590-26_VA_Technical_Proposal_VA-0710.pdf

Ohio Department of Transportation (ODOT) 590-26 Rail Transit State Safety Oversight (SSO) Solicitation ID: SRC00000029875 Vital Assurance Ltd Technical Proposal VA-0710 175 S. Third St., Suite 200 Columbus, Ohio 43215

Procurement Contacts:

Ryan McKinley, President, 614-638-7612, mckinley@vitalassurance.com Kevin Chandler, Vice President, 614-946-3845, chandler@vitalassurance.com

A. Implementation/Management Plan/Work Plan

Overarching Approach, Objectives, and Priorities to State Safety Oversight Support Vital Assurance Ltd (headquartered in Columbus, Ohio) is pleased and eager to continue developing and implementing the Ohio Department of Transportation (ODOT) Office of Transit Rail Transit State Safety Oversight (SSO) program. The Vital Assurance Team’s qualifications and experience fully encompass and exceed the scope of this proposed project. Our staff have a thorough knowledge of transit, rail systems, rail operations and maintenance, rail safety and control systems, transit security, engineering, capital projects (safety certification and configuration management) and the newly updated safety program regulations from the Federal Transit Administration (FTA), state, and ODOT requirements. Eight of the ten proposed staff live in Ohio, including two staff members in Cleveland, Ohio (reducing the need to travel).

Experience with ODOT’s SSO Program. Our staff have a long history and strong relationships with ODOT, ODOT’s SSO program, the Ohio rail transit agencies (RTAs) – the Greater Cleveland Regional Transit Authority (GCRTA) and City of Cincinnati (CoC) Streetcar, FTA and SSO community and contractors. We have worked with ODOT through the new transit safety program regulations development from FTA, including responses to the notices for proposed rulemakings and the proactive development of the ODOT SSO program to meet the new requirements and expectations.

Vital Assurance has been the contractor for the ODOT SSO program since 2015, which included providing technical support for Ohio becoming the first state certified to the new SSO rule in August 2017. ODOT was prepared and previously requested to be certified twice in 2016 and early 2017. The ODOT SSO Program was so far ahead in developing the program that FTA had to catch up with guidance and process before allowing the ODOT SSO program to be certified.

Proposed Vital Assurance staff have been in various roles at ODOT and have served in contractor technical support roles for this SSO program since 2007. The Vital Assurance Team embraces our technical support role for the Office of Transit and the ODOT SSO Program Manager, including being an extension of the SSO program staff, as allowed in federal and state regulations and the program standard.

Proactive and Practical SSO Programs. Our approach to SSO program support has been built on extensive experience working with the FTA in Washington, DC for safety and security since 2002. In addition, we have extensive experience with the ODOT SSO program for nearly 18 years. Most important has been the ODOT Office of Transit’s willingness to support the development of a proactive approach to safety oversight and being a leader in the SSO community.

The Vital Assurance Team’s approach to SSO program technical support and activities are based on the experiences with the ODOT SSO program and have been developed across several state mailto:mckinley@vitalassurance.com mailto:chandler@vitalassurance.com programs and multiple RTAs. Most importantly, this approach has been successfully implemented working with essentially the smallest rail system in the country – Kenosha, Wisconsin, and the largest RTA in North America – New York City Transit (NYCT).

A successful SSO Program is based on several objectives used to achieve a balanced approach:

• Building and sustaining a quality ODOT SSO program starts with strong relationships and partnering with ODOT and the two RTAs in the state.

• Transparency – clear, consistent, and open communications within the SSO program and with the RTAs. The SSO program’s focus should not be on “gotcha” issues at each RTA.

• We work with the SSO program staff to understand each rail system, the local safety risk environment, and support the RTAs in maintaining and improving safety performance.

• We are motivated to implement improvements and adjustments in the SSO program processes and procedures based on new regulatory interpretation, changes to regulations from FTA and across the SSO program community, and new processes and capital projects at the RTAs.

Next, it is critical to prioritize safety oversight activities based on and aligned with FTA’s priorities for safety performance and maturity of the RTA safety programs and the SSO Program implementation, and with the new Risk-Based Inspection (RBI) Program:

• The highest priority is assuring appropriate safety performance at each RTA. If there is a problem with safety performance, that becomes the highest priority to understand and determine how best to support the RTA with urgent improvement.

• The next priority is assuring that the RTA staff are competent and processes supporting the safety and SSO programs are complete. These priorities might cause the SSO program to provide technical support to the RTA Safety Department staff in further developing their capabilities (with respect to the safety program).

• The third priority is assuring the SSO program and staff are and remain competent. SSO program processes and procedures are designed and developed to be efficient, effective, and sustainable.

For the ODOT SSO Program, we propose to continue to further develop the processes and procedures being used to account for new and updated FTA regulations and RBI Program development. For the RTA, there are changes to the Agency Safety Plans, implementation of their safety management system (SMS), and further developing safety oversight for capital projects such as the new railcars and related projects at GCRTA and the software updates in the substations for the CoC Streetcar.

FTA Safety Program Regulations The FTA safety programs are being developed to follow a transit-specific SMS that is the basis of the recent changes to transit safety programs. The Bipartisan Infrastructure Law (BIL) / Infrastructure Investment and Jobs Act (IIJA) updates and additions for the FTA’s safety programs include the following regulations and requirements:

• Public Transportation Safety Program (49 CFR Part 670) – establishes FTA’s procedural rules for administration of the comprehensive safety program to improve safety at transit agencies and states, published as a Final Rule in August 2016 as 49 CFR Part

670. This rule includes FTA’s authority to take over audits and investigations for an SSO program. This regulation includes authority to issue a Safety Advisory, General Directive, or Special Directive to the transit industry, agencies, and states.

• National Safety Plan (included in 49 CFR Part 670) – introduced the FTA’s requirements for safety performance criteria that the transit agencies are required to base their safety performance measures and targets for improvements documented in their Agency Safety Plans. The National Safety Plan was updated in April 2024, Version 2.

• Safety Certification Training Program (49 CFR Part 672) – requires safety-related training for specific FTA, SSO, and RTA staff responsible for safety and oversight (designated personnel). Initially in regulation as an Interim Final Rule (IFR) and a Final Rule was completed as 49 CFR Part 672, published on July 19, 2018. An update was finalized on August 14, 2024, including establishing a grantee contact and record keeping submissions twice a year.

• Agency Safety Plan (49 CFR Part 673) – requires use of FTA’s transit-specific SMS approach through the Public Transportation Agency Safety Plan (ASP), which was completed as Final Rule 49 CFR Part 673, published on July 19, 2018. An update was completed on April 11, 2024, with additional transit agency requirements for a Safety Committee that represents workers to participate in review and approval of the ASP as well as participation in review, analysis, and mitigations for safety hazards and missed Safety Performance Targets.

• Transit Asset Management (49 CFR Part 625 and 630) – completed rulemaking in July 2016 for FTA’s Transit Asset Management (TAM) processes that include state of good repair (SGR) and data collection, prioritization, and data delivery to the National Transit Database (NTD). The TAM final rule is 49 CFR Part 625 and changes made for TAM in the NTD requirements are in final rule as 49 CFR Part 630.

• State Safety Oversight (49 CFR Part 674) – completed rulemaking in March 2016 for a new SSO regulation as 49 CFR Part 674 based on 49 U.S.C. Section 5329 instead of Section 5330. This regulation for SSO went into effect on April 15, 2016, and states had three years to complete development and approval from FTA through a certification process for their Part 674 compliant SSO program. This regulation was also updated on October 18, 2024, and adds sections to the Program Standard, including the RBI program requirements.

• Roadway Worker Protection (49 CFR Part 671) – this regulation is the newest addition from the BIL/IIJA updates, finalized on October 31, 2024. A Roadway Worker Protection (RWP) Manual is required, including a Track Access Guide, and must be approved by the SSO Programs no later than December 2, 2025, and then submitted to the FTA.

Vital Assurance’s Ongoing Experience with SSO Programs The Vital Assurance Team has worked to develop a comprehensive and compliant approach to defining, customizing, and executing each SSO program based on experiences with the following SSO Programs. These experiences cover the entire scope of the ODOT SSO program and beyond.

• ODOT Rail Transit SSO Program (since 2007) – GCRTA heavy and light rail systems and the CoC Streetcar system. Providing full technical support at $650k/year.

• Wisconsin Department of Transportation (WisDOT) SSO Program (since 2016) – Kenosha Area Transit (KAT) heritage streetcar system and City of Milwaukee modern streetcar system (The Hop). Providing full technical support at $200k/year.

• New Jersey Department of Transportation (NJDOT) Fixed Guideway SSO Program (since 2017) – New Jersey Transit (NJ TRANSIT) – Newark Light Rail, Hudson Bergen Light Rail, and River LINE light rail; Delaware River Port Authority (DRPA) Port Authority Transit Company (PATCO) heavy rail system. Providing task-based support and one dedicated staff member at $250k/year.

• New York State Department of Transportation (NYSDOT) Public Transportation Safety Board (PTSB) Rail Transit SSO Program (since 2018) – Metropolitan Transportation Authority (MTA) New York City Transit (NYCT) Department of Subways, including Staten Island Railway (SIR) – both heavy rail and Niagara Frontier Transportation Authority (NFTA) Metro Rail in Buffalo, NY, light rail system. Providing full technical support at $2 million/year.

• Texas Department of Transportation (TxDOT) SSO Program (since 2018) – Houston Metro Light Rail, Galveston Island Transit Light Rail, El Paso Streetcar System, Dallas Area Rapid Transit (DART) Light Rail, and City of Dallas Streetcar System. Providing full technical support at $700k/year.

• Washington State Department of Transportation (WSDOT) SSO Program (since 2018) – Seattle Streetcar System, Seattle Center Monorail System, Sound Transit Light Rail, including Link Light Rail and Tacoma Link Light Rail. Technical support to update Program Standard and provide SSO Program staff training at a total of $50k.

• Massachusetts Department of Public Utilities (DPU) SSO Program (since 2019) – Massachusetts Bay Transportation Authority (MBTA) heavy and light rail systems, including a heritage streetcar line. Providing programmatic technical support, development, and training at $200k/year.

Proposed Tasks for the ODOT SSO Program Vital Assurance has been working to standardize our approach to SSO program technical support and providing ODOT with the best information and processes for providing safety oversight. Our staff work across these projects and have knowledge of each state’s programs and RTAs. This knowledge and expertise are readily available to each SSO program we support, including ODOT. This approach and our deep understanding of the requirements to providing technical support for SSO programs also allows the Vital Assurance Team to provide experience from other states and RTAs for ODOT’s SSO program to quickly respond to new topics, issues, and task orders when needed. In addition, we do understand the level of effort needed and expected by ODOT for this SSO program.

Our approach breaks down the SSO program tasks and activities into 11 processes, and all the ODOT SSO program requirements for this proposal are addressed within this organization. As of January 2022, the Program Standard (PS) was updated to Version 6.0. A draft Version 7.0 was developed as part of responses to FTA for the RBI Development program. The first version of the Reference Guide (RG) was completed in 2022, along with several updates to the Reference Guide sections, as needed, and a full version update in February 2025. For each SSO Program process, a reference to the PS and RG Sections are provided along with a reference to any procedures established. For each Process, a reference to the pricing task(s) is provided.

Process 1. SSO Program Definition, Implementation, and Technical Support (Tasks 1 and

6) (49 CFR Part 674.27(a)(1)). This process includes activities required by the ODOT SSO program.

Monthly Program Status Report to ODOT. The ODOT SSO Program requires the two RTAs to provide specific data and information by the 15th of the month or on the following workday if the date falls on a weekend or holiday. These submissions include tracking of corrective actions and hazards. The SSO program contractor tracks notifications, investigations, internal safety reviews, corrective actions, hazards, and safety related committee meetings (such as the Executive Safety Committee) and provides a report of these activities to ODOT monthly, typically by the 20th of the month. This Monthly Program Status Report also provides an update on current spending and planning for the next month of activities for ODOT review.

The monthly report includes a schedule of planned activities for each month for the two-year contract period, and this document is updated with new activities as they are planned and tracks completion of activities with the date completed. This tracking document is updated and provided with the Monthly Program Status Report. The annual plan for quarterly meetings at each RTA is recorded in this schedule tracker. Changes to significant events on the schedule are communicated and coordinated with the ODOT SSO program manager on at least a monthly (report) and quarterly (meetings) basis. This activity is used as a milestone assuring all program records are filed and shared with ODOT on a regular basis. These Monthly Reports from the RTAs are covered in PS Section 1.6 and the Monthly Program Status Report is covered in RG Section 2.7.

• Previous Work Experience: ODOT SSO Program, NYSDOT PTSB SSO Program

• Planned Staffing: Kevin Chandler, Josh Gearhardt, Cindy Boyd, Cameron Phelps

Program Standard (49 CFR Part 674.27 and guidance from FTA). The current PS was updated to Version 6.0 to account for the change to Agency Safety Plans and to add a Reference Guide that replaced several of the PS Appendices. The update process is covered in the PS Section 2 and RG Section 2.3, including Procedure SSO-001.

ODOT is required to submit the PS to FTA annually for review. The PS is required to be submitted to FTA via the Annual Report (49 CFR Part 674.39) in the SSO Reporting (SSOR) tool/system. The RG is an extension of the PS and meets the same requirements. General program support for implementation of the SSO program and support for regulatory and policy changes from FTA are included in this work area because any changes are likely to require an update to the PS or RG. Changes are expected during this proposed period of performance due to the BIL/IIJA and recently completed FTA regulations updates.

• Previous Work Experience: ODOT SSO Program, NYSDOT PTSB SSO Program, WisDOT SSO Program, NJDOT SSO Program, DPU SSO program.

• Planned Staffing: Kevin Chandler, Josh Gearhardt, Dave Neumeister

FTA Annual Report Submission (49 CFR Part 674.39). The Annual Report Submission to FTA is required by regulation to be March 15th or as allowed by FTA, covered in PS Section 9 and RG Section 4.1. Data and documents for both RTAs are required to be provided in the SSOR system, and our staff currently have access to SSOR for multiple states including the ODOT SSO program. Required information includes updates to the PS and RG, progress towards the Public Transportation Safety Training Program (PTSCTP) requirements, the Annual Program Status Report for the previous year, a summary of triennial audits of the RTAs completed in the previous year, evidence of review and approval of the Agency Safety Plans, and a certification that the SSO program follows the regulations. FTA also requests information about the level of effort used for the SSO program including the contractor support.

• Previous Work Experience: ODOT SSO Program, NYSDOT PTSB SSO Program, DPU SSO Program, TxDOT SSO Program, WisDOT SSO Program

• Planned Staffing: Cindy Boyd, Kevin Chandler, Josh Gearhardt, Cameron Phelps

Periodic Submissions to FTA. The FTA has regulatory authority to require data and information collection and submission for safety related topics. These might include a request for information (such as onboard cameras), Safety Bulletins, Safety Advisories, Special Directives, or General Directives (see 49 CFR Part 670). FTA also requests information from the SSO program manager for specific safety events or issues at either of the RTAs. Our team has provided support over the years for these requests and coordinated the responses from each of the RTAs. These coordination activities are covered in PS Section 1.6 and RG Sections 3.4 (GCRTA) and 3.5 (Cincinnati Streetcar). These FTA requests and requirements have been increasing over the last 2-3 years and are expected to continue to increase in frequency.

WisDOT SSO Program, TxDOT SSO Program

• Planned Staffing: Kevin Chandler, Josh Gearhardt, Cindy Boyd, John Fedikovich, Don Eldredge, Dave Neumeister, Tim Walters, Cameron Phelps

Annual Program Status Report (49 CFR Part 674.13(a)(7)). At least once a year, this report is developed to present the status of the safety performance of each RTA and report out to the Governor of Ohio, the FTA, and the board of directors, or equivalent entity, of the RTAs. The development and delivery of this annual report is covered in PS Section 1.5 and RG Section 2.4, including procedure SSO-005. Program records are the letters of transmission and records from the RTA Board Meetings. ODOT posts these reports on their website.

NJDOT SSO Program

• Planned Staffing: Kevin Chandler, Josh Gearhardt, Cindy Boyd, Erin McCandlish

FTA Headquarters Audit of the ODOT SSO Program (49 CFR Part 674.11). Support for this task is focused on providing documentation to FTA, as requested, attending the FTA audit activities to provide any input or support to the ODOT SSO program manager, reviewing the draft report, recommendations, and findings, providing comments on the draft report, and helping develop any corrective actions necessary. The last FTA audit was completed in 2023. All corrective actions were completed in 2024 (although not simple to complete). The Vital Assurance Team will provide any technical assistance needed for the next FTA audit scheduled for calendar year 2026. This topic is covered in PS Section 1.7 and RG Section 2.9.

WisDOT SSO Program, NJDOT SSO Program, TxDOT SSO program, DPU SSO Program

• Planned Staffing: Kevin Chandler, Josh Gearhardt, Cindy Boyd, John Fedikovich, Cameron Phelps, Dave Neumeister

Process 2. Public Transportation Safety Certification Training Program (PTSCTP) (Task 6) (49 CFR Part 672, 49 CFR Part 674.11(e), 49 CFR Part 674.25(f), and 49 CFR Part 674.35(c)).

For “designated personnel” working for the SSO program or the RTAs, they must complete the requirements of the PTSCTP certificate. Designated personnel are those involved in audits and examinations at the RTAs. In addition, for SSO program staff, specific training for each RTA is required as part of the 22 category Technical Training Plan (TTP), described in RG Section 2.2.

The ODOT SSO Program Manager and Vital Assurance Team staff will need to complete refresher training for the TTP for both RTAs, and these will be scheduled and completed together.

The Vital Assurance Team staff include 7 staff members with the PTSCTP certificate. The other 3 proposed staff are not designated. We plan to complete an audit of our training records twice a year and provide any updates to ODOT, as needed, in response to 49 CFR Part 672.

WisDOT SSO Program, NJDOT SSO Program, DPU SSO Program

• Planned Staffing: Kevin Chandler, Josh Gearhardt, Dave Neumeister

Process 3. GCRTA and CoC Streetcar Safety Program Documentation (Task 6) (49 CFR Part 674.13(a)(4), 49 CFR Part 674.25(b), 49 CFR Part 674.27(a)(4), 49 CFR Part 674.29, 49 CFR Part 673, 49 CFR Part 674.11(b), and 49 CFR Part 674.25(a) and guidance from FTA’s Technical Assistance Center). The PS describes the requirements for the Public Transportation Agency Safety Plan (PTASP) and FTA’s SMS in Section 4 and RG Section 3.1.

Agency Safety Plans (ASPs) are required to be developed, approved by the RTA Safety Committee, accountable executive, the board of directors or equivalent, and the SSO program.

This was accomplished successfully in 2024 for both Ohio RTAs ahead of the deadlines. When changes to the ASP are necessary, the updated ASP must be reviewed via the checklist and approval recommended to the ODOT SSO program. Changes might be required via audits by FTA, ODOT or the RTAs. In addition, the ASP must be considered for potential updates at least annually by January 31st (or no later than March 1st) via the PS. As mentioned earlier, a Safety Committee with equal representation from management and frontline employee representatives must also review and approve each update to the ASP. Additional requirements and expectations for the Safety Committee have been added with the updated regulation, and a new checklist from FTA for the SSO Program reviewing and approving these ASP updates.

FTA requires SSO programs to account for minimum standards for safety (see 49 CFR Part 674.25(a)). These are the documents at an RTA where industry safety standards, federal, and state safety related requirements are recorded and accounted for. The System Security Plan (SSP) or Security and Emergency Preparedness Plan (SEPP) continue to be included in the ODOT SSO program for the overlap between safety and public safety (all hazards), as well as the ASP requirements for emergency management and response. Minimum standards for safety are covered in PS Section 2, and specifically for each RTA in RG Sections 3.2, 3.3, 3.4, and 3.5.

NJDOT SSO Program, WisDOT SSO Program, DPU SSO Program

• Planned Staffing: Don Eldredge, Kevin Chandler, Josh Gearhardt, Cindy Boyd

Process 4. Internal Safety Program Reviews (Tasks 2 and 4) (49 CFR Part 674.27(a)(4) and FTA’s guidance for the Program Standard). The ODOT SSO program requires that each RTA develop a three-year schedule to cover the scope of the safety program and then annual updates for each of those three years of internal safety reviews. For each internal safety review completed each year, the RTA must provide each internal audit checklist or procedure to ODOT for review or comments at least 30 days ahead of starting that internal safety review. The 30-day notice is so that the SSO program staff might participate in the internal safety review as an observer.

The ODOT SSO program has communicated a set of 12 Groupings and 24 subcomponents to accomplish the ASP and SMS based internal safety program reviews. RG Section 5.2 provides details of the expectations.

• Grouping 1. ASP Updates and SMS Implementation o ASP Updates and Approvals, Safety Committee o SMS Implementation o Minimum Standards for Safety o Emergency Response

• Grouping 2. Safety Management Policy o Safety Management Policy o Organization Chart, Roles and Responsibilities o Employee Safety Reporting Systems

• Grouping 3. Safety Risk Management o Formal Risk Assessments o Incremental Risk Assessments o Hazard Identification, Mitigation Tracking

• Grouping 4. Safety Assurance – Safety Performance Measures and Targets for Improvement o Formal Safety Performance Measures, Targets, Results, Committees, Board Meetings, CAPs, and Data Analyses results

• Grouping 5. Safety Assurance – Notifications and Investigations of Safety Events o Notifications (federal, state, and others) o Safety Event Investigations

• Grouping 6. Safety Assurance – Compliance with Operations Rules/Procedures o Rules Compliance – Operations, Inspection, Maintenance

• Grouping 7. Safety Assurance – Compliance with Inspection and Maintenance (I&M) Requirements o Rail Equipment, Power & Way, Facilities o Right-of-Way (ROW)/Roadway Worker Protection (RWP)

• Grouping 8. Safety Assurance – Compliance with Local, State, and Federal Safety Requirements o Hazardous Materials, Fitness for Duty, OSHA, Drug & Alcohol

• Grouping 9. Safety Assurance – Management of Change o System Modifications, Safety and Security Certification, Procurement Controls, Transit Asset Management, Capital Projects, and Configuration Management

• Grouping 10. Safety Assurance – Continuous Improvement o Internal Safety Reviews/Audits o Safety Performance Results Feedback to ASP Updates

• Grouping 11. Safety Promotion – Training and Competency o Rail Operations, Rail Equipment, and P&W Training o RWP Training o ERP/NIMS Training

• Grouping 12. Safety Promotion – Safety Communication o Safety Management Policy, Employee Safety Reporting, Hazard Resolution, Notices and Bulletins

For the three-year audit cycle, Groupings 1 and 2 are reviewed/audited each year as part of the ASP annual review for update, as well as the Safety Performance results towards meeting the targets for improvement and any changes needed for the next year. The other 10 Groupings are audited once over the three-year period for aspects of their scope based on experience and safety risk priorities at the RTA.

For internal safety reviews completed each calendar year, each RTA is required to provide an Annual Report/Certification of Compliance by January 31st or no later than prior to March 1st. This report includes a letter for Certification of Compliance and the results of the internal audits, specifically the corrective actions defined. The ODOT SSO program must review and approve the Annual Report/Certification of Compliance, including the corrective actions developed. The PS also requests that each RTA provide their internal safety review reports as they are completed to streamline the review and approval process for the Annual Report/Certification of Compliance.

The ODOT SSO program still requires receipt, review and approval of the Security Program related internal audits.

If at any time during this process, the ODOT SSO program has any issues or does not concur with the checklists, procedures, reports, corrective actions or Annual Report/Certification of Compliance, changes needed will be communicated and coordinated with the RTA until the ODOT SSO program is able to concur.

WisDOT SSO Program, TxDOT SSO Program, DPU SSO Program

• Planned Staffing: Don Eldredge, Kevin Chandler, Josh Gearhardt, John Fedikovich, Cindy Boyd, Cameron Phelps

Process 5. Notifications and Investigations (Tasks 1, 2, and 4) (49 CFR Part 674.13(a)(5), 49 CFR Part 674.25(c) and (d), 49 CFR Part 674.27(a)(6) and (7), 49 CFR Part 674.33, and 49 CFR Part 674.35). The RTAs are required to provide notifications of safety events (including hazardous conditions) based on requirements from FTA and the PS Section 6 and RG Section 5.1, including Procedure SSO-003. Investigations of the defined safety events and hazardous conditions follow the requirements of PS Section 7 and RG Section 5.1 and 5.3, which also includes allegations of noncompliance with the ASP and investigation requirements, and the ODOT SSO program requires the RTAs to complete these investigations for the SSO program unless they are conflicted out of the investigation.

As described in the ODOT request for proposal, the contractor completes nearly all aspects of the SSO program work for notifications and investigations (safety events, hazardous conditions, or allegations of violation of the safety program) and coordinates and communicates issues and progress to the ODOT SSO program manager.

• The ODOT SSO Program contractor serves as the initial contact for notifications, following Procedure SSO-003. Conversations with the RTA contact may be required to determine reportability. An email from the contractor investigator is provided to the SSO program manager and contractor team. A follow-up phone call may be required to better inform the SSO program manager in case the FTA investigators inquire about the safety event.

• If the safety event is significant, the contractor and ODOT SSO program manager communicate to determine if a response to the RTA is required. If a response is deemed appropriate, the SSO program manager coordinates with the Office of Transit Management. The contractor coordinates with the RTA contact and responds to join the investigation.

• If the safety event is so significant that the National Transportation Safety Board (NTSB) or FTA responds to the safety event, then the contractor will respond to the safety event as described above and the SSO program manager joins the response as soon as approved by ODOT Office of Transit Management.

• In all cases where the contractor team responds to an RTA investigation, the contractor team provides a summary report of activities and progress of the investigation to the SSO program manager typically within 2 business days.

• For all investigations completed by the RTAs for the ODOT SSO program, an RTA investigation procedure is required to be reviewed and approved as a minimum standard for safety so that the RTAs can complete the investigations for, and in accordance with expectations of, the ODOT SSO program.

• For all investigations, a facts report is required by the end of the next business day to provide the facts of the safety event being investigated along with any immediate actions taken. The actions taken are approved via email within 10 business days as required in regulation and the program standard.

• The contractor receives all information regarding the investigations as they are completed, with a status report required every 30 calendar days until the investigation has been completed by the RTA investigator. All notifications and investigations underway are tracked and status reported to ODOT via the monthly program status report.

• If the contractor team leads or joins the investigation, the investigation and report process is the same as the requirements for the RTAs based on the RTA’s investigation procedures.

• Once an investigation report has been completed, the contractor investigator reviews the investigation information using the independent investigation review checklist in RG Section 5.1. This checklist addresses the requirements for the SSO program to assure the sufficiency and thoroughness of the investigation and helps to assure concurrence with the findings of causation. The completed checklist is a required SSO program record.

• Once the investigation report has been reviewed with the checklist and deemed complete, the contractor issues an approval and adoption letter to the RTA. In addition, the contractor reviews any corrective actions submitted to assure they are complete and appropriate based on the investigation report, findings of causation, and contributing factors. A separate review of the corrective actions is completed and a record of that review and approval is provided to the RTA and the ODOT SSO program manager.

Corrective actions are also covered in Process 6 next.

In order to be responsive to ODOT’s need to have staff immediately available to respond to RTA safety events, our team includes two staff members in Cleveland, Ohio. We have another three qualified staff members that can be in Cleveland, Ohio within 3 hours. For Cincinnati Streetcar, we have two qualified staff members who can respond to Cincinnati within 1.5 hours. 8 of the 10 Vital Assurance Team staff proposed are located in Ohio.

WisDOT SSO Program, TxDOT SSO program, DPU SSO Program

• Planned Staffing: John Fedikovich, Don Eldredge, Cindy Boyd, Kevin Chandler, Josh Gearhardt, Cameron Phelps, Dave Neumeister, Brian Kummerer

Process 6. Corrective Actions and Plans (CAPs) (Tasks 1, 2, and 4) (49 CFR Part 674.37 and 49 CFR Part 674.27(a)(8)). Corrective actions are covered in PS Section 8 and RG Section 5.4, including Procedure SSO-011. Sources of corrective actions are investigations, internal safety reviews, triennial safety program audits, FTA direction, safety risk monitoring activities, and hazards (conditions). Status of corrective actions are provided monthly from the RTAs and from the contractor to ODOT, as well as quarterly meetings between ODOT and each RTA, including a review of corrective actions.

Each corrective action defined must identify: the hazard or programmatic deficiency; the action to be taken by the RTA; an implementation schedule/due date; the individual(s) and department(s) responsible for the implementation; and any other critical information, such as interim/short-term steps taken while awaiting longer-term mitigations to be implemented. All RTA corrective actions must be reviewed and approved by the SSO program. Both the RTA and SSO program are required to track all corrective actions until closed. The RTAs must provide evidence of closure for each corrective action and the SSO program must review and approve the closure via that evidence. The ODOT SSO Program also follows up to check implementation of corrective actions and effectiveness, as appropriate, as part of Process 9 Safety Risk Management Monitoring.

WisDOT SSO Program, TxDOT SSO program, DPU SSO Program

• Planned Staffing: John Fedikovich, Cindy Boyd, Don Eldredge, Josh Gearhardt, Kevin Chandler, Cameron Phelps, Dave Neumeister

Process 7. Data and Information Management and Analysis (Task 1, 2, and 4) (49 CFR Part 674.27(a)(1) and 49 CFR Part 674.39). The ODOT SSO program is managed via safety program documentation, safety performance data and documentation, and programmatic records. All this information needs to be collected, organized, and stored in a manner that is easy to access. This process supports several activities within the SSO program including the FTA Annual Report, SSOR data entry and corroboration, monthly program status reports to ODOT, the Triennial Audit, meetings, Safety Risk Management Monitoring, and Management of Changes activities, scheduling, completion of meetings, and record keeping.

This process includes completion of a data analysis report of all data and information collected from each RTA. This report is updated twice a year, as a target. In addition, when a Triennial Safety Program Audit (see Process 8) is scheduled, part of the audit plan includes an update of the data analysis report as input to the Triennial Audit planning. This data analysis of safety event investigations, internal and external audits, and corrective actions supports the Quarterly Meetings planned with each RTA and the Safety Risk Management Monitoring activities (see Processes 9 and 10), including Risk-Based Inspections (RBIs).

WisDOT SSO Program, TxDOT SSO Program, DPU SSO Program, NJDOT SSO Program

• Planned Staffing: Cindy Boyd, Kevin Chandler, Josh Gearhardt, Don Eldredge, Dave Neumeister, Cameron Phelps

Process 8. Triennial Safety Program Audits (Tasks 5, 2, and 4) (49 CFR Part 674.31 and 49 CFR Part 674.27(a)(5)). Triennial Safety Program Audits are completed every three years for each RTA – see PS Section 5 and RG Section 5.8. The City of Cincinnati Streetcar Triennial Audit is scheduled for the Fall of 2026 and planning for the GCRTA Triennial Audit will be started in 2027 prior to the end of this proposed contract period.

Triennial Audits follow the procedure described in RG Section 5.8. Triennial Audits require significant effort to complete the process/procedure, which has 19 tasks broken down into these 4 categories:

• Audit Preparation

• Initiate Triennial Audit Activities

• Completing Interviews and Onsite Activities

• Reporting and Corrective Actions

Notification for the Triennial Audit is typically discussed at a Quarterly Meeting and then formal notification is provided via letter once the timeframe has been agreed to and this notification includes a documentation request and the objectives for the audit. Significant audit planning is completed and coordinated with the SSO program manager. This audit follows the same 12 Audit Groupings, and 24 Subcomponents presented in Process 4 Internal Safety Program Reviews.

WisDOT SSO Program, TxDOT SSO Program, DPU SSO Program

• Planned Staffing: Kevin Chandler, Josh Gearhardt, John Fedikovich, Cindy Boyd, Don Eldredge, Dave Neumeister, Brian Kummerer, Cameron Phelps

Process 9. Safety Risk Management Monitoring Tracking, Activities. and Meetings (Tasks 1, 2, 4, 7, and 8). The ODOT SSO program uses formal Quarterly Meetings with each RTA to assure that status of all SSO program activities is reviewed on a regular basis. These meetings are typically focused on corrective actions logs and status, recent safety events and investigations, and current or recent safety risk management monitoring activities. These meetings are often used to track progress in updating safety program documentation such as the ASP and communicating upcoming activities such as a Triennial Audit. Currently, GCRTA quarterly meetings are planned for January, April, July, and October. City of Cincinnati quarterly meetings are planned for February, May, August, and November. For each quarterly meeting, the date for the next quarterly meeting is chosen and any changes to that date and agenda content are communicated and coordinated with the SSO program manager.

The ODOT SSO program typically completes 8 sets of meetings each year with each RTA focused on Safety Risk Management Monitoring. These meetings are comprised of the 4 Quarterly Meetings and then another 4 sets of meetings, tours, and examinations at the RTAs. As a smaller rail system, Cincinnati Streetcar often only has 6 total visits for Safety Risk Management Monitoring instead of 8. We also attend (virtually) the Cincinnati Streetcar Safety and Security Review Committee (SSRC) meetings every two weeks. This process is also related to Process 10 for Management of Change.

Safety Risk Management Monitoring Categories and typical topics may include the following.

• ASP Updates, SMS Implementation, Policy – issues at the Board or CEO level, problems with funding, change in executive management, state of good repair, outside audits, ASP Updates, SMS Implementation activities.

• Rules, Procedures, Efficiency Testing and Training – Rule book updates, Bulletins and Orders, Inclement weather operations.

• Rail Operations – this could include hot spots out on the rail system, grade crossings, locations where issues occur more frequently than others.

• Command and Control – staffing in the control center, assuring competent performance.

• Rail Vehicles Maintenance – problems with specific subsystems or components.

• Rail Facilities – Yards and Shops including problems with operations or systems.

• Track and Switches, Overhead Catenary/Contact System, Substations, Signals, and Structures – specific inspection and maintenance issues and performance.

• Management of Change and Capital Projects – tracking, safety oversight for safety certification, configuration management.

• Ride Log – assuring knowledge of the rail system and the risk environment from the point of view of riding the system and rail stations.

• FTA Safety bulletins, Safety Advisories, Special Directives, General Directives, and requests for information – these have been prioritized by FTA for the SSO Program and RTAs.

WisDOT SSO Program, TxDOT SSO program, NJDOT SSO Program, DPU SSO Program

Eldredge, Dave Neumeister, Brian Kummerer, Cameron Phelps

The Risk-Based Inspection (RBI) Program requirements have been introduced by the BIL/IIJA and FTA has issued Special Directive 22-41 to ODOT and requires the development of the RBI program. Guidance was provided via a toolkit. The addition of the RBI Program development and implementation are considered a part of the Safety Risk Management Monitoring activities in Process 9. ODOT’s RBI Development Plan was approved by FTA via letter on January 22, 2025.

The ODOT SSO Program is in the process of updating the Program Standard with all the regulation changes to 49 CFR Part 674, including RBI. Within 12 months of being approved, the ODOT SSO RBI Program must complete the following Implementation requirements. In addition, FTA has recently provided a checklist for submitting this information for the RBI programs.

• FTA-22-41-I001-ODOT. Submit documentation that confirms the SSOA has conducted risk-based inspections according to Program Standard requirements including the areas of:

a. Scheduling inspections

b. Inspection reports

c. Immediate safety concerns

d. Inspections of equipment, infrastructure, and practices specific to each RTA

e. Incident verification

f. Ongoing monitoring

g. Defects and corrective or remedial action

h. CAPs and safety risk mitigation verification

• FTA-22-41-I002-ODOT. Submit documentation that demonstrates the SSOA has received safety data from each RTA it oversees, and that the data has been received in accordance with the policies and procedures for sharing the data. This includes receiving the safety data sets specified in the Program Standard, the processes for sharing the data, and submission time frames defined in the Program Standard.

• FTA-22-41-I003-ODOT. Submit documentation that confirms the administrative policies and procedures of the risk-based inspection data management system are followed. The documentation must demonstrate the data management system stores records according to the SSOA’s policies and procedures for the risk-based inspection data management system and should demonstrate maintenance of the data management system.

• FTA-22-41-I004-ODOT. Submit documentation that confirms the SSOA has implemented the risk-based inspection prioritization according to the timelines outlined in the Program Standard.

• FTA-22-41-I005-ODOT. Submit documentation that the SSOA has conducted risk-based inspections for each RTA it oversees, and that those inspections are consistent and ongoing as defined by the SSOA’s Program Standard.

• FTA-22-41-I006-ODOT. Submit documentation that the SSOA has inspected the full spectrum of activities each RTA conducts and that those inspections are prioritized based on relevant data, including safety program, maintenance, and inspection data.

FTA has a new online system to collect information and documentation required to be provided by SSO Programs for Special Directives, including the RBI Implementation Required Actions – Special Directive Management Tool (SDMT).

Process 10. Management of Change Tracking, Activities, and Meetings (Tasks 1, 2, and 4).

The SSO program oversight now explicitly includes “projects in engineering and construction” as part of the regulation, see 49 CFR Part 674.25(c). The ASP and SMS now combine all the Management of Change activities into one as part of Safety Assurance:

• System Modification

• Safety (and Security) Certification

• Procurement process safety program controls for projects

• Configuration Management and Control process, including a formal Committee.

Management of Change typically focuses on three types of projects or activities.

• System modifications that need engineering technical support and oversight that then need to be communicated and documented through Configuration Management, including changes to procedures, manuals, and training.

• New vehicle purchases that require engineering technical support and oversight for specifications, procurement, procurement controls, some version of safety certification, and then Configuration Management, including changes to procedures, manuals, and training.

• Significant Capital Projects for new rail systems, refurbishments, or significant changes to rail systems typically require significant engineering technical support and oversight for safety certification, procurement controls, safety risk management, and Configuration Management, including changes to procedures, manuals, and training.

The Vital Assurance Team already tracks all the capital projects at each RTA, the system modifications, the procurement controls for purchases and projects, and configuration management process and committee records. Field work and meetings are scheduled, notes are taken, and results are coordinated with the SSO program manager. Field work related to Capital Projects is a part of the Safety Risk Management Monitoring process.

Program

Eldredge, Dave Neumeister, Tim Walters, Brian Kummerer

Process 11. Roadway Worker Protection (RWP) (Task 3). Although FTA has finalized a new regulation for RWP (49 CFR Part 671), the RTAs already have a version of RWP established, GCRTA with an RWP manual and flagging rules and Cincinnati Streetcar has rules and procedures. The ODOT SSO Program has the responsibility to make sure both RTAs have a compliant and SSO Program approved RWP Manual and Track Access Guide prior to December 2, 2025. In addition, the RTAs and ODOT SSO Program will need to ensure that the RTAs collect records at least on a quarterly basis (provided to the SSO Program) and the SSO program will need to audit at least annually starting with calendar year 2026.

Program

Eldredge, Dave Neumeister, Tim Walters, Brian Kummerer

Additional Work for ODOT Consideration. As part of the RBI Program Development, the ODOT had to update their Workload Assessment for expected level of effort for the SSO Program. With the delay in being approved for RBI, the ODOT SSO Program only completed 5,375 hours in calendar year 2024. To meet the Workload Assessment for the next two years, the level of effort needs to increase to 6,305 in the first-year hours and 7,160 hours in the second year. This leads to a need to increase the total level of effort by 2,715 hours or justify a modification to the Workload Assessments. The increased level of effort could support the following activities:

• Capital Projects – Additional monitoring of GCRTA’s Rail Car Replacement Program (RCRP), new railcars will be in testing and preparing for service during this contract.

• Fully Establishing SRMM and RBI, as well as RWP – not fully implemented under the current level of effort. This includes increased data review, analysis, and field work.

• SRMM/RBI – these are focused on more surveillance and monitoring safety performance outcomes at each RTA – 2024 GCRTA onsite visits was 6 (additional travel for the 2024 Triennial Audit, 2 more trips) and Cincinnati was 4. The planned visits are higher under the increased level of effort for 10 onsite visits for GCRTA and 6 onsite visits for Cincinnati. Note that these levels of effort and direct cost increases are not currently priced.

B. Organizational Structure/Staff Plan

Mr. Kevin Chandler is proposed as the Vital Assurance Team Project Manager and serves as primary contact for this proposed contract. Mr. Josh Gearhardt is proposed as the Deputy Project Manager in support of the Project Manager, SSO Program Manager and lead for RTA interactions and site visits. The table provides a summary of the 10 staff proposed for this project and resumes for each person are provided separately from this proposal document.

Additional qualified staff are available and planned, as needed, including Ryan McKinley, Jennifer Tran, Jessyca Hayes, Kristin Bussard, and Erin McCandlish. The proposed key staff are focused on SSO programs, related grant programs, FTA and state requirements, program standards, policies, and procedures through experience operating and providing technical support for multiple SSO programs.

Proposed Staff Qualifications and Experience

Kevin Chandler, B.S., Electrical Engineering, Project Manager* -

More than 30 years of experience working in transit, all modes, safety, security, emergency management, project management and transit capital projects. Experience with ODOT’s SSO program for nearly 18 years and experience working in New York, New Jersey, Wisconsin, Washington, Proposed Staff Qualifications and Experience

Availability planned at 50%, up to 75%

Massachusetts, and Texas. Currently, an associate instructor for FTA/TSI SMS for Transit Agencies.

Josh Gearhardt, BA Political Science, MBA, Deputy Project Manager* - Availability planned at 50%, up to 75%

20 years of experience working in transit operations, safety, security, and emergency management, project management and transit capital projects.

Experience with ODOT’s SSO program, including as the program manager and leading Cincinnati Streetcar oversight activities. Leading SSO program activities for Wisconsin and Texas. Participating in SSO programs for New Jersey and New York.

John Fedikovich, Lead Investigator* - Availability planned at 50%

More than 30 years of experience in rail transit operations in Cleveland and Atlanta. Serves as an Operations Subject Matter Expert for rail operations, control center, maintenance, and rail systems for Ohio and New York.