C.9_Authority_Safety_and_Security_Mangement_Plan_(SSMP).pdf

IFB No.: HSR25-12 Fresno Station Early Works

C.9 Authority Safety and Security Management Plan (SSMP)

Revision(s) Date Description 0 12/10/2025 Initial Release

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CALIFORNIA HIGH-SPEED RAIL

AUTHORITY

PLAN

PLAN-1004

TITLE: Safety and Security Management Plan

California High-Speed Rail Authority PLAN-1028, Revision 0 2025-05-20 Page i

TABLE OF CONTENTS

TERMS AND DEFINITIONS

1 MANAGEMENT COMMITMENT AND PHILOSOPHY

1.1 Safety and Security Policy Statement

1.2 Background

1.3 Purpose of the Safety and Security Management Plan

1.4 Scope and Applicability

1.5 Safety and Security Management Plan Goals and Objectives

1.6 Safety and Security Management Plan Review and Updates

1.7 Safety and Security Management Plan Applicability to Third Parties

1.8 System Safety Program Plan and Security Program Plan

2 SAFETY AND SECURITY INTEGRATION INTO THE PROGRAM DEVELOPMENT

PROCESS

2.1 Safety and Security Activities

2.2 Procedures and Resources

2.3 Interfacing Management

2.4 Procedures for Managing Sensitive Security Information

3 SAFETY AND SECURITY RESPONSIBILITIES

3.1 Roles and Responsibilities

3.2 Authority Organization

3.3 Consultant Staff Organizations

3.4 Contract/Procurement Safety and Security

3.5 Committee Structure

3.6 Safety and Security Responsibilities Matrix

4 HAZARD MANAGEMENT

4.1 Overview

4.2 Risk-Based Safety Hazard Management

4.3 Security Risk Assessment Process

4.4 Verification and Validation Documentation

5 DEVELOPMENT OF SAFETY AND SECURITY DESIGN CRITERIA

5.1 Prevention through Design

5.2 Design Criteria

5.3 Design Reviews

5.4 Deviations and Changes

6 OPERATIONS AND MAINTENANCE

6.1 Operations and Maintenance Requirements

6.2 Operational Plans, Rules, and Procedures

6.3 Training Program

6.4 Emergency Preparedness

6.5 Public Awareness Activities

California High-Speed Rail Authority PLAN-1028, Revision 0 2025-05-20 Page ii

7 SAFETY AND SECURITY CERTIFICATION PROGRAM

7.1 Overview

7.2 Responsibilities

7.3 Safety and Security Certification Process

8 CONSTRUCTION SAFETY AND SECURITY

8.1 Overview

8.2 Program Elements

8.3 Construction Risk Management

9 STATE SAFETY OVERSIGHT REGULATIONS

9.1 Applicability

10 COORDINATION WITH FEDERAL RAILROAD ADMINISTRATION

10.1 Activities

10.2 Implementation

10.3 Coordination Process

11 DEPARTMENT OF HOMELAND SECURITY COORDINATION

REFERENCES

CONTACT

APPENDIX A

APPENDIX B

California High-Speed Rail Authority PLAN-1004, Revision 10 2025-06-20 Page 1

TERMS AND DEFINITIONS

The following abbreviations, acronyms, and terms are used in this document.

Table 1: Acronyms, Abbreviations and Terms

Term Definition ALARP As Low as Reasonably Practicable ANSI American National Standards Institute Anti-Collision Devices

These crane safety devices are intended to eliminate the possibility of crane chassis and human factors failure resulting from crane or vehicle movement. Examples are amber strobe lights, high-visibility flagging, audible warning devices, and video cameras.

Anti-Current Devices These crane safety devices prevent the transmission of electrical current from energized power lines to crane components in contact with the lines or personnel in contact with the crane. Examples are insulated boom cages, lines or links, barriers, and proximity or current warning devices. Note: all anti-current devices should be considered redundant safety measures, secondary to visual inspection for power lines and de-energizing power lines.

Anti-Upset Devices These crane safety devices prevent a crane from overturning or tipping and therefore protect against the resulting support or chassis hardware failure. Examples are levels, boom angle indicators, load charts/ monitors, load moment indicators, outriggers, boom stops, anti-two-block mechanisms (positive stop and audible), wind sensors, and brakes.

AREMA American Railway Engineering and Maintenance-of-Way Association

ARHRAM Adjacent Railroad Hazard Risk Assessment Model ATC Automatic Train Control Authority California High-Speed Rail Authority Authorized Person A person approved or assigned by an employer to perform a specific type of duty or duties or to be at a specific location or locations at the worksite. (29 CFR 1926.32 (d))

CAPs Corrective Action Plans Certificate A written document attesting to the successful completion of an established training plan by an individual trainee. (ANSI Z490.1- 2001)

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Term Definition CFR Code of Federal Regulations CIL Certifiable Items List Competent Person A person who is capable of identifying existing and predictable hazards in surroundings or working conditions which are unsanitary, hazardous, surrounding, or dangerous to employees, and who has authorization to take prompt corrective measures to eliminate them. (29 CFR 1926.32(f))

Compliance Meeting the requirements of local, state or federal statutes, standards or regulations. (ANSI Z10-2005)

Conformance Meeting the requirements of established OHSMS. (ANSI Z10- 2005)

Construction Work for construction, alteration, and/ or repairs, including painting and decorating. (29 CFR 1926.32(g)). The project phase that begins with the development, fabrication, or building of the engineered design and concludes with the delivery of the completed project/ section. This phase includes the inspection, review, and testing of the delivered project and concludes with the determination that the delivered project meets the engineering specification. (FTA Circular 5800.1, Chapter I, Section 5.b)

Construction Safety and Security Plan

(CSSP)

A document prepared by HSR, as part of the SSMP, which describes the requirements for contractors to address construction safety and security for the Project. The CSSP requirements include submittals of the Contractor Health and Safety Plan, Site Safety and Security Plan, and notifications or reports that must be submitted to HSR.

Contractor A contractor, specialty contractor, or other entity as designated in the project documents is responsible for the part of the design or construction process on a construction project. (ANSI A10.33

- 1998). This means an entity that performs tasks specified for the major capital project by HSR (the recipient). Contractors for recipients are typically private sector enterprises engaged to provide services or products within agreed specifications by a procuring activity undertaken by the recipients. (FTA Circular

5800.1 Chapter I, Section 5.c).

Contractor Health and Safety Plan

(CHASP)

A document prepared by the contractor describes their company program and policies and complies with HSR minimum requirements in written safety and health program criteria. This document must be submitted to HSR for informational purposes only.

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Term Definition Corrective Action Action taken to eliminate or mitigate the cause of a system deficiency, hazard, or risk (fix an existing problem) (ANSI Z10- 2005).

CPTED Crime Prevention Through Environmental Design CPUC California Public Utilities Commission Critical Lift When using cranes or hosts, the following are identified as critical lifts requiring detailed planning and additional or unusual safety precautions. a) Any lift involving hazardous materials: b) hoisting personnel with crane or hoist: c) lifts made with more than one crane; d) lifts where the center of gravity could change:

e) lifts the operator believes should be considered critical; f) lifts made when load weight is 75% of the rated capacity of the crane load chart or more (not applicable to overhead, gantry or bridge cranes); g) lifts without the use of outriggers using rubber tire load charts; h) lifts using more than one hoist on the same crane or trolley; i) lifts involving non-routine or technically difficult riffing arrangements (including Multiple Lift Rigging); j) lifts involving submerged loads and k) lifts out of the operators view of except if ANSI B30.5 hand signals via a certified signal person in view of operator or radio communications are available and is determined a routine lift by the lift supervisor.

U.S. Army Corps of Engineers Manuel EM 385-1-1, 16.H.01)

CSM Common Safety Method CSSP Construction Safety and Security Plan Designated Person See Authorized Person (29 CFR 1926.32(i)) DF Disproportionate Factor DHS Department of Homeland Security Document Written, electronic, or photographic information such as procedure or records (ANSI Z10-2005) DOORS Dynamic Object-Oriented Requirements Management System

(Verification and Validation database) DOT Department of Transportation EMP Emergency Management Plan EOS Early Operating Segment: Merced to Bakersfield ETO Early Train Operator FCS First Construction Segment: Madera to Poplar Ave.

FLSSC Fire and Life Safety and Security Committee

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Term Definition FMEA Failure Mode Effects Analysis FRA Federal Railroad Administration FTA Federal Transit Administration FTAn Fault Tree Analysis IED Improvised Explosive Device IHA Interface Hazard Analysis ISO International Organization for Standardization JHA Job Hazard Assessment MTTHE Mean Time to Hazardous Event OCS Overhead Contact System OHA Operating Hazard Analysis OHSMS Occupational Health and Safety Management System OSHA Occupational Safety and Health Administration PBIED Person-borne Improvised Explosive Device PCM Project Construction Management PDS Program Delivery Service PHA Preliminary Hazard Analysis PMP Program Management Plan Program Refers to all staff (Authority, consultants, and subcontractors), property, and systems PTEPP Passenger Train Emergency Preparedness Plan RAM Reliability Availability Maintainability RC Regional Consultants RSES Rail Systems Engineering Services SHA Software Hazard Analysis SHEA Software Hazard Effects Analysis SiSHA Site-Specific Hazard Analysis SiSTVA Site-Specific Threat and Vulnerability Assessment SONO Statement of No Objection SPP Security Program Plan SSC Safety and Security Certification

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Term Definition SSHASP Site-Specific Health and Safety Plan SSI Sensitive Security Information SSMP Safety and Security Management Plan SSOC Safety and Security Oversight Committee SSPP System Safety Program Plan SSSP Site-Specific Security Plan TSA Transportation Security Administration TVA Threat and Vulnerability Assessment

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1 MANAGEMENT COMMITMENT AND PHILOSOPHY

1.1 Safety and Security Policy Statement

The Authority recognizes that effective safety and performance management is critical to the delivery of a successful Program and, thus, has instituted a Safety and Security Policy Statement. The Safety and Security Policy Statement reflects the commitment to making safety a part of how the Authority conducts business every day. Additional details may be found in POLI-1021.

1.2 Background

The Federal Railroad Administration (FRA) requires the California High-Speed Rail Authority (Authority) to implement safety and security principles and processes throughout the development and operation of the Program. The FRA uses Federal Transit Administration (FTA) regulations found in the 49 Code of Federal Regulations (CFR) Part 633, which requires the development of a Program Management Plan (PMP) for every major capital transit project. As described in FTA circular 5800.1 – Safety and Security Management Guidance for Major Capital Projects (dated 8/1/07), a Safety and Security Management Plan (SSMP) is the element of the PMP that manages project safety and security activities, responsibilities, and verification processes throughout the project life cycle. The SSMP fulfills one of the FRA requirements for managing safety and security in the development and operation of the Program.

The SSMP does not carry over into revenue operations. However, it does lay the groundwork and requirements for the development of a System Safety Program Plan (SSPP), Security Program Plan (SPP), and Emergency Management Plan (EMP) to govern safety and security for the operating system prior to the start of revenue service.

The FRA has regulations that require the application of an SSPP to inter-city passenger railroad operations.

1.3 Purpose of the Safety and Security Management Plan

The SSMP formalizes management principles and strategies for determining safety and security identification and risk acceptance from the design stage through the start of revenue service. The SSMP defines the process for identifying, evaluating, and resolving safety hazards and security vulnerabilities associated with future railroad operations of the system prior to the start of revenue service. This process helps achieve the highest practical level of operational safety and security for the riding public, employees, and anyone coming into contact with the Program.

https://ecfr.io/Title-49/pt49.7.633 https://ecfr.io/Title-49/pt49.7.633 https://www.transit.dot.gov/regulations-and-guidance/fta-circulars/safety-and-security-management-guidance-major-capital https://www.transit.dot.gov/regulations-and-guidance/fta-circulars/safety-and-security-management-guidance-major-capital

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The purpose of the SSMP is to define the safety and security activities of the Program and methods for identifying, evaluating, and resolving potential safety hazards and security vulnerabilities. It establishes responsibility and accountability for safety and security during preliminary engineering, final design (ready for construction), construction, testing including trial operations, and start-up stages of Program development. specifically, the SSMP:

• Establishes the Authority’s commitment and philosophy to achieve the highest practical level of safety and security for the Authority’s integrated team that includes staff, consultants, contractors, emergency responders, and members of the public who come into contact with the Program.

• Establishes processes for managing safety and security activities intended to minimize the risk of injury and property damage and to maximize safety and security for Program passengers, employees, and the public.

• Integrates safety and security functions and activities throughout the Program and its organizational structure.

• Defines safety and security roles and responsibilities and required committees across the Program, including between the Authority and Program preliminary engineering, design, construction, testing, and start-up teams.

• Defines the processes for documenting and certifying the design, construction, testing, and start-up stages of the Program.

• Evaluates project stages and activities to ensure continued development and advancement of safety and security principles.

• Establishes the framework for construction and operational safety and security.

1.4 Scope and Applicability

The SSMP applies to all stages of Program development, from preliminary engineering through final design, construction, testing, start-up, and operations/maintenance stages.

The SSMP encompasses all equipment, infrastructure, operation, and maintenance plans and procedures associated with the Program.

1.4.1 Project Description

The Program is constructing a state-of-the-art, statewide, high-speed performance passenger railroad based on operating practices and designs of existing high-speed rail networks in Europe and Asia that have had extraordinary performance and safety records. The Program requires certification from federal agencies. These agencies have indicated they are open to approaches that provide equivalent or better safety than existing rail regulations in the United States. The Authority’s objective is to develop a system of more than 800 route-miles that provides electrified high-speed rail service between the major metropolitan centers within the San Francisco Bay Area and Sacramento in the north, through the Central Valley, to Los Angeles, Anaheim, and San Diego in the south.

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1.4.1.1 Dedicated and Blended Corridor

Authority trains will operate at speeds up to 200 mph within its dedicated corridors where the Program has sole use of a track, and up to 125 mph in shared use/blended conditions with other rail carriers. No hazardous materials will be transported or permitted to be transported on Authority trains. However, blended corridors may include freight that could carry hazardous materials on adjacent tracks.

The SSMP applies to both the dedicated and blended corridors. However, the application of the SSMP in the blended corridor is contingent on the Authority’s level of control over blended corridor infrastructure and/or operating conditions.

1.4.1.2 System Technology and Hazard Response

Authority service will use high-speed steel-wheel on steel-rail technology, which has been service-proven in Asia and Europe and provides a high level of safety, comfort, and reliability. The system will operate on standard gauge track with electric trains powered using an Overhead Contact System (OCS). The right-of-way will make use of tunneling and elevated structures as well as high-speed turnouts to achieve an ideal alignment and profile. Automotive, animal, other railroad, and non-railroad equipment crossings will be established using an underpass or overpass, except in portions of the blended corridor.

The system will include an Automatic Train Control (ATC) system based on designs for similar high-speed environments in Europe and Asia, modified only where necessary to meet regulatory requirements and functional and performance needs specific to the Program. The ATC system will cover all functions of a train control system, including both safety-critical and non-safety-critical operations, and will incorporate Positive Train Control in compliance with 49 CFR Part 236. A hazard detection system will be applied throughout the system, where supported by hazard analysis, to alert the operations control center of events that warrant a system response. Hazards may result from natural events such as seismic activity, excessive wind speeds, high water levels, and excessive ambient temperature levels that trigger a system response, and other events such as vehicle or rail car intrusion, equipment or system failure and trespassers.

1.4.2 Staged Implementation

Although preliminary engineering stage activities occur simultaneously for the entire system, due to the size of the eventual system, final design and construction stage activities are being developed in stages per geographic sections. The First Construction Section (FCS) will encompass three construction packages covering 119 miles between Madera and Popular Ave north of Shafter. The Board-adopted 2024 Business Plan includes the extension of civil and track systems construction work to Merced and Bakersfield for a total of 171 miles.

https://ecfr.io/Title-49/cfr236_main

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The designs for the extensions to Merced and Bakersfield, as well as the four Central Valley stations, are progressing. The SSMP has been developed with processes that will ensure conformance to system safety goals and requirements throughout the life cycle of the Program and while various segments are under different development stages simultaneously.

1.4.3 Safety and Security Management Plan Scope

This SSMP encompasses the following equipment, facilities, plans, and procedures as they relate to the system:

• System-Wide Elements − includes passenger vehicles; train control and signaling; voice and data communications; closed-circuit television cameras and recorders; OCS; traction power substations; track; and auxiliary vehicles and equipment.

• Fixed Facilities − includes rail stations; pedestrian overpasses and underpasses;

highway overpasses and underpasses; aerial and other elevated structures;

below-grade structures and tunnels; operations and maintenance facilities including storage yards, shops, and sidings; administrative facilities; and the operations control center.

• Safety and Security Plans and Procedures − includes items such as Safety and Security Certification (SSC) Plan, Safety and Security related Design Criteria, Passenger Train Emergency Preparedness Plan (PTEPP), SSPP, SPP, and

EMP.

• Procedures and Instructions - includes items such as hazard management, operations and maintenance plans and procedures, rulebooks and manuals, training programs for operating, maintenance, and management employees, employee qualifications, contractor training, and emergency responder training.

1.5 Safety and Security Management Plan Goals and Objectives

1.5.1 Goals

The goals of the SSMP are as follows:

• Ensure the system initiated into revenue service is safe and secure for passengers, employees, emergency response personnel, and the general public through a formal safety and security hazard management program.

• Ensure the design, procurement, construction, fabrication, installation, inspection, and testing of critical elements of the Program will be verified and validated for conformance, through federally mandated certification, with the established safety and security requirements to achieve an acceptable level of safety and security.

• Ensure a mechanism is in place for the resolution of any restriction to full SSC to align with Program hold points / stage gates.

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• Ensure development and implementation of a Construction Safety and Security Program that provides appropriate safeguards during all Authority work activities against injuries to employees and the public, damage to property and the environment, as well as minimizes security breaches.

• Achieve a level of risk that is acceptable to the Authority through a systematic approach to hazard and threat/vulnerabilities management.

1.5.2 Objectives

The SSMP goals will be achieved by meeting the following objectives:

• Identifying, evaluating, resolving, and documenting safety hazards and security vulnerabilities at the earliest possible project stage of Program development, applying the Prevention through Design principle where possible.

• Continue as needed to establish specific safety and security requirements for the Program based on applicable safety and security regulations, codes, standards, guidelines, and recognized domestic and international best practices.

• Certifying that all Program facilities, systems, and equipment have been designed, built, procured, installed, inspected, and tested in accordance with identified safety and security requirements, prior to the start of revenue operations to ensure the safety and security of customers, the public at large, and other third-party entities interfacing with the Authority.

• Providing oversight of each contractor’s construction safety and security program by monitoring contractor adherence to all Program, contractual, local, state, and federal regulations and requirements, including established construction safety and security requirements and the California Occupational Safety and Health Administration safety regulations for construction projects.

• Establishing a program for completing the training of personnel who will respond to emergencies, including Program personnel and emergency responders, on the Program emergency procedures, equipment, and operations.

• Establishing and documenting the qualifications and training programs for all personnel who will operate and maintain the Program in revenue service.

• Conducting and documenting emergency exercises and drills prior to the start of revenue service.

• Documenting safety, security, and emergency rules and procedures for Program employees, staff, and contractors in the form of rulebooks, standard operating procedures, emergency operating procedures, and other documents.

• Maintaining a process to manage and track open safety and security issues resulting from design deviations, change orders, and non-conformances from inception through closure and acceptance.

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• Documenting final SSC for each Program element under consideration by means of a Final Safety and Security Certification Report to the FRA prior to placing that element into revenue service. This could include the following Safety Cases, or structured arguments, supported by evidence, intended to justify that a system is acceptably safe for application.

o Design Safety Case (DSC) – Addressing all elements from Preliminary and Final Design.

o Testing Safety Case (TSC) – Addressing all elements from construction, installation, up to integration and testing.

o Handover Safety Case (HSC) – Addressing all elements from conclusion of integration and testing, up to trial operations for the railway system.

o Operation Safety Case (OSC) – Addressing all elements for start-up phase.

• Ensuring compliance and coordination with the FRA, California Public Utilities Commission (CPUC), the Transportation Security Administration (TSA), the Office of the State Fire Marshal, and other external agencies as applicable.

1.6 Safety and Security Management Plan Review and Updates

The SSMP is reviewed at least annually, whenever the PMP or other reference documents are modified, and following any SSMP audit to ensure the Safety and Security Management Program remains current and applicable. If revised, the SSMP is re-issued to all SSMP recipients. The SSMP is updated to reflect changes in the Program, the Authority’s organizational makeup, and/or the Safety and Security Management Program requirements. The Authority is responsible for the review and update process with oversight and coordination from the Director of Program Safety and Security.

FRA has developed regulations for inter-city passenger rail system safety programs, codified under 49 CFR Part 270. This SSMP is written to be in conformance with 49 CFR Part 270 Final Rule, effective May 4, 2020, and supports the implementation of an

SSPP.

1.7 Safety and Security Management Plan Applicability to Third Parties The safety and security requirements for third-party assets (e.g., adjacent infrastructure or operations, shared-use corridors, utility interfaces, etc.) are developed following the Safety and Security Management Program of the applicable third party but in conformance to the processes and requirements of this SSMP. SSC of third-party elements conforms to the third party’s (SSC Program) requirements and Section 7 of this SSMP.

https://ecfr.io/Title-49/pt49.4.270

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1.8 System Safety Program Plan and Security Program Plan

An SSPP will be developed prior to the start of revenue operations. The SSPP will comply with all FRA and other applicable regulatory requirements and will be appropriate in scope and content to manage the safety program’s transition from the project to an operating system.

An SPP will also be developed prior to the start of revenue operations. The SPP will comply with all Department of Homeland Security (DHS) and other applicable regulatory requirements and will be appropriate in scope and content to manage the security Program’s transition from the project to an operating system.

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2 SAFETY AND SECURITY INTEGRATION INTO THE PROGRAM

DEVELOPMENT PROCESS

2.1 Safety and Security Activities

This section describes the Safety and Security activities that have been or will be performed during major stages of the Program. A list of basic activities and desired milestone goals are presented in Table 2.

The Program has seven stages:

• Stage 1 – Initiation / Feasibility

• Stage 2 – Environmental Clearance and Preliminary Engineering

• Stage 3 - Generate Configuration Footprint

• Stage 4 – Early Works to Final Design and Right-of-Way- Acquisition

• Stage 5 – Procurement for Construction

• Stage 6 – Construction, Testing and Commissioning

• Stage 7 – Closeout

Although Environmental Clearance and Preliminary engineering stage activities occur simultaneously for the entire system, the Final Design and Construction stage activities are developed in stages per geographic segments, due to the size of the eventual system. The SSMP is developed with processes that will ensure conformance to system safety goals and requirements throughout the life cycle of the Program and while various segments are simultaneously under different development stages.

Within each stage of the Program, activities are evaluated to determine the safety and security-related certification actions expected to be accomplished at each milestone.

The Authority applies a detailed and thorough SSC Program. The SSC Program, as described in Section 7 of this SSMP, ensures that the Program achieves all safety and security requirements in Design Criteria and specifications and that the safety and security contents of the plans, procedures, and training materials are systematically reviewed and revised as required.

Leading up to and through the Environmental Clearance and Preliminary Engineering stage of the Program, Safety and Security activities encompass the following:

• Develop the SSMP, including a process for achieving SSC, to meet all FRA requirements for an SSMP in a major capital project, and in conformance with the FTA’s Circular 5800.1 Safety and Security Management guidance for Major Capital Projects.

• Specify SSC requirements, in conformance with the process identified in the Program (SSMP), in contract documents. SSC requirements will be included in the scope of work for the design and construction contractors during the final design and construction stages of the Program.

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• Maintain the certification tracking system.

• Perform a PHA (Preliminary Hazard Analysis) and a TVA (Threat and

Vulnerability Assessment) to identify certifiable elements and hazards/vulnerabilities requiring mitigation. Identify hazard/vulnerability mitigation from the PHA and TVA to incorporate into preliminary engineering and final design and construction. Perform additional analysis as required.

• Continue to develop safety and security conformance checklists, known as Certifiable Items Lists (CILs). The tracking system will be an integrated subset of the Verification and Validation program applied throughout the Program.

Table 2: Project Safety and Security Activities Matrix

Task No. Safety and Security Task

Project Phase

✓ = Task activity initiated → = Task activity updated

Prelim.

Engr.

Final Design Construction

Testing and

Startup

1 Develop and update the SSMP ✓ → → →

2 Identify Certifiable Elements and Items ✓ → → →

3 Specify Safety and Security Certification Requirements into Contract Documents

4 Implement Certification Tracking System ✓ → → →

5 Conduct PHAs and TVAs and Resolve Unacceptable Hazards and Vulnerabilities

6 Develop Design Criteria Conformance Checklists ✓ → →

7 Conduct Independent Safety and Security Audits ✓ → →

8 Verify Design Criteria Conformance Checklists and Issue Certificates

9 Develop Construction Specification Conformance Checklists

10 Develop Safety-Related Testing Conformance Checklists

11 Verify Specification Conformance Checklists ✓ →

12 Verify Safety-Related Testing Conformance Checklists

13 Verify Operations and Maintenance Manuals Conformance

14 Complete Contractor Training ✓ →

15 Complete Rules and Procedures and Issue Certificates

16 Complete Operations Training and Issue Certificates ✓

17 Complete Emergency Services Training ✓

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Task No. Safety and Security Task

Project Phase

✓ = Task activity initiated → = Task activity updated

Prelim.

Engr.

Final Design Construction

Testing and

Startup

18 Complete Emergency Response Exercises ✓

19 Issue Phase Safety/Security Certificate of Conformance

20 Issue Final Safety/Security Certification Report ✓

2.2 Procedures and Resources

2.2.1 Procedures

A Program Management Plan (PMP) (PLAN-PD-01) for the system was prepared that establishes the framework for managing and administering all activities related to implementation of the system and provides guidance for the coordination of activities.

The PMP identifies the PDS’ primary responsibilities to include: providing Program and project management technical expertise and leadership, including Commercial Oversight, Engineering, Environmental, Capital Planning, Sustainability, Risk Management, Program Baseline Development, Configuration Management, Program Development, and Program and Project Controls; delivering administrative and technical support in other areas, including Finance, Communications, Information Technology , Safety, Quality, Document Control, and other functional tasks, as requested; managing Program implementation, strategy development, and policy formulation; and providing the staffing and resources necessary for Program and headquarters project management.

A major component of the PMP is this SSMP, which describes processes for identifying and managing hazards and vulnerabilities associated with the Program. The Authority is responsible for ensuring the management of identified safety hazards and security threats, and vulnerabilities is effective and integrated throughout the design, construction, testing, and startup stages of the Program.

The Verification and Validation process is applied throughout the Program to track and verify that critical elements are incorporated into all Program stages. Critical elements include safety-critical and security-critical elements as identified through the hazard management processes described in this SSMP.

https://calhsr.sharepoint.com/sites/theterminal/pp/PLAN-PD-01_Program_Management_Plan.pdf

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2.2.2 Resources

The Authority Chief Executive Officer (CEO) authorizes the SSMP, ensuring it is applied throughout the Program and oversees the implementation of the SSMP through the Director of Program Safety and Security (DPSS). The Authority provides additional safety and security management resources for executing system safety and security activities during the Preliminary engineering stage. Further resources and responsibilities will be identified as the system progresses into later stages, culminating in startup and commissioning.

The budget and schedule for implementation of the SSMP is revised each year and is managed by the DPSS. This ensures the requirements of the SSMP are being executed by the Authority and supported by the Program and other contractors during the Preliminary engineering stage and in subsequent stages. This includes, but is not limited to: 1) the performance of safety analyses and security assessments at the appropriate stages of the project; 2) implementation of a SSC Program beginning at preliminary engineering and continuing through each subsequent stage of the project; 3) a process to ensure that safety issues and security concerns are addressed and tracked to resolution; and, 4) construction safety oversight activities, as appropriate to the construction stages and contracts underway at the time.

2.3 Interfacing Management

The Authority CEO has the ultimate decision-making authority for Program safety and security issues and is responsible for communicating safety and security issues to the Authority Board of Directors. See the Organizational Chart in Appendix A. The DPSS directly oversees the overall implementation of the Safety and Security Program and reports the progress and challenges in its implementation to the Safety and Security Oversight Committee (SSOC). The SSOC communicates safety and security issues to the Authority executive management.

Successful implementation of the SSMP also requires significant interaction between various members of the Authority and its integrated team, Consultants, Contractors, Engineering/Construction Managers, and Emergency Response Agencies. These interactions occur during regularly scheduled meetings of the SSOC, that focus on the safety and security aspects of the system.

2.4 Procedures for Managing Sensitive Security Information

Sensitive Security Information (SSI) is information about security, operations, facilities, or other assets or capital projects whose disclosure would be detrimental to the security of transit employees or customers. By law, transit agencies are required to categorize and protect SSI. Protecting SSI means restricting its distribution and controlling access to it. Currently, there are three types of SSI that apply to transit agencies:

• Security programs and contingency plans issued, established, required, received, or approved by Department of Transportation (DOT) or DHS.

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• Vulnerability assessments that are directed, created, held, funded, or approved by DOT or DHS, or that will be provided to either agency in support of Federal Security Program.

• Threat information held by the federal government concerning transportation, transportation systems, and cyber infrastructure, including sources and methods used to gather or develop the information.

By law, SSI is not subject to disclosure under the Freedom of Information Act (FOIA) or state “Sunshine Laws.” It is also not available under discovery in civil litigation, and it is not required to be part of the record in a federal rulemaking.

The FTA developed the (SSI): Designation, Markings, and Control resource document for transit agencies that covers how to identify, mark, store, control, transmit, destroy, and manage the release or withholding of SSI. It covers SSI in every form in which it is stored, including paper, electronic, magnetic, and other media. It also contains the minimum standards for employees and contractors to mark, store, control, transmit, and destroy SSI. Project managers must follow the resource document to ensure SSI is being handled correctly.

To protect SSI, the Authority has implemented the following business practices:

• Information Assessment and Categorization: The Authority has designated the DPSS as the position responsible for implementing the SSI business practices.

The DPSS will assess the documentation and determine what information is SSI.

• Proper Labeling of SSI: SSI will be clearly labeled to inform users of SSI as to the security sensitive nature of the information. The notice will appear on the top of every page of a document containing SSI. All SSI electronic files will be password protected.

• Limitation of Access: Only the Authority’s Program staff with a “need to know” may have access to SSI. The Authority’s DPSS or designee will be responsible for identifying those persons with a “need to know”.

• Storage of SSI: The DPSS’s designee will be responsible for storing SSI. A lockable file cabinet located in the Administrative Office will be designated and labeled as SSI for paper records. All SSI will be stored in the SSI file cabinet, as applicable.

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3 SAFETY AND SECURITY RESPONSIBILITIES

3.1 Roles and Responsibilities

The DPSS, under the direction of the Authority CEO, administers and oversees the implementation and activities of the Safety and Security Program. Additional details may be found in the Program Safety and Security Office Organizational Chart in Appendix A.

The Authority’s primary vehicle for oversight of the safety and security activities is a tiered organization of safety and security committees (explained in detail in Section 3.3).

The FRA has granted California High-Speed Rail lead agency status for the Federal Environmental Impact Statement. The FRA is also the primary regulatory agency responsible for approving and certifying the system safety and security aspects of the Program. At the state level, the CPUC has regulatory authority over rail safety. The California Office of the State Fire Marshal has regulatory authority over the fire and life safety aspects of the occupied structures, including right-of-way access ingress/egress facilities.

The Program and System Safety and Security Managers and staff will support the DPSS in the application of safety and security in all aspects and stages of the Program coordinating with the Program Deputy Directors, Discipline Managers, and Regional Managers. This support will ensure that other individual project staff members perform in accordance with the SSMP in establishing and overseeing the safety and security management tasks. The Program’s primary vehicle for input to and support of the safety and security activities is the SSOC (explained in detail in Section 3.3.2).

Staff members assigned to the Program by the Authority, contractors, consultants, emergency response agencies, FRA, and CPUC are responsible for ensuring that the design, construction, installation, and testing of all safety-critical and security-critical system elements of the system are evaluated for conformance with the safety and security requirements and verified for operational readiness before completing each stage of the Program.

Refer to Figure 1 for the Program organizational chart for safety and security activities.

This SSMP is updated to reflect any significant changes in the organizational structure or definition of responsibilities with respect to safety and security in the Program.

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Figure 1: Program Organization for Safety and Security Activities

3.2 Authority Organization

The Authority has a core staff, supported by contracts with private consulting firms, to carry out the project’s safety and security programs, environmental studies, project planning and engineering work under the supervision and guidance of Authority staff.

The Authority’s DPSS is responsible for safety and security activities, reporting directly to the CEO.

The project organization will remain in place throughout the Program development process however, the composition of the project organization may be revised to respond appropriately to the changing project needs as the project proceeds through from the Preliminary engineering stage through to the start of revenue service. The Authority’s project organization during the initial project stages is comprised of the Authority’s integrated team and staff supplemented by Regional Consultant staff. In each stage, the Authority will use the assistance of its integrated team to manage Program-related activities, as well as further assistance from professional engineering and other project management consulting firms. The current Authority organization is shown in Appendix A.

3.2.1 Authority Chief Executive Officer (CEO)

The Authority CEO oversees and directs the management of all Authority staff and the integrated team.

3.2.2 Chief of Project Controls

The Authority Chief of Project Controls (Director of Risk Management of Project Controls) reports directly to the Authority CEO and is the Vice-Chair of the Authority’s Enterprise Risk Committee. Responsibilities under this position include managing and overseeing the Enterprise Risk Management (ERM) Program, leading the Program Management Oversight (PMO) Enterprise Management Branches. Additional responsibilities from the ERM Plan are as follows: responsible for developing and implementing the ERM Program, promoting, and supporting our risk-aware culture, establishing a dynamic, agile enterprise-wide risk management strategy to guide

2025-06-20 Page 20 decision making across the organization. In addition, the Chief of Project Controls is responsible for operationalizing the ERM Plan.

3.3 Consultant Staff Organizations

The Authority has engaged professional consultant staff(s) to assist with the Authority’s delivery management. As integrated members of the Authority’s staff, the consultants provide technical expertise, advice, and support to the Authority with regards to safety and security.

3.3.1 Director of Program Safety and Security (DPSS)

The DPSS reports directly to the Authority CEO and is responsible for identifying, managing and tracking risks and risk mitigation/contingencies, and all responsibilities related to safety and security management for the Program. Their duties also include maintaining the risk management tool and documentation information, leading risk identification sessions for the Program, monitoring risk management efforts, and participating in risk management activities for risks that cross Program boundaries or are beyond the Program’s control. The DPSS chairs the SSOC and reports its activities to Authority executive management. The active management of all safety and security efforts and personnel for the project are the responsibility of the DPSS.

The DPSS has the responsibility for, but is not limited to, the following:

• Provides senior level leadership, expertise, and vision to assist in the development of a safety and security culture for the Program.

• Ensures the Safety and Security team performs hazard management of Program elements and Design Criteria to determine any potential hazards that may be created by system development, expansion or modification, and supporting the development of mitigating and controlling factors to address such hazards.

• Participates in design reviews, including overseeing and administering the SSC Program.

• Ensures monitoring compliance regarding construction site safety and security Program wide.

• Partners with the Authority’s engineering, operations and maintenance staff to ensure the system is being designed to meet all safety and security criteria.

• Fulfills a key advisory role to the Authority executive management SSOC.

• Directs the Authority’s outreach efforts to local, regional, and State emergency response agencies.

• Ensures SSMP requirements and processes are being implemented and SSMP goals and objectives are being achieved.

• Oversight of the Authority’s safety and security activities.

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• Develops corrective action plans that result from accident/incident investigations, hazard analyses, certification of CILs, and safety and security reviews and audits.

• Tracks corrective actions through closeout to ensure all identified deficiencies are adequately mitigated or controlled.

• Reviews the Authority decision for Contractor’s safety submittals.

• Investigates accidents and incidents on behalf of the Authority.

• Reports unacceptable hazardous conditions to executive management as soon as possible.

• Fulfills the role of Chair for the statewide Fire and Life Safety and Security

Committees (FLSSCs).

• Performs other safety-related activities as requested by the Authority.

3.3.2 Program Safety and Security Manager

The Program Safety and Security Manager provides direction and oversees the development and implementation of activities under the Authority’s Program Safety and Security Branch. This position assists the DPSS administer and monitor the Authority’s Program occupational and construction safety and security measures and performance through adherence to pertinent government regulations, federal grant requirements, and industry best practices.

The Program Safety and Security Manager has the responsibility for, but is not limited to, the following:

• Monitors and evaluates compliance and makes recommendations to the Director and managers regarding construction site safety Program wide.

• Oversees the Authority’s safety and injury incident response and reporting processes through collaboration with the Program Construction Safety Manager, construction contractors, and Program Delivery Support (PDS) staff to ensure compliance with occupational safety and health regulations.

• Monitors safety and security efforts throughout system lifecycles to ensure their efficiency and effectiveness, including identifying safety risks and assisting with the development of safety mitigation strategies for the Authority to continually improve its processes.

• Attends critical cross-functional safety meetings and prepares meeting materials to be shared internally and externally.

• Performs other safety-related activities as requested by the Authority.

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3.3.3 Deputy Program Safety and Security Director

The Deputy Program Safety and Security Director will support implementation and completion of all safety and security activities associated with development of the Program.

The Deputy Program Safety and Security Director will support the Authority in the following:

• Assist in managing and overseeing large-scale safety and security design criteria for inclusion into Authority projects.

• Assist in overseeing operations phase system safety, security, and ongoing safety and security certification functions.

• Confirm compliance with applicable Occupational Safety and Health Administration (OSHA) and CalOSHA regulations to protect the health and safety of employees, mitigate litigation, and maintain public credibility.

• Oversee developing and implementing the system’s safety, security, and emergency management programs.

• Coordinate with the Authority to manage system safety and security issues for the Program.

• Coordinate with industry, local, state, and federal representatives to implement appropriate system safety and security levels for the Program.

• Support the development and implementation of the system security strategy for the Program.

• Assist in managing internal and external Authority safety and security committees and working groups to develop system safety and security programs, processes, and plans.

• Provide support for the Authority Integrated Safety Management System.

• Provide support for the Authority Hazard Management Program.

3.3.4 Central Valley Construction Safety and Security Manager The Central Valley Construction Safety and Security Manager will support the DPSS and Project Delivery and is responsible for construction safety monitoring and oversight activities related to the Program.

The Central Valley Construction Safety and Security Manager will support the Authority with the following:

• Provide oversight of construction safety and security, including hazard and risk identification, assessment, mitigation, monitoring, and resolution for Authority, consultants, and contractors working on construction sites.

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• Provide administrative oversight of Project and Construction Management (PCM) and construction contractors’ safety activities, submittals, and support reviews and audits required of their respective contracts.

• Monitor PCM and construction contractors’ safety activities and submittals required under PCM and construction contracts.

• Provide technical support to the Authority Safety and Security Committee and participate in Authority Fire and Life Safety Committee meetings.

• Assist in monitoring the construction contractor safety deliverables, including job hazard and risk analyses, traffic…