND METHOD OF VERIFICATION

Policy Statement and Authority for SSPP (SCDOA Leadership Involvement and Commitment to Safety)Interview SCDOA Chief Administrative Officer (CAO) and Airport Manager of Facilities to determine and discuss:1. Source, frequency, and depth of safety information provided to the CAO,

whether safety is included as a regular topic at SCDOA SSC meetings, and whether SCDOA Safety gives reports at SSC Meetings.

2. Methods included in the management performance system to facilitate a system safety culture within the organization.

3. Formal meetings held and attended by SCDOA Leadership to discuss safety performance (such as ongoing evaluation of goals and targets).

4. SCDOA awareness of high priority safety issues related to operations & maintenance of the APM system.

5. SCDOA CAO awareness of the status of all corrective actions including those initiated by accidents, hazardous conditions, internal safety & security audits, CPUC triennial reviews, and CPUC inspections.

6. Safety issues regarding interagency coordination among various contractors.RESULTS/COMMENTS

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Activities:

Staff interviewed the Director of Airports and the CAO and determined the following in summary:

1) SCDOA contracts out many features relating to the APM system and built a mission statement around safety and judges APM on performance and accomplishing this mission. It coordinates very closely with its contractors such as those delivering services such as window washing and pest control and only provides access to safety-sensitive areas with escort.

2) Sources of safety information can be from anyone at airport operations or the public. The Safety and Security Committee (SSC) meets on quarterly basis with six managers at the meeting. Operations Safety representative briefs upper management at least once every two weeks so leadership is involved in the safety of the APM system.

3) Customer feedback comes from the website in e-mail form and when it is specific to the APM system is passed along to the SSC.

4) There have been no claims filed from passengers of the APM system.5) BTH produces a statistical report which includes metrics of uptime that

goes up to upper management.6) The APM Administrator and the Contractor personnel review preventive

maintenance records once a week and views videos of any incidents to determine whether or not any complaints have merit or not.

7) The Hazard Management Process was followed when an employee’s foot slipped on the APM guideway and all employees know about potential hazards and sign off on how to safely and effectively work in the APM environment.

8) SCDOA measures performance on how well they do on safety-regulated inspections. It welcomes all inspections even those that are unannounced.

9) Formal safety & security meetings are held on quarterly basis with meeting minutes kept and issues tracked.

10) Data tracking & reporting bring high priority safety issues to attention.11) Internal safety audit process, maintenance bay reviewed for QA/QC,

and security camera system all contribute to bringing any safety or security issues to the forefront for resolution.

12) The Director is aware of any outage that occurs on the APM system and receives copies of inspection reports which in turn are discussed at the SSC meetings.

13) CAPs are jointly developed & implemented with Bombardier which provides expertise.

Findings:None.

Comments:None.

Recommendations:17

None.


Checklist No. 2 Subject System Safety Program Plan Goals &

Objectives

Date of Review

February 22, 2016

Department(s)



Daren GilbertSteve Artus

Steve EspinalRaed Dwairi

Person(s) Contacted

John Wheat, Director of AirportsTJ Chen, CAOChris Martin, APM ManagerDavid Delemos, Facilities Coordinator

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Mike Borer

REFERENCE CRITERIA



SSPP Goals and ObjectivesConduct an interview with SCDOA and review appropriate records to:1. Determine if the SSPP goals and objectives have been achieved.2. Obtain examples of how goals are evaluated (metrics/measures) and review

documentation used to measure and track SCDOA activity to meet the goals and objectives (for example, if SCDOA set a goal of reducing incidents by 10%, has this been achieved? Where is it tracked and reported?).

3. Determine how safety performance is reported to the Chief Administrative Officer (CAO) or Leadership.

4. Make a determination regarding the adequacy of the safety information provided to the SCDOA CAO (is CAO receiving sufficient information to ensure SCDOA is meeting its safety goals and objectives? Are rule(s) violations and other key safety measurements being tracked and reported to the CAO?).

5. Determine whether the stated goals and objectives should be revised.6. Determine whether management responsibilities are adequately identified for

the goals and objectives.RESULTS/COMMENTS

Activities:Staff interviewed the Director of Airports and the CAO and determined the following in summary:

1. Goals have been achieved since hazards are evaluated as required and videos from cameras are reviewed with no lost time incidents.

2. Although there are no specific measures or metrics for the evaluation of goals, SSC meeting minutes provided the necessary documentation that reflected that these are being met.

3. SSC meeting minutes are sent to the CAO on a regular basis so safety performance is being reported to the CAO.

4. SSPP has been revised and changes introduced as appropriate.

Findings:None.

Comments:None.

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Recommendations:None.


Checklist No. 3 Subject Overview of Leadership Structure

Date of Review

February 22, 2016

Department(s)



Daren GilbertStephen ArtusSteve EspinalRaed DwairiMike Borer

Person(s) Contacted

David Delemos, Facilities CoordinatorKathy Sutton, Associate Adm. Analyst IIChris Martin, APM Manager

REFERENCE CRITERIA



Overview of Management StructureConduct an interview with SCDOA SSC and review appropriate records to:1. Discuss SCDOA process to integrate safety into SCDOA operations and

maintenance activities.2. Solicit opinions regarding the effectiveness of the organization and request a

few examples of how this organization has worked to resolve identified safety

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issues.3. Determine if there are specific needs such as the ability to maintain schedules

for SSPP updates and key activities, such as internal safety & security audits and accident investigations SCDOA SSC cannot meet due to limitations in personnel or resources.

4. Review SSC meeting minutes from the past year to verify that the meetings followed the SSPP requirements.

RESULTS/COMMENTS

Activities:

1. SSC meeting minutes were reviewed which show how safety is integrated into operations & maintenance activities. The hazard analysis process is followed for work orders & escorts, SOPs from Bombardier. Rulebook and access control are reviewed by the airport.

2. Bombardier procedures were reviewed to ensure that they do not contradict with each other. Irregular operations were a cooperative effort which shows the effectiveness of the organization to resolve identified safety issues.

3. All internal audits were conducted as required and annual certification letters prepared and submitted. SSC meeting minutes were discussed which show that all safety & security requirements are being met.

Findings:None.

Comments:None.


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Checklist No. 4 Subject SSPP Control & Update Procedure

Date of Review

February 22, 2016

Department(s)

Sacramento County Department of Airports (SCDOA) Leadership, Safety and Security Committee (SSC),


Daren GilbertStephen ArtusSteve EspinalRaed DwairiMike Borer

Person(s) Contacted

David Delemos, Facilities CoordinatorKathy Sutton, Associate Adm. Analyst IIChris Martin, APM Manager

REFERENCE CRITERIA



SSPP Control & Update ProcedureConduct an interview with SCDOA SSC and review appropriate records to:1. Ensure the SSC understands the requirements and is implementing them.2. Verify the required annual SSPP review process is being implemented

according to the approved process specified in the SSPP (review responsibility, internal timeframes, comprehensiveness, and sign-offs).

RESULTS/COMMENTS

Activities:Staff interviewed airport representative in charge of SSPP control & update procedures and reviewed relevant records and determined the following in summary:

1. SSC understands the requirements of SSPP control and update procedures and is actively implementing them.

2. SSPP annual reviews are conducted on a regular and consistent basis and as part of the annual internal audits conducted.

3. Staff verified that the process for reviewing the SSPP follows the requirements established in the SSPP in terms of timeframes, comprehensiveness, and required sign-offs.

Findings:None.

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Comments:None.



Checklist No. 5 Subject SSPP Implementation Activities &

ResponsibilitiesDate of Review

February 22, 2016

Department(s)

Sacramento County Department of Airports (SCDOA) Leadership, Safety

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and Security Committee (SSC)


Daren GilbertStephen ArtusSteve EspinalRaed Dwairi

Person(s) Contacted

David Delemos, Facilities CoordinatorKathy Sutton, Associate Adm. Analyst IIChris Martin, APM ManagerAlfredo Hinojosa, BTH Site ManagerScott Cavanaugh, BTH Site Supervisor

REFERENCE CRITERIA



SSPP Implementation Activities and ResponsibilitiesConduct an interview with SCDOA SSC and review appropriate records to:1. Verify each manager, department and contractor charged with responsibility

and accountability for the SSPP implementation, enforcement, and effectiveness.

2. Identify any challenges each manager, department and contractor has in performing the SSPP safety-related tasks.

3. Verify leadership accountability for the performance of the safety-related activities, and if serious or potentially serious deficiencies are found, expand the review to include additional and/or related activities.

RESULTS/COMMENTS

Activities:Staff interviewed SCDOA representatives in charge of SSPP implementation and reviewed relevant records and determined the following in summary:

1. Each manager or contractor is held accountable for the responsibilities established in the SSPP, which is also discussed at the SSCs.

2. Challenges are identified in performing the SSPP-related activities when encountered.

3. Everyone is held accountable for the performance of the safety-related activities established by the SSPP and no serious deficiencies have been encountered so far.

Findings:None.

Comments:None.

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Checklist No. 6 Subject Hazard Management Process

Date of Review

February 22, 2016

Department(s) Safety


Steve EspinalRaed Dwairi Person(s)

Contacted

David Delemos, Facilities CoordinatorKathy Sutton, Associate Adm. Analyst II

REFERENCE CRITERIA

1. General Order 164-D2. SCDOA System Safety Program Plan (SSPP), Revision 7.3. SCDOA Accident Investigation Procedure, Revision 1.


Hazard Management ProcessInterview SCDOA representative(s) / APM System Contractor and review appropriate records to determine whether or not:1. SCDOA is identifying hazards through the sources described in the SSPP.

Sources may include, but are not limited to:o Reports and complaints from passengers, field or management personnel;o APM system contractor’s Central Control logs and maintenance systems;o Reports from APM system contractor’s shift pass down;o Review of APM system contractor’s Central Control logs for unusual

occurrences;o SCDOA / APM system contractor’s OSHA 300A;o Annual internal audits;o APM system contractor’s weekly and monthly facility inspections;o APM system contractor’s Rule book compliance;o Results from CPUC Triennial Reviews;o Results from accident investigations and trend analysis.

2. SSC maintains a mechanism to capture and track identified hazards through analysis and resolution.

3. SCDOA has defined minimum thresholds for the notification and reporting of hazard(s) to the CPUC and has a specified process for reporting of hazard resolution activities to the CPUC (as required by items (e) and (f) in Section 6 of GO 164-D).

4. Identified hazards are being evaluated according to the methods established in the SSPP.

5. Corrective Action Plans (CAPs) are developed to address identified hazards

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and the CAPs identify the individual or department responsible for implementation and a schedule for completion.

6. SCDOA SSC follows up on outstanding CAPs developed to mitigate or resolve hazards.

7. Request examples of how the SSC followed the process, monitored other departments, and ensured identified hazards were reported to the SSC.

RESULTS/COMMENTS

Activities:1. Passenger reports and operator logs are consistently reviewed for hazardous

conditions. Emergency alerts are announced to staff.2. CPUC staff reviewed operator shift pass down logs. SCDOA reviews the

Internal Safety audits as well as triennial safety audits for any potential hazards. To date SCDOA has not had a CPUC reportable accident. All weekly and monthly inspection reports are documented.

3. The Health, Safety and Environmental (Dangerous Situation/Near Miss Report Form) uses the Hazard Severity and Probability Classification chart.

4. Examples of Hazardous Analysis include the Vehicle and Station Door Analysis. The report includes an analysis to evaluate the potential failures of the door system and to ensure safety as well as to document that no unacceptable hazards exists. The reports were conducted in accordance with the Hazards Identification, Analysis and Resolution process as dictated in the SSPP.

Findings:None.

Comments:None.


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Checklist No. 7 Subject System Modification

Date of Review

February 22, 2016

Department(s)




Person(s) Contacted

David Delemos, Facilities CoordinatorKathy Sutton, Associate Adm. Analyst II

REFERENCE CRITERIA

1. General Order 164-D2. SCDOA System Safety Program Plan (SSPP), Revision 7.3. Bombardier Access Control Plan4. SMF APM Modification / Change Request Form/Tracker


System ModificationConduct interviews and review appropriate records to:1. Determine the SSPP and referenced or supporting procedures ensure a

process exists for addressing safety issues and concerns in system modifications.

2. Verify the SSC was involved in assessing any system modifications over the last 3 years; verify that the process followed was consistent with SSPP requirements and included an evaluation of the modifications’ potential hazards to the system.

3. Determine the SSC role in ensuring that safety concerns are addressed in system modifications by identifying their specific activities in the process such as documented participation in testing and inspections and observations performed at work sites.

4. Determine through a sample of system modification projects if the modification meets the specifications or project requirements, and if any unauthorized modifications were performed.

RESULTS/COMMENTS

Activities:CPUC staff reviewed the Lighting & T plate projects. All system modification projects were approved by the SCDOA System Safety Committee (SSC) which includes the Chief Administrative Officer (CAO), Also weekly meeting were conducted with the CAO in which status of the project are discussed.

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Findings:None.

Comments:None.

Recommendations:None

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Checklist No. 8 Subject Safety and Security Certification

Date of Review

February 22, 2016

Department(s)


Reviewers/Inspectors Steve Espinal

Person(s) Contacted

David Delemos, Facilities Coordinator Kathy Sutton, Associate Adm. Analyst II

REFERENCE CRITERIA



Safety and Security CertificationInterview the SCDOA representative(s) in charge of the Safety Certification Program and review the records of any major projects to:1. Determine if a formal safety and security certification plan (SC Plan) has been

submitted by SCDOA and approved by the Commission.2. Verify that each Safety Certification Plan was consistent with GO 164-D,

SCDOA SSPP, and SCDOA reference documents.3. Determine whether or not there are effective communications and liaison with

CPUC staff throughout the life of the current and planned projects including Preliminary Engineering Design Phase.

4. Determine whether or not all design and construction changes were properly coordinated and addressed in the safety certification process.

5. Determine whether or not all identified hazards have been eliminated or controlled as required under the Safety Certification Plans.

6. Determine whether or not the Safety Certification Verification Report was submitted to the CPUC in a timely manner according to GO 164-D.

RESULTS/COMMENTS

Activities:There are no projects requiring Safety and Security Certification. There are no plans of expansion in the near future.

Findings:None.

Comments:

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None.


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Checklist No. 9 Subject Safety Data Collection and Analysis

Date of Review

February 23, 2016

Department(s)




ContactedDavid Delemos, Facilities CoordinatorKathy Sutton, Associate Adm. Analyst II

REFERENCE CRITERIA



Safety Data Collection and AnalysisInterview the SCDOA representative(s) responsible for safety data acquisition and analysis and review the safety data acquisition and analysis program requirements to determine if:1. The data collected includes, at minimum, information concerning SCDOA

accidents and incidents, employee performance failures, equipment failures, and procedural deficiencies.

2. The safety data is supplied by and collected from all departments including Operations, Claims Management, and Maintenance as appropriate.

3. The safety data collected is then analyzed and, if necessary, incorporated into SCDOA’s Hazard Identification and Resolution Process.

4. The safety data collected and the resulting analyses are made available to SCDOA departments for use in planning their safety-related activities.

5. Periodic reporting regarding the results of the safety data analysis is provided to the SCDOA Executive Management as appropriate.

6. Verify that the safety data sources identified in the SSPP are being used and data analysis and distribution are implemented.

RESULTS/COMMENTS

Activities:1. The SSPP requires collection of safety data regarding “accidents, incidents,

hazardous conditions, and operations obtained from several different reporting mechanisms.” Additionally, Staff was informed that SCDOA has a process for tracking public claims against Sacrament County relating to the APM.

2. Hazards and safety data reported through other mechanisms are tracked independently.

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3. Hazards identified by APM personnel are reported on a standardized form, and each receives an analysis using the Hazard Resolution Matrix included in the SSPP and is appropriately addressed or mitigated.

4. Each department collects and tracks its own safety-related data for planning and mitigation activities. The APM System Contractor, Bombardier, uses a computer-based information system for collecting and tracking data.

5. The Airport Executive Management team conducts monthly meetings with supervisors and managers who present safety data summaries.

6. There have been no accidents or incidents, and no public claims on the system, so data collection cannot be verified for these data sources. Staff verified that SCDOA has addressed and closed-out inspection and Internal Safety Audit recommendations in a timely manner.

Findings:None.

Comments:None.


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Checklist No. 10 Subject Accident/Incident Investigations

Date of Review

February 22, 2016

Department(s)




Person(s) Contacted

Chris Martin, APM ManagerDavid Delemos, Facilities CoordinatorKathy Sutton, Associate Adm. Analyst II

REFERENCE CRITERIA

1. General Order 164-D2. SCDOA System Safety Program Plan (SSPP), Revision 7.3. SCDOA Accident Investigation Procedures, Revision 1.


Accident/Incident InvestigationsInterview SCDOA’s responsible representatives and randomly select at least four accidents involving an injury or fatality reportable to the CPUC during the past 24 months and determine if:1. Each accident was reported to the CPUC as required and that the final report

was submitted as required.2. SCDOA reported the accidents to the CPUC within two hours as required

by GO 164-D, Sections 7.1 & 7.2.3. The immediately reportable incident notifications to CPUC staff contained

all of the information required by GO 164-D, Section 7.3.4. The accident was investigated in compliance with the requirements of GO

164-D, Section 8, and CPUC-approved accident investigation procedures.5. Ensure that the final report identified:

o Each item covered in the investigation.o The investigation findings of the most probable cause.o Underlying contributing causes.o A CAP to address the identified causes and that it minimized the incident

from recurring.o A schedule for implementing the CAP, which has been completed or is

being monitored on an on-going basis.RESULTS/COMMENTS

Activities:SCDOA has had no CPUC- reportable accidents since the start of operation of the APM system in 2011.

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Findings:None.

Comments:None.


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Checklist No. 11 Subject Emergency Management Program

Date of Review

February 25, 2016

Department(s)



Howard Huie Person(s) Contacted

Sherri Thompson-Duarte, Operations ManagerDavid Delemos, Facilities Coordinator

REFERENCE CRITERIA

1. General Order 164-D2. SCDOA System Safety Program Plan (SSPP), Revision 7.3. SCDOA System Security Plan (SSP), Revision 5.


Emergency Management ProgramConduct the necessary interviews regarding SCDOA’s emergency planning, training, and drill/exercise program and review appropriate records prepared during the last year to:1. Solicit an overview of the process for SCDOA’s emergency planning, training,

and drill/exercise program and specific examples of coordination with emergency response agencies on emergency planning and drill/exercises.

2. Verify a drill/exercise schedule has been created and followed and verify emergency responders and other outside agencies participation in SCDOA’s emergency planning.

3. Determine when was the last drill/exercise performed and if post-drill action report developed? Was the post-drill action report used to make revisions to SCDOA’s Emergency Plan and/or procedures? If so, have these corrective actions been implemented with SCDOA staff and emergency responders?

4. Determine if SCDOA conducts periodic meetings with sheriff and fire departments in SCDOA jurisdictions, emergency response agency familiarization activities have occurred as scheduled and corrective actions have been implemented.

RESULTS/COMMENTS

Activities:

1. The FAA requires a full scale exercise every three years where TSA, FBI, SCDOA, FAA, CHP, Sheriff’s, local law and fire, Airport Fire, any emergency Mutual Aid, Airlines, airport tenants, and red cross are required to attend. SCDOA had performed their latest full scale emergency drill May 14, 2014.

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The details of the full scale emergency drill are considered Security Sensitive Information as law enforcement agencies were involved with the security portions of the drill exercise. Staff was shown the cover page of the After Action Report, Part 139 Full Scale Exercise, dated May 14, 2014. In addition, the FAA requires SCDOA to perform a tabletop exercise between full scale exercises. SCDOA performed their latest tabletop exercise on May 12, 2015. Staff was presented with a letter from the FAA thanking SCDOA for the confirmation of the May 2015 table top exercise. Staff was also shown the cover page of the After Action Report, Part 139 Tabletop Exercise, dated May 14, 2015. Staff was not privileged to review the full scale or tabletop exercise reports as staff does not have adequate security credentials. The next SCDOA FAA mandated emergency drill is scheduled for May 12, 2016.

In addition to the FAA mandated SCDOA Operations also performs “Trunk Training” exercises (mini tabletop exercises) on a frequent basis. SCDOA performed 12 Trunk Training exercises in 2015. Staff randomly selected the following 5 Trunk Training Exercises to review the scenario and agenda.

4/28/15 – Alert II RWY 16Ro Southwest Airlines 737 bird strike short final 16Ro Engine ingestion

Flames, engine vibrationo Aircraft lands and stops on the RWYo Flt crew secures the engineo Crew request ARFF to visual inspect engine fireo Aircraft taxis to Gate B7 under its own power

6/03/2015 – Bomb threat on inbound Jet Blue (Airbus 320)o 140 passengers on board plus 5 crew memberso Jet Blue plane is expected to land in approximately 45 minutes

8/31/2015 – Catastrophic failure of the APM main power feedo Bombardier is estimating 24 to 48 hours before power is fully

restoredo Weather is 85° Fo Winds 5 mi NW

10/22/2015 – ACME Airlines taxied in and parked at Gate B11o Jet bridge is connected and deplaning beginso Ground crew open cargo doors and begin to remove luggage and

bring up check carry-on baggage They fail to notice a gassy vapor that vents out of the

cargo bay when the door is fully opened Two ground handers become ill, one is vomiting and

the other is coughing and rubbing his eyes Third ground handler becomes ill, but is able to call for

EMS responseo There were 112 souls onboard including flight crewo The vapors have contaminated the jet bridge

12/30/2015 – Bomb Threat to Aircraft

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Staff also reviewed the following APM Emergency Exercises: SCDOA AOP 30-19 Irregular Operations Tabletop, dated March 11,

2015 SCDOA Automated People Mover Exercise (Earthquake), dated June

18, 2014 SCDOA Automated People Mover Exercise (Medical Emergency), dated

August 27, 2014 SCDOA Automated People Mover Exercise (Shooter on AOM), dated

April 10, 2013 SCDOA Automated People Mover Exercise (Suspicious Package), dated

August 14, 20132. The Airport Facilities section plans, organizes, and leads the SSPP-required

APM drills/exercises. In addition to the APM specific exercises, the APM also participates in the mandated FAA airport emergency drills/exercises when applicable. See answer to question 1 above for details.

3. The latest APM drill/exercise that was performed on March 11, 2015. The tabletop drill/exercise did not result in any corrective actions.

4. The Sacramento County Airport SCC meets once per quarter. Staff reviewed SSC meeting minutes 2013 (Feb, April, June, Aug, Oct), 2014 (Jan, March, May, August), 2015 (Jan, March, May, July, September, November). The meeting committee includes Sheriff, TSA, CPUC, Airport security, Fire, etc.

Findings:None.

Comments:None.

Recommendations : None.

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Checklist No. 12 Subject Internal Safety Audits

Date of Review

February 23, 2016

Department(s)

Sacramento County Department of Airports (SCDOA) Leadership, Safety and Security Committee (SSC), SCDOA’s APM System Contractor

Reviewers/Inspectors Steve Espinal Person(s)

ContactedDavid Delemos, Facilities CoordinatorKathy Sutton, Associate Adm. Analyst II

REFERENCE CRITERIA

1. General Order 164-D2. SCDOA System Safety Program Plan (SSPP), Revision 7.3. SCDOA Audit Schedules 2011-2014, 2015-2017.


Internal Safety AuditsConduct the necessary interviews and review appropriate records prepared during the last year to:1. Determine if a three-year internal audit schedule was developed and

submitted to the CPUC.2. All of the required system safety program elements were evaluated within

the past three years.3. The audit included the use of field verification methods to verify the condition

of infrastructure and rules compliance activities.4. The audit adequately addresses interdepartmental and interagency

communication issues and whether or not SCDOA has a process in place for addressing and overcoming non-responsiveness of other department’s non-implementation of audit recommendations.

5. Determine how expertise for auditing specific functions is evaluated to ensure the quality of the internal audit.

6. Audits have been properly documented and include references for documents and activities reviewed criteria for evaluation, and notes to support findings and recommendations.

7. The Annual Report is accompanied by a letter from the Director stating SCDOA’s compliance status with its SSPP and/or corrective actions for elements determined not to be in compliance.

8. Corrective actions to address findings from the audit were scheduled, implemented, and tracked.

RESULTS/COMMENTS

Activities:

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All CAP’s and recommendations are closed.1) Internal Safety audit in conducted over a 3 year period and submitted to the

CPUC2) SCDOA does conduct field verifications.3) Not really an issue. The system is small enough to make this a non-issue.4) SCDOA ISA audit corrective actions are completed in a timely manner.

SCDOA is a small fixed guideway agency and inter-department communications issues do not exist.

5) Auditors at SCDOA are of sufficient expertise.6) The audits are properly documented including all reference materials.7) The audit report is properly presented to the CPUC including the schedule

with an invitation of CPUC staff to participate.8) ISA corrective action are treated to all other corrective actions and well

documented as well as tracked to completion.

Findings:None.

Comments:Audit 2013, Checklist 14: Discrepancies and potential hazards were not specified. If a potential hazard exists be specific and include said hazards in the report.

Audit 2014 Checklist 5: An audit Finding is a non-compliance issue with procedures or CPUC code. The Finding states “SSPP obligations are being met and that the documentation is a well organized.”

Audit 2014, Checklist 7: Findings are treated as activities and not as Findings of non-compliances.

Audit 2015, Checklist 15: A Finding of non-compliance was determined but no associated Recommendation was generated for Corrective Action Plan.

Audit 2015, Checklist 20: The Drug and Alcohol Internal Safety Audit did not include the verification of 25% of the staff for administering the drug and 10% for alcohol test. This led to a deficiency in the 2016 CPUC triennial audit.


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Checklist No. 13-A Subject Rules Compliance

Date of Review

February 23, 2016

Department(s)

Sacramento County Department of Airports (SCDOA) Leadership, Safety and Security Committee (SSC), SCDOA’s APM System Contractor


Mike Borer Person(s) Contacted

Alfredo Hinojosa, BTH Site ManagerDavid Delemos, Facilities CoordinatorScott Cavanaugh, BTH Site Supervisor

REFERENCE CRITERIA

1. General Order 164-D2. SCDOA System Safety Program Plan (SSPP), Revision 7.3. SCDOA’s APM System Contractors Rule Book4. SCDOA’s APM System Contractors Maintenance Manual, Operations Manual

and SOPs


Rules ComplianceConduct the necessary interviews and review appropriate records prepared during the last year to:1. Verify SCDOA’s APM contractor performs formal observations of controllers

as specified in the SSPP.2. Verify SCDOA’s APM contractor performs observations of maintenance

employees as specified in the SSPP and/or referenced or supporting procedures.

3. Verify that both operations and maintenance employees are evaluated based on their performance during unannounced observations to determine their compliance with safety rules, procedures, and/or practices.

4. Determine if any accidents were caused by failure of operations and procedures and verify corrective actions implemented.

5. Determine how SCDOA’s APM contractor performs efficiency tests of operating and maintenance personnel and verify corrective actions for rule violations.

6. Verify if SCDOA SSC receives reports from the APM contractor Operations and Maintenance Department regarding the performance of rules checks, assessments, and testing? Are hazards identified from the rules compliance process and reported to SCDOA SSC, managed through the hazard

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management process.7. At random, select several operating procedures and verify that these rules

are being followed. Also, conduct a random sample of controllers to determine if they are carrying their operating rules, if they have the proper safety equipment, and if their radios are functioning, and verify that they do not possess any personal electronic equipment visible in the Central Control operator’s desk such as cellular phones, MP3 players, pagers, etc. as per SCDOA rules.

RESULTS/COMMENTSActivities:Staff conducted interviews and reviewed records of SCDOA operations and maintenance employees rules compliance. Staff randomly selected records of formal observations from 8/2015 to 1/2016. All the performance observations are up to date. APM System Adminstrator meets weekly with the contractor (Bombardier) to update everyone on testing, hazards and rules checks.Findings:None.

Comments:None.

Recommendations: None.

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Checklist No. 13-B Subject

Rules ComplianceOperation Safety Compliance Program Inspection – CPUC Operating Inspector

Date of Review

February 23, 2016

Department(s)

Safety and Security Committee (SSC), SCDOA’s APM System Contractor


Mike Borer Person(s) Contacted


REFERENCE CRITERIA

1. General Order 164-D2. SCDOA System Safety Program Plan (SSPP), Revision 7.3. SCDOA’s APM System Contractors Rule Book4. SCDOA’s APM System Contractors Access Control Plan5. SCDOA’s APM Central Control Operating & Maintenance Manual and SOPs


Rules Compliance: Operation Safety Compliance Program Review – CPUC Operating InspectorInterview SCDOA’s APM contractor responsible for Operations Safety, observe/inspect operations, and review documentation as necessary to determine whether or not:1. Maintenance Workers

a. Observe access authority provisions and procedures for workers to determine whether or not they are following the Rule Book.

b. Interview at least two workers to evaluate their knowledge and understanding of SCDOA’s APM contractor Rules and Procedures for mainline operations.

2. Controllersa. Applicable reports, logs or records are properly prepared, maintained, and

available upon request for review.b. Duties are performed in accordance with the Standard Operating

Procedures, Bombardier Rule Book and Bulletins.c. Bombardier controllers are knowledgeable in dealing and coordinating

with others during incidents, accidents, and emergency response situations.

RESULTS/COMMENTSActivities:

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Staff interviewed one supervisor and one controller on how they log and report daily operations. Their knowledge of rules and bulletins. How they coordinate incidents, accident and emergency response situations. Staff was shown all records and logs upon request. SCDOA contractor employees had a great deal of knowledge for any situation that may arrive. They also have a tool box meeting monthly. Staff looked at the log books dated: 3/1/2012 to 10/18/2012, 10/19/2012 to 3/1/2014, and 3/2/2014 to 7/20/2014

Findings:None.

Comments:None.


2016 CPUC SYSTEM SAFETY REVIEW CHECKLIST FOR44

SACRAMENTO COUNTY DEPARTMENT OF AIRPORTSChecklist No. 14 Subject Facilities and Equipment Inspections

Date of Review

February 23, 2016

Department(s)



Adam Freeman Person(s) Contacted

Alfredo Hinojosa, BTH Site ManagerScott Cavanaugh, BTH Site SupervisorDavid Delemos, Facilities Coordinator

REFERENCE CRITERIA

1. General Order 164-D2. SCDOA System Safety Program Plan (SSPP), Revision 7.3. SCDOA’s APM System Contractors Monthly / Weekly Facility Inspections4. SCDOA’s APM System Contractors Maintenance Management Information

System MAXIMO5. SCDOA Safety and Security Committee Tracker6. Maintenance & Operation Manuals and SOPs


Facilities Equipment Inspections and MaintenanceConduct the necessary interviews and review appropriate records prepared during the last year to:1. Determine if the required facilities inspections were performed.2. Determine if inspections were properly documented and noted discrepancies

were corrected in a timely manner.3. Determine if potential hazards found during inspections are tracked from

recommendation, corrective action(s), and implementation.

RESULTS/COMMENTS

Activities:CPUC staff interviewed Bombardier FSE Supervisor and Airport Facility Coordinator on facility maintenance programs and procedures. PM records reviewed included the following;

PM 211 Weekly maintenance facility equipment inspection PM 310 Monthly maintenance facility equipment inspection PM 313 Monthly central control equipment inspection PM 510 Semi-Annual control/comms equipment inspection

CPUC staff determined that facility and equipment PM inspections are being performed at required intervals and that all tasks are properly completed, additionally all documentation being reviewed by both Bombardier management and

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Airport Facility Coordinator to determine proper completion. Documentation is being properly recorded and corrected as noted. All records/documentation related to facility are readily available to CPUC staff.CPUC staff inspected the following facility equipment;

First aid cabinets Hazmat cabinets Eyewash stations AED Fire extinguishers Parts washer Battery containment area Wayside ATC cabinets Central control cabinets LOTO station

Inspection of facility equipment revealed no potential safety hazards or concerns. Additionally, equipment inspection dates did correspond with reviewed PM records.

CPUC staff also recognized that SCDOA implements a comprehensive job briefing with any outside contractors that would identify any risks or hazards related to the facility or equipment.

Findings:None.

Comments:None.


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Checklist No. 15 - A Subject Maintenance Audits and Inspections –

CPUC InspectorDate of Review

February 23, 2016

Departments SCDOA’s APM System Contractor

Reviewers/Inspectors Adam Freeman

Persons Contacted

Alfredo Hinojosa, BTH Site ManagerScott Cavanaugh, BTH Site SupervisorDavid Delemos, Facilities Coordinator

REFERENCE CRITERIA

1. General Order 164-D2. SCDOA System Safety Program Plan (SSPP), Revision 7.3. SCDOA’s APM System Contractors Maintenance Manual, Operations Manual

and SOPs4. SCDOA’s APM System Contractors Maintenance Management Information

System MAXIMO


Maintenance Audits and Inspections/Vehicles -CPUC InspectorPerform visual inspections and review records as appropriate to determine whether or not the APM vehicles have been maintained as required and all preventive and corrective maintenance practices comply with the requirements of applicable vehicle maintenance manual.

RESULTS/COMMENTS

Activities:1. CPUC staff interviewed Bombardier FSE Supervisor on vehicle maintenance

inspection programs and procedures. APM Vehicle, PM records reviewed included the following;

PM100 Bi-daily PM200 Weekly PM300 Monthly PM301 Monthly PM400 Quarterly PM500 Semi-Annual PM600 Annual PM601 Annual TM PM700 2 Year

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2. CPUC staff determined that PM inspections associated with APM vehicles are being performed at required intervals and that all tasks are recorded accurately and includes date, mileage, type of inspection and time spent working on each PM. Each task is initialed after completion by technician and then reviewed by management before vehicle returns to passenger service. Additional layer of safety/quality oversight of PM maintenance records is being completed by Airport Facility Coordinator as outlined in SSPP, Internal Safety Audit Process. Documentation reviewed was properly recorded and corrected as noted.

All records/documentation related to the APM vehicles are readily available to CPUC staff.All records reviewed show that inspections are being properly performed as outline in the Vehicle

3. Equipment manual, as well as being thoroughly followed up by addition quality assurance inspection tasks.

4. CPUC staff inspected both mechanical and electronic tools that are being used by technicians which include; Digital multi-meters, torque wrenches, digital calipers and gauges, to ensure tools are being properly calibrated and maintained in accordance with manufacture recommendations.

Comments:None.

Findings:None.


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Checklist No. 15 - B Subject

Maintenance Audits and Inspections – Central Control Equipment - CPUC Inspector

Date of Review

February 24, 2016

Department(s) SCDOA’s APM System Contractor


Robert HansenRaed DwairiSteve Espinal

Person(s) Contacted

David Delemos, Facilities CoordinatorAlfredo Hinojosa, BTH Site ManagerScott Cavanaugh, BTH Site Supervisor

REFERENCE CRITERIA

1. General Order 164-D2. SCDOA System Safety Program Plan (SSPP), Revision 7.3. SCDOA’s APM System Contractors Maintenance Management Information

System MAXIMO4. SCDOA’s APM System Contractors Maintenance Manual, Operations

Manual and SOPs5. SCDOA’s PM 210 Weekly Central Control Inspection6. SCDOA’s OPM-098 Vital Relay Testing for the Wayside Relay PN-150B

Relay & PN-150B (HD)ELEMENT/CHARACTERISTICS AND METHOD OF VERIFICATION

Maintenance Audits and Inspections – Train InspectionPerform visual inspections and review records as appropriate to determine whether or not the APM central control equipment have been maintained as required and all preventive and corrective maintenance practices comply with applicable requirements.

RESULTS/COMMENTS

Activities:CPUC staff interviewed Bombardier FSE Supervisor on vehicle maintenance inspection programs and procedures. APM Vehicle, PM records reviewed included the following;

PM100 Bi-daily PM200 Weekly PM300 Monthly PM301 Monthly PM400 Quarterly PM500 Semi-Annual

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PM600 Annual PM601 Annual TM PM700 2 Year

CPUC staff determined that PM inspections associated with APM vehicles are being performed at required intervals and that all tasks are recorded accurately and includes date, mileage, type of inspection and time spent working on each PM. Each task is initialed after completion by technician and then reviewed by management before vehicle returns to passenger service. Additional layer of safety/quality oversight of PM maintenance records is being completed by facility coordinator as outlined in SSPP, Internal Safety Audit Process. Documentation is reviewed and documented.

All records/documentation related to the APM vehicles are readily available to CPUC staff.All records reviewed show that inspections are being properly performed as outline in the Vehicle

The Monthly PDS/UPS reports, Semi Annual PDS/Power Control Inspection and Annual PDS/Power Control Inspection reports were reviewed and deficiencies found.

Fire Extinguisher and eyewash current in Central Control Equipment room. Demonstrated the system and the rebooting of the system. The control center equipment room was clean and dust free.

SCDOA provided a list of all 45 vital relays when last tested and the scheduled time of the next scheduled test. Information includes serial number, PM#, asset #, and test due date, equipment type, size, manufacturer, model # and manufacturer serial number. Staff reviewed a summary of SCDOA’s vital relay inspections, required either once every 2 or 4 years depending on the relay. Relays are typically removed from service and replaced for testing, and re-installed either in-place or replacing another relay and the swapped out relays which are documented on the inspection spreadsheet. All relays are up-to-date and due for inspection in 2016.

Staff performed a visual inspection of the Central Control Room and Central Control Equipment Room. Both were well-kept, and SCDOA personnel were knowledgeable in discussing equipment maintenance procedures. The equipment is designed to require minimal maintenance, but SCDOA developed Preventative Maintenance Procedure (PM) 210, “Weekly Central Control Inspection” which includes a weekly reboot of the two redundant ATP/ATC computers primarily to reduce the probability of memory overflow issues. The equipment room, including Central Control Equipment is also cleaned once per month.

Staff reviewed PM-210 inspection reports for November 23, 2015 through February 16, 2016, and found all checklists complete with no reported hazards or issues.

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Findings:None

Comments:SCDOA should generate SOP PM 210 and Vital Relay inspection procedures.



Checklist No. 15-C Subject Communications System

Maintenance – CPUC InspectorDate of February 23, Department SCDOA’s APM System Contractor

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Review 2016 (s)Reviewers/Inspectors


Person(s) Contacted

Scott Cavanaugh, BTH Site Supervisor

REFERENCE CRITERIA


System MAXIMO4. SCDOA’s APM System Contractors Maintenance Manual, Operations Manual

and SOPs

ELEMENT/CHARACTERISTICS AND METHOD OF VERIFICATIONCommunications System Maintenance – CPUC Inspector

Perform visual inspections and review records as appropriate to determine whether or not the APM communications system has been maintained as required and all preventive and corrective maintenance practices comply with applicable requirements.

RESULTS/COMMENTSActivities:Staff determined that the communications system, consisting of network equipment and transmitters, had no missing preventative maintenance records. . Equipment is routinely cleaned and visually inspected as part of general system maintenance.

Findings:None.

Comments:None

Recommendations: None.

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Checklist No. 15-D Subject Data Transmission System

Maintenance – CPUC InspectorDate of Review

February 23, 2016




Person(s) Contacted

Scott Cavanaugh, BTH Site SupervisorAlfredo Hinojosa, BTH Site ManagerDavid Delemos, Facilities Coordinator

REFERENCE CRITERIA


System MAXIMO4. SCDOA’s APM System Contractors Maintenance Manual, Operations Manual

and SOPs

ELEMENT/CHARACTERISTICS AND METHOD OF VERIFICATIONData Transmission System Maintenance – CPUC Inspector

Perform visual inspections and review records as appropriate to determine whether or not the APM data transmission system has been maintained as required and all preventive and corrective maintenance practices comply with applicable requirements.

RESULTS/COMMENTSActivities:Please see checklists 15-B and 15-C for details.

Comments:None.

Findings:None.


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Checklist No. 16 Subject Training and Certification Program

for Employees and Contractors

Date of Review

February 23, 2016

Department(s)


Reviewers/Inspectors Mike Borer Person(s)

Contacted


REFERENCE CRITERIA

1. General Order 164-D2. SCDOA System Safety Program Plan (SSPP), Revision 7.3. SCDOA’s APM System Contractors Training Documentation4. Cal-OSHA Safety Orders5. SCDOA’s APM System Contractors Tool Box Meetings


Training and Certification Program for Employees and ContractorsInterview SCDOA and SCDOA’s APM System Contractor representative(s) in charge of Controllers, Maintenance, and signal maintenance employees Certification Programs. Review appropriate records to determine whether or not:o The employee has completed the initial training program, refresher, and

remedial training as necessary.o The employee has been recertified at the correct frequency and currently

meets the criteria to perform his/her duties.

RESULTS/COMMENTS

Activities:Staff looked at training and certification; there are 15 employees who maintain the system for SCDOA. Staff requested the training records of their maintenance and controller employees. Staff received OMC training Matrix that had all records of each employee; all employees training records are up to date.Findings:None.

Comments:None.

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Checklist No. 17 Subject Configuration Management and

Control

Date of Review

February 24, 2016

Department(s)

SCDOA Leadership, Safety and Security Committee (SSC), SCDOA’s APM System Contractor



Contacted


REFERENCE CRITERIA


ELEMENT/CHARACTERISTICS AND METHOD OF VERIFICATIONConfiguration Management1. Randomly select two recent changes pertaining to the APM system at SCDOA

during the last year to ensure configuration management documentation was properly updated to include at a minimum:a. As-built drawings.b. As-built specifications.

2. Randomly select a Project Concept Submitted to SSC which and verify that:a. SMF APM Modification / Change Request form forms were used.b. Forms were circulated to the SSC.c. SSC performed a review, analysis, and approval of form by completing the

SMF APM Modification / Change Request form for project.d. The change was reviewed and approved by SCDOA’s Director or Deputy

Director of Operations & Maintenance.e. Change was circulated to the proper departments for implementation.f. All necessary parties or contract employees within or outside the agency

were properly notified about the change.RESULTS/COMMENTS

Activities:No configuration changes were made to the APM since it was placed into service in 2011. T-Plate & Ship Ladder modifications were discussed.

Findings:None.

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Comments:None.


57


Checklist No. 18 Subject

Local, State, and Federal Requirements and Employee Safety Program

Date of Review

February 23, 2016




Robert HansenPerson(s) Contacted


REFERENCE CRITERIA

1. General Order 164-D2. SCDOA System Safety Program Plan (SSPP), Revision 7.3. Cal-OSHA Safety Orders


Local, State, and Federal Requirements for Employee Safety ProgramConduct the necessary interviews and review appropriate records to determine if:1. SCDOA’s APM contractor held monthly meetings on safety issues.2. An appropriate procedure and reporting form is being implemented and is

periodically distributed to all employees to effectively report safety hazards in the work place.

3. Required corrective actions have either been satisfactorily completed or are being actively tracked and documented.

RESULTS/COMMENTS

Activities:1) All employees meet monthly and meet as required for tool box briefings. SSC

meeting includes state and federal requirements involving OSHA, TSA, FAA, FBI and FDA issues.

2) Safety, Environmental and Dangerous Situation/Near Miss Report Forms were provided to staff. These were documented as required.

3)

Findings:None.

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Comments:None.


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Checklist No. 19 Subject Hazardous Materials Programs

Date of Review

February 24, 2016

Department(s)

SCDOA’s APM System Contractor, SCDOA Environmental

Reviewers/Inspectors Raed Dwairi Person(s)

Contacted

Alfredo Hinojosa, BTH Site ManagerDavid Delemos, Facilities CoordinatorFrank Del Gazio, BTH Human ResourcesScott Cavanaugh, BTH Site SupervisorHeide Dressler, BTH Site Safety

REFERENCE CRITERIA

1. General Order 164-D2. SCDOA System Safety Program Plan (SSPP), Revision 7.3. SCDOA’s Hazard Communications Program and the Blood borne Pathogen

CBT Program.4. SCDOA’s APM System Contractors Hazardous Communication Program


Hazardous Materials Programs1. Select at random 2 Bombardier employees responsible for handling

hazardous materials and verify that they have received specific training for reporting requirements, product release or spill, and the response and cleanup of spill incidents.

2. Verify that hazardous materials discharge/spill reports for incidents that occurred during the past year have been prepared and filed.

3. Verify all Safety Data Sheets (SDS) are available to all personnel who handle hazardous materials.

RESULTS/COMMENTSActivities:

1. There were no hazardous materials discharge and therefore no spill reports.2. Staff selected one employee from each shift and verified that employees

selected did receive the required hazardous materials training and that Safety Data Sheets were available to employees.

Findings:None.

Comments:

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None.Recommendations:None.

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Checklist No. 20 Subject Drug and Alcohol Program

Date of Review

February 24, 2016



Steve Espinal Person(s) Contacted

Frank Del Gazio, BTH Human ResourcesDavid Delemos, Facilities CoordinatorAlfredo Hinojosa, BTH Site ManagerScott Cavanaugh, BTH Site SupervisorHeide Dressler, BTH Site Safety

REFERENCE CRITERIA

1. General Order 164-D2. SCDOA System Safety Program Plan (SSPP), Revision 7.3. SCDOA’s APM System Contractors Corporate Drug and Alcohol Policy


Drug and Alcohol ProgramConduct the necessary interviews and review appropriate records prepared during the last year to:1. Confirm that the number of employees in safety sensitive positions who tested

positive or refused to take the test during the past year was accurately reported.

2. Confirm Bombardier has a policy in place for managing the use of over-the-counter drugs.

3. Randomly select at least one safety sensitive employees who tested positive for drugs or alcohol in the past year and review the appropriate records to determine whether or not:a. The employee was evaluated and released to duty by a Substance Abuse

Professional (SAP).b. The employee was administered a return-to-duty test with verified

negative results.c. Follow-up testing was performed as directed by the SAP according to the

required follow-up testing frequencies of the reference criteria after the employee has returned to duty.

d. Consequences for repeat offenders were carried out as required by the reference criteria.

RESULTS/COMMENTS

Activities:Drug and Alcohol test were reviewed for 2013-2015. SCDOA had a staff of 12 safety

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sensitive employees on February 24, 2016. Bombardier Drug & Alcohol policy AME-5 section 6.3.3 states that 25% and 10% of staff will be given a random drug and alcohol test respectively.

2015Employee 16 and 77 were alcohol tested. Both tests came back negative.Employee 21, 16 and 77 were drug tested. All tests came back negative.

2014Employee 181715 was tested for alcohol. The test came back negative.Employees 181715 and 141443 were tested for drugs. Both tests came back as negative.

2013Four drug and 2 alcohol tests were administered and all tests returned as negative.In 2013 the tests were tracked by social security numbers. In turn no employee numbers are provided.

Findings:In 2014 approximately 17% (2 of 12) of the employees were administered the drug test and 8% (1 of 12) were administered the alcohol test.

Comments:None.

Recommendations:Bombardier shall adhere to their Drug and Alcohol policy AME-5, section 6.3.3 and administered random drug and alcohol tests to 25% and 10% of the safety sensitive employees respectively annually.

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Checklist No. 21 Subject Procurement Process

Date of Review

February 24, 2016


Reviewers/Inspectors Steve Espinal Person(s)

Contacted

David Delemos, Facilities CoordinatorKathy Sutton, Associate Adm. Analyst IIAlfredo Hinojosa, BTH Site ManagerScott Cavanaugh, BTH Site SupervisorHeide Dressler, BTH Site Safety

REFERENCE CRITERIA

1. General Order 164-D2. SCDOA System Safety Program Plan (SSPP), Revision 7.3. SCDOA’s APM System Contractors Procurement Policy

ELEMENT/CHARACTERISTICS AND METHOD OF VERIFICATIONProcurement Process

Conduct the necessary interviews and review appropriate records prepared during the last year to:1. Verify Bombardier personnel are following the Procurement Policy to ensure

that safety issues and concerns are addressed in the procurement process.2. Adequate procedures and controls are in place to preclude the introduction of

defective or deficient equipment into the APM system environment.3. Adequate procedures are in place to safely deal with defective or deficient

equipment in the event these are introduced to the APM system at SCDOA.RESULTS/COMMENTS

Activities:1) SCDOA orders approximately 90% of all the parts through Bombardier

Transportation Holding (BTH). BTH provides parts to 20 Automated People Mover systems in the United States and 10 more internationally. All the tools purchased by BTH are calibrated by the Site Coordinator. The calibration schedule was provided to staff and is inputted into the Maximo database.

2) BHT Tech inspects all the new parts. The parts are either Green Tagged and approved for use or Red Tagged for return to the manufacturer. The Site Coordinator and Supervisor check for broken parts.

3) Red tagged parts are sent back to Bombardier Headquarters in Pittsburgh Pennsylvania.

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Findings:None.

Comments:None.


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Checklist No. 22 Subject Hours of Service: Operators and

Maintenance, and TrackDate of Review

February 24, 2016


Reviewers/Inspectors Mike Borer Person(s)

Contacted Heide Dressler, BTH Site SafetyREFERENCE CRITERIA

1. SCDOA System Safety Program Plan (SSPP), Revision 7.2. SCDOA’s APM Time Cards

ELEMENT/CHARACTERISTICS AND METHOD OF VERIFICATIONHours of Service: Safety Sensitive Employees1. Randomly select three employees. Review the selected employees’ “time on

duty” records prepared during a three-month period within the past 12 months and determine if:a. They complied with the requirement that employees in safety-sensitive

positions may not remain on duty for more than 12 consecutive hours, or for more than 12 hours spread over a period of 16 hours, and;

b. The initial on duty status for each of these employees only began after eight consecutive hours off duty.

RESULTS/COMMENTS

Activities:Staff randomly selected three BTH employees. Reviewed the selected employee’s time on duty records within the past 12 months January 2015, February 2015 and November 2015. They changed the time keeping from time cards to KRONOS as of December 1, 2015.

Findings:None.

Comments:None.


2016 CPUC SYSTEM SAFETY REVIEW CHECKLIST FOR66

SACRAMENTO COUNTY DEPARTMENT OF AIRPORTSChecklist No. 23 Subject Contractor Safety Program

Date of Review

February 24, 2016

Department(s)

SACRAMENTO COUNTY DEPARTMENT OF AIRPORTS (SCDOA) Leadership, Safety and Security Committee (SSC), SCDOA’s APM System Contractor


Kevin McDonald Person(s)

Contacted

David Delemos, Facilities CoordinatorScott Cavanaugh, BTH Site SupervisorAlfredo Hinojosa, BTH Site ManagerHeide Dressler, BTH Site Safety

REFERENCE CRITERIA

1. General Order 164-D2. SCDOA System Safety Program Plan (SSPP), Revision 7.3. SCDOA’s APM System Contractors Access Control Plan

ELEMENT/CHARACTERISTICS AND METHOD OF VERIFICATIONContractor Safety ProgramInterview the SCDOA representative in charge of the Contractor Safety Program and review SCDOA’s internal safety audit requirements, audit reports and other records to determine if:

1. SCDOA/Bombardier’s procedures and practices clearly identify, for the contractors and SCDOA managers, that SCDOA is in charge and that its contractors and their employees must comply with all established safety rules and procedures and;

2. SCDOA/Bombardier procedures establish the range of activities for its monitoring and enforcement of contractor’s and contractor employee’s compliance with the safety requirements by regular unscheduled and unannounced compliance checks as well as by scheduled periodic audits and inspections.

3. SCDOA/Bombardier’s monitoring and enforcement activities are properly recorded, distributed, and filed.

RESULTS/COMMENTS

Activities:Staff interviewed SCDOA and Bombardier representatives regarding all elements/characteristics listed. Staff examined records of annual internal safety audits, compliance checks and inspections for the last triennial period, including those that took place on October 2013, October 2014 and September 2015.

Findings:None.

Comments:

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Staff confirmed that SCDOA/Bombardier are properly documenting and recording internal safety audits, compliance checks and inspections. Staff confirmed that internal safety audits were conducted by SCDOA employees “independent from the first line of supervision responsible for the activity being audited”.


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Checklist No. · Web viewOn January 22, 2016, staff mailed a letter to SCDOA’s Director, advising...

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Transcript of Checklist No. · Web viewOn January 22, 2016, staff mailed a letter to SCDOA’s Director, advising...