10776.1 1 CITY OF SANTA FE, NEW MEXICO1 RESOLUTION NO. 2026-__2 INTRODUCED BY:3 4 Councilor Alma Castro5 Councilor Patricia Feghali6 7 8 9 A RESOLUTION10 APPROVING THE UPDATED SANTA FE TRAILS AGENCY SAFETY PLAN AND11 DIRECTING ITS SUBMISSION TO THE FEDERAL TRANSIT ADMINISTRATION.12 WHEREAS, the United States Department of Transportation (“NMDOT”), Federal13 Transit Administration (“FTA”) requires certain operators of public transportation systems to14 develop or update Agency Safety Plans (“ASP”s) that include processes and procedures for the15 agency’s Safety Management Systems, which consists of 1) Safety Management Policy, 2) Safety16 Risk Management, 3) Safety Assurance, and 4) Safety Promotion; and17 WHEREAS, other requirements under the federal regulation, 49 CFR Part 673, require18 the following:19 1. Performance targets based on the safety performance criteria established under the20 National Public Transportation Safety Plan (“NPTSP”);21 2. Adherence to all applicable requirements and standards as set forth in the FTA’s22 Public Transportation Safety Program (“PTSP”) and NPTSP; and23 3. Establishment of a process and timeline for conducting an annual review and update24 of the Public Transportation Agency Safety Plan (“PTASP”); and25 10776.1 2 WHEREAS, the Bipartisan Infrastructure Law adopted in 2022 requires transit agencies1 that receive federal funds under FTA’s Urbanized Area Formula Grants,49 U.S.C. § 5307, to update2 their ASP; and3 WHEREAS, in particular, grant recipients in communities with populations of 200,000 or4 fewer must develop their ASP “in cooperation with frontline employee representatives”; and5 WHEREAS, Santa Fe Trails is the City of Santa Fe’s public bus system that provides a6 city-wide network of public transportation; and7 WHEREAS, Santa Fe Trails is a recipient of Urbanized Area Formula Grant funds and8 therefore is required to submit an updated safety plan; and9 WHEREAS, the Public Works Department, Transit Division, prepared the Santa Fe Trails10 Agency Safety Plan, updated on July 21, 2026, in coordination with frontline employee11 representatives.12 NOW, THEREFORE, BE IT RESOLVED BY THE GOVERNING BODY OF THE13 CITY OF SANTA FE that the Governing Body approves the updated Santa Fe Trails Agency14 Safety Plan, attached hereto as Exhibit A.15 BE IT FURTHER RESOLVED that the Governing Body directs the City Manager to16 direct staff to submit the updated Santa Fe Trails Agency Safety Plan, attached hereto as Exhibit17 A, to the FTA and NMDOT.18 PASSED, APPROVED, and ADOPTED this ______day of ___________, 2026.19 20 21 ____________________________22 MICHAEL J. GARCIA, MAYOR23 24 25 10776.1 3 1 2 ATTEST:3 4 ________________________________5 GERALYN F. CARDENAS, CITY CLERK6 7 APPROVED AS TO FORM:8 9 _________________________________10 MARCOS D. MARTÍNEZ, CITY ATTORNEY11 12 13 14 15 16 17 18 19 20 21 22 23 24 Legislation/2026/Resolutions/Santa Fe Trails 2026 Updated Public Transit Agency Safety Plan25Marcos D. Martínez (Aug 19, 2026 10:06:05 MDT) Marcos D. Martínez [Type here] [Type here] [Type here] Santa Fe Trails Agency Safety Plan May 2026 P a g e | 1 Santa Fe Trails Agency Safety Plan July 1, 2026 Table of Contents 1. TRANSIT AGENCY INFORMATION ................................................................................................................... 2 SYSTEM DESCRIPTION .....................................................................................................................................................3 2. PLAN DEVELOPMENT, APPROVAL, AND UPDATES .......................................................................................... 5 3. SAFETY PERFORMANCE TARGETS ................................................................................................................... 6 4. SAFETY MANAGEMENT POLICY ...................................................................................................................... 8 SANTA FE TRAILS SAFETY MANAGEMENT POLICY STATEMENT (SMPS).....................................................................................8 SAFETY MANAGEMENT POLICY COMMUNICATION ..............................................................................................................11 AUTHORITIES, ACCOUNTABILITIES, AND RESPONSIBILITIES ....................................................................................................12 EMPLOYEE SAFETY REPORTING PROGRAM.........................................................................................................................14 5. SAFETY RISK MANAGEMENT (SRM) ...............................................................................................................16 SAFETY HAZARD IDENTIFICATION .....................................................................................................................................18 SAFETY RISK ASSESSMENT ..............................................................................................................................................21 SAFETY RISK MITIGATION ..............................................................................................................................................22 6. SAFETY ASSURANCE......................................................................................................................................24 SAFETY PERFORMANCE MONITORING AND MEASUREMENT ..................................................................................................24 7. SAFETY PROMOTION ....................................................................................................................................29 COMPETENCIES AND TRAINING .......................................................................................................................................29 SAFETY COMMUNICATION..............................................................................................................................................32 ADDITIONAL INFORMATION..............................................................................................................................35 APPENDIX A: DEFINITIONS ................................................................................................................................36 APPENDIX B: ACRONYMS AND ABBREVIATIONS ................................................................................................40 APPENDIX C: CITY OF SANTA FE ASP APPROVAL DOCUMENTATION ...................................................................41 APPENDIX D: CERTIFICATION DOCUMENTATION ...............................................................................................42 APPENDIX E: SANTA FE TRAILS SAFETY RISK ASSESSMENT MATRIX ....................................................................43 APPENDIX F: SANTA FE TRAILS ORGANIZATIONAL CHART ..................................................................................45 P a g e | 2 1. Transit Agency Information Transit Agency Name Santa Fe Trails Transit Agency Address Santa Fe Trails, 2931 Rufina St. Santa Fe NM, 87507 Name and Title of Accountable Executive Andrew Baca, Director of Operations and Maintenance The Accountable Executive meets the requirements in 49 CFR § 673.5 and $673.23(d)(1). Please see the Roles and Responsibilities of the Accountable Executive in Section 4-Safety Management Policy. Name of SMS Executive/Chief Safety Officer Gabrielle Chavez, Director of Administration The SMS Executive meets the requirements of § 673.5 and $673.23(d)(2). Please see the Roles and Responsibilities of the SMS Executive in Section 4- Safety Management Policy. Mode(s) of Service Covered by This Plan Fixed-route Bus and Demand Response List All FTA Funding Types (e.g., 5307, 5310, 5311) 5307, 5310, 5339 Mode(s) of Service Provided by the Transit Agency (Directly operated or contracted service) Fixed-route Bus – directly operated Demand Response – directly operated Does the agency provide transit services on behalf of another transit agency or entity? NO Description of Arrangement(s) N/A Name and Address of Transit Agency(ies) or Entity(ies) for Which Service Is Provided N/A P a g e | 3 System Description History In 1991, the City of Santa Fe ordinance was passed enabling the formation of Santa Fe Trails. The purpose of this legislation was to: • provide safe and efficient transit services • reduce congestion, crashes, and pollution caused by single-occupant vehicles; • extend the life of the city's roads by reducing traffic; • provide transportation alternatives to residents, particularly transit-dependent groups such as seniors, youth, low- income, and mobility-impaired residents; • provide residents with better access to education and higher-paying jobs, and; • reduce oil dependence by incorporating the use of alternative fuels; such as CNG. Governing Body Santa Fe Trails is governed by the Transit Advisory Board (TAB) along with the Mayor and an eight- member Council that represents the four districts within the City of Santa Fe. The TAB consists of nine representatives who represent Seniors, At-large, ADA, Business, Tourism, Intuitions and Government, and Education. Description Established in January 1993, Santa Fe Trails is the City of Santa Fe's public transit system, providing fixed-route, circulator, ADA complementary paratransit, and senior transportation services throughout the City of Santa Fe and portions of Santa Fe County. The agency operates ten fixed routes with a fleet of 27 revenue vehicles, Santa Fe Pick-Up fare-free circulator service, and Santa Fe Ride, the City's ADA complementary paratransit and senior transportation service, utilizing accessible Ford Transit and Ford E-Transit vehicles. As the nation's first public transit system to operate an entirely compressed natural gas (CNG) fixed-route fleet, Santa Fe Transit remains committed to providing safe, reliable, accessible, and sustainable transportation, carrying more than 500,000 passenger trips annually. Santa Fe Trails Executive Leadership The Director of Operations and Maintenance serves as the Accountable Executive for the City of Santa Fe Transit Division’s Agency Safety Plan and Safety Management System and is also responsible for the Transit Asset Management (TAM) Plan. The Director of Operations and Maintenance also presently has safety oversight responsibilities. Santa Fe Trails does not have a safety manager position, therefore the Transit Director of Administration serves as the SMS Executive. Goals • provide a level of service that meets or exceeds industry standards; • identify, eliminate, minimize, and control safety hazards and their associated risks, and; • comply with the applicable requirements of regulatory agencies; and • update Agency Safety Plan (ASP) in cooperation with front line transit worker representatives. Agency Safety Plan and Safety Management System (SMS) Santa Fe Trails developed this safety plan to comply with 49 CFR Part 673, the PTASP regulation. This plan also serves as an “SMS user’s manual” that guides Santa Fe Trails in the successful implementation and operation of its SMS. P a g e | 4 The FTA defines SMS as: The formal, organization-wide approach to managing safety risk and assuring the effectiveness of a transit agency’s safety risk mitigation. SMS includes systematic procedures, practices, and policies for managing hazards and safety risk. 49 C.F.R. § 673.5 Furthermore, SMS is a comprehensive, collaborative approach that brings management and labor together to build on the transit industry’s existing safety foundation to control risk better, detect and correct safety problems earlier, share and analyze safety data more effectively, and measure safety performance more carefully. The SMS is appropriately scaled to size, scope, and complexity of Santa Fe Trails. Santa Fe Trails’ SMS has four distinct components, which are discussed in subsequent sections of this safety plan: • Safety management policy • Safety risk management • Safety assurance • Safety promotion P a g e | 5 2. Plan Development, Approval, and Updates Name of Entity that Drafted this Plan Santa Fe Trails Signature by the Accountable Executive Signature of Accountable Executive Date of Signature Director of Operations and Maintenance Approval by the Board of Directors or an Equivalent Authority Name of Entity that Approved Date of Approval Santa Fe City Council Relevant Documentation (title and location) City Council Minutes link Certification by State Department of Transportation N/A Version Number and Updates Version Number Section/Pages Affected Reason for Change Date Issued 1 New Document 12/2021 2 Update 12/2022 3 Reviewed – No Update Needed 12/2023 4 Updated 6/2024 5 Updated 5/2025 6 Updated 7/2026 Annual Review and Update of the Public Transportation Agency Safety Plan The Accountable Executive and SMS Executive will jointly review and update the Santa Fe Trails Agency Safety Plan, including its safety performance targets, by July 1st of each year. The Santa Fe Trails Agency Safety Plan is developed and updated in coordination with frontline transit worker representatives, as stipulated in the AFSCME bargaining agreement and 49 CFR Part 674. The union will appoint a shop steward to serve as a liaison for frontline transit workers. Santa Fe Trails Agency will invite the shop steward and union leadership to participate in developing and revising the safety plan. This shop steward, along with union leadership, will provide feedback, propose changes, request updates, and initiate agreements on behalf of frontline workers. These proposals, updates, and agreements are then presented as agenda items at the monthly employee meetings. The Accountable Executive will review and approve any changes to the plan, sign the updated version, and submit it to the Santa Fe City Council for final review and approval. P a g e | 6 3. Safety Performance Targets Targets Fixed Route Demand Response Major Events (total) 15 2 Major Events Rate 2 2 Collision Rate 1 0 Pedestrian Collision Rate 1 0 Vehicular Collision Rate 1 1 Fatalities (total) 0 0 Fatality Rate 0 0 Transit Worker Fatality Rate 0 0 Injuries (total) 14 2 Injury Rate 3 2 Transit Worker Injury Rate 2 3 Assaults on Transit Workers (total) 1 0 Rate of Assaults on Transit Workers 1 0 System Reliability 1.75 miles 2.1 miles *Per 100,000 VRM* Safety Performance Target Coordination The Santa Fe Trails Accountable Executive shares its safety performance targets with the Santa Fe Metropolitan Planning Organization (MPO) each year after its formal adoption by the Santa Fe City Council. The Accountable Executive also provides a copy of our formally adopted Safety Plan, including safety performance targets, to the New Mexico Department of Transportation (NMDOT). Santa Fe Trails personnel are available to coordinate with NMDOT and the MPO in the selection of NMDOT and MPO safety performance targets upon request. Targets Transmitted to the State State Entity Name Date Targets Transmitted New Mexico Department of Transportation Targets Transmitted to the Metropolitan Planning Organization(s) Metropolitan Planning Organization Name Date Targets Transmitted Santa Fe Metropolitan Planning Organization P a g e | 7 P a g e | 8 4. Safety Management Policy Santa Fe Trails Safety Management Policy Statement (SMPS) To all Santa Fe Trails Staff: In accordance with the Federal Transit Administration's (FTA) Public Transportation Agency Safety Plan (PTASP) regulation (49 CFR Part 673), Santa Fe Trails has developed this Public Transportation Agency Safety Plan to establish and maintain a comprehensive Safety Management System (SMS) that promotes the proactive management of safety risks and the continuous improvement of transit safety performance. Under the leadership of the Director of Operations and Maintenance, who serves as the Accountable Executive, Santa Fe Transit is committed to fostering a strong culture of safety and security throughout the organization. This commitment is further supported by the reinstatement of the City of Santa Fe's Health and Safety Committee, which provides a collaborative forum for identifying hazards, reviewing incidents, promoting employee involvement, and advancing workplace safety initiatives. Through these efforts, Santa Fe Transit seeks to ensure the safety and security of passengers, employees, contractors, facilities, vehicles, and the public while meeting all applicable federal, state, and local requirements. I will support the integration of this Policy Statement to guide us as we adopt and follow the federal safety guidelines. Safety has always been a core value and business commitment for Santa Fe Trails. The agency is dedicated to developing, implementing, maintaining, and continuously improving its daily practices to ensure the safety of customers, employees, contractors, and the public. To guide the prioritization of safety and integrate it into everyday operations, Santa Fe Trails will utilize safety management processes to allocate necessary resources, such as personnel, funding, and technology. The goal is to promote a robust safety culture and achieve the highest levels of safety performance set by the FTA. The agency's safety management plan reflects a thoughtful, collaborative approach to working with frontline transit worker representatives. This recognizes the vital role these workers play in operating and maintaining the public transportation systems essential to the communities they serve. By actively engaging with frontline worker representatives, the agency demonstrates a commitment to open, transparent communication, as well as a willingness to incorporate the insights and concerns of those on the ground. This collaboration allows for a deeper understanding of the challenges and needs faced by transit workers, enabling the development of policies and programs that better support them in their critical duties. Furthermore, this approach emphasizes the importance of nurturing strong partnerships between transit agencies, policymakers, and the frontline workforce. This synergy helps ensure the public's mobility needs are met efficiently and fairly, while also addressing the interests and well-being of the dedicated individuals who keep transit systems running smoothly. Ultimately, this inclusive stance towards frontline worker representatives reflects an all-inclusive, people-centered vision for the future of sustainable, accessible public transportation. Santa Fe Trails Transit has installed a drop box to enable transit workers to report safety concerns, including assaults, near-misses, and unsafe acts or conditions to senior management. The drop box includes protection for workers who report issues, as well as a description of worker behaviors that may result in disciplinary action. P a g e | 9 To ensure effective communication, Santa Fe Trails Transit will notify employees via email and post updates publicly on the operator notification board for notification and participation. Additionally, the transit agency must disseminate the Safety Management Policy throughout its entire organization. Santa Fe Trails Transit will establish the necessary authorities, accountabilities, and responsibilities for the management of safety within its organization. This will be done in collaboration with the TAB transit advisory Board and the AFSCME Union, as they relate to the development and management of the transit agency's Safety Management System (SMS). Santa Fe Trails is committed to the following core capacities: Executive Commitment to Safety - Executive Management will cultivate an organizational culture that prioritizes safe operations. We will dedicate appropriate resources to develop the PTASP, development and ensuring safe practices, improving procedures when necessary, and encouraging effective employee safety reporting and communication. Santa Fe Trails will hold every executive, manager, and employee accountable for upholding our commitment to safe operations. Santa Fe Trails will leverage multiple communication channels to keep employees, policymakers, and the broader community informed. Communication & Training - Frontline worker representatives and employee engagement are crucial to a well-functioning safety management system (SMS). To enable greater awareness of our safety objectives, performance targets, and ongoing safety communication, we will develop and fine-tune our communication systems at every level of the organization. All levels of management must proactively engage employees and continuously work to keep safety communication simple, honest, and open. Importantly, all employees will be made aware of the importance of our SMS and trained in any new or improved safety reporting procedures. Santa Fe Trails will utilize a comprehensive communication strategy, leveraging all available platforms, to effectively inform its employees, policymakers, and the broader community. Responsibility & Accountability - All Santa Fe Trails employees, including managers, frontline workers, and contractors, are responsible for providing safe and high-quality transit services that meet the department’s performance standards. Each manager will take an active role in the Safety Management System (SMS) process, ensuring that Safety Assurance functions are supported and advocated. Managers are also accountable for overseeing Safety Risk Management in their operational areas, assessing and mitigating the safety risks associated with identified hazards. Safety performance will be a significant factor in the annual performance evaluations for all Santa Fe Trails employees and managers. Employee Reporting - Santa Fe Trails will implement a safety reporting program that empowers all frontline employees to voice their safety concerns. Employees are required to use this program as part of the organization's safety management system (SMS). No employee will face retaliation for reporting a safety issue through the program, unless the report indicates an illegal act, gross misconduct, negligence, or a deliberate disregard of department and/or City of Santa Fe’s rules and policies. Performance Monitoring & Measurement - To drive continuous safety improvements, Santa Fe Trails will establish realistic safety performance measures and targets. A diverse team, including employees and frontline staff, will work closely with management to ensure the proposed safety risk mitigation strategies are suitable, beneficial, and impactful. Review & Evaluation - To measure and improve our safety management system (SMS) performance, Santa Fe Trails will analyze key safety indicators, review inspections, and evaluate corrective action P a g e | 10 reports. These assessments will inform revisions or development of safety objectives, performance targets, and the overall Agency Safety Plan, with the aim of driving continuous, effective safety enhancements. As a living document, the Agency Safety Plan undergoes regular monitoring to ensure its ongoing applicability and functionality. We appreciate your full cooperation in creating a safer work environment for our employees and customers. Sincerely, Andrew J. Baca Director of Operations and Maintenance Santa Fe Trails Transit – City of Santa Fe P a g e | 11 Safety Management Policy Communication Santa Fe Trails' Safety Management Policy (SMP) will continue to undergo an annual review. Once the SMP has been updated and presented before the City’s Governing Body for approval. The Transit Training Administrator will distribute a physical copy of the Safety Management Policy Statement (SMPS) and each employee will sign an acknowledgment of receipt during the next bi-monthly staff training for all employees. Any updates, amendments, or new agreements will be communicated to all employees during the bi-monthly training sessions, where the SMP will be presented as an agenda item. Additionally, the SMPS will be posted on facility bulletin boards and presented during a regularly scheduled Transportation Advisory Board meeting for discussion. This policy will also be provided to all new hires as part of Transit’s new hire training. P a g e | 12 Authorities, Accountabilities, and Responsibilities Roles and Responsibilities of the Accountable Executive The Santa Fe Trails Accountable Executive has ultimate responsibility for carrying out the Agency Safety Plan. The Accountable Executive has control or direction over the human and capital resources needed to develop and maintain this Agency Safety Plan. The Accountable Executive is accountable for ensuring that Santa Fe Trails effectively implements its SMS throughout the agency and addresses SMS substandard safety performance. The Accountable Executive is responsible for signing SMS implementation planning documents and endorsing SMS implementation team membership. The Accountable Executive may delegate specific responsibilities, but the ultimate accountability for Santa Fe Trails safety performance cannot be delegated and always rests with the Accountable Executive. The Santa Fe Trails Accountable Executive’s roles include, but are not necessarily limited to: • Decision-making about human and capital resources needed to support asset management, SMS activities, and capital investments; • Maintaining the Transit Asset Management (TAM) Plan; • Signing SMS implementation planning documents, and ensuring that SMS is effectively implemented throughout Santa Fe Trails public transportation system; • Ensuring action is taken to address substandard performance in Santa Fe Trails SMS; • Endorsing SMS implementation team membership; • Developing and maintaining SMS documentation; • Directing hazard identification and safety risk assessment; • Monitoring safety risk mitigation activities; • Planning safety management training; and • Providing periodic reports on safety performance. Roles and Responsibilities of the SMS Executive The SMS Executive supports the Accountable Executive in developing, implementing, and operating Santa Fe Trails' SMS. The SMS Executive reports directly to the Accountable Executive for matters involving SMS. The SMS Executive’s role includes: • Assisting in developing and maintaining SMS documentation; • Assisting in hazard identification and safety risk assessment; • Assisting in safety risk mitigation activities; • Assisting in planning safety management training; and • Other duties as assigned/necessary. Santa Fe Trails identifies and documents all the SMS-related organizational accountabilities and responsibilities of the SMS Executive job function, and this documentation is captured and stored in the Accountable Executive’s office. P a g e | 13 Agency Leadership and Executive Management Roles Members of Santa Fe Trails' leadership have authorities and responsibilities for the day-to-day implementation and operation of the agency’s SMS. Santa Fe Trails Agency Leadership and Executive Management include: • Director of Maintenance and Operations • Transit Director of Administration • Supervisors • Training Administrator • Fleet and Facilities Manager • Transit Advisory Board (TAB) • City Council • Mayor • City Manager The Agency Leadership and Executive Management are responsible for the following accountabilities and responsibilities of this plan. Its roles include, but are not necessarily limited to: • Overseeing the implementation and operation of Santa Fe Trails’ SMS; • Providing input into the allocation of resources to accomplish the goals and objectives of the agency safety plan; • Providing oversight and maintaining compliance with the agency safety plan; • Modifying policies consistent with the implementation of the agency safety plan; Key Staff Roles Santa Fe Trails’ Key Staff has the following accountabilities and responsibilities of this plan. Its roles include, but are not necessarily limited to: • Assisting the Accountable Executive and the SMS Executive in developing, implementing, and operating the SMS. Based on responsibilities and expertise, the Key Staff assist in hazard identification, safety risk assessment, safety risk mitigation, safety performance monitoring, safety performance measurement, safety training, and safety communication activities. • Key staff, including bus operators, dispatchers, maintenance personnel, supervisors, customer service representatives, and other frontline employees, serve as frontline experts in the agency's Safety Management System (SMS). Their direct knowledge of transit operations plays a critical role in hazard identification, safety risk assessment, safety risk mitigation, safety assurance activities, and the ongoing monitoring of safety and security performance throughout the organization. Key staff functions that bring experience and expertise to bear on SMS activities include: o Managers; o Supervisors o Dispatchers; o Bus Operators; o Vehicle Mechanics, and; o Other skilled professionals as needed. P a g e | 14 • Safety Meetings: All staff are mandated to attend our bi-monthly Safety Trainings which are held every other month . With the purpose of presenting and discussing potential hazards and strategies to mitigate the consequences of those hazards. Management and Supervisors are required to attend a weekly meeting with the same mission. • During the safety meetings, the Agency Safety Plan is presented to frontline safety representatives. Employee Safety Reporting Program Santa Fe Trails has implemented a voluntary safety reporting program that encourages employees to report any safety concerns, including assaults on transit workers, near-misses, unsafe acts or conditions, or other issues observed during transit service delivery. This voluntary program operates separately from the company's mandatory reporting requirements for accidents and incidents. The employee safety reporting program (ESRP) provides protections for employees who report safety issues, concerns, or conditions and ensures that discipline will not be applied, and employees have protection against reprisal or any other adverse action for reporting a safety issue, concern, or condition. The ESRP also describes employee behaviors that are not protected under the program and may result in disciplinary action, such as an employee engaged in an illegal act, committed gross negligence, or deliberately or willfully disregarded regulations or Santa Fe Trails’ procedures. The ESRP clarifies: • What to report, what not to report, and how to report; • What managers should do when employees report safety concerns; • How reports are documented; and • How employees will receive feedback about the results of their reports. The reporting system is simple to use and available to all Santa Fe Trails employees. Santa Fe Trails' ESRP addresses the following: • Who is responsible for developing and managing the employee safety reporting program; • Timely response to employee safety reports. • How the agency provides feedback to employees on the action(s) taken to address the reported safety issue, condition, or concern; • Investigation of reported safety issues, conditions, or concerns for causal or contributing factors. • How the transit system documents and reviews safety issues, conditions, or concerns to determine if a hazard exists; and • If the issue is determined to be a hazard, how the hazard is then entered into the safety risk management process. Santa Fe Trails is committed to providing feedback to its employees who report a safety issue, condition, or concern. This feedback is provided either directly in a one-on-one conversation or through the safety meeting platform. The feedback addresses what, if any action, will be taken to address the reported safety issue, condition, or concern. P a g e | 15 Forms are available in dispatch for employees to fill out and report any safety issues, conditions, or concerns along with a dispatch log for employees who report over the radio. There is also the ability for each employee to e-mail a safety issue, concern, or condition directly to management. If an employee does not have access to e-mail, they can contact the call center at 505-955-2001 and the safety issue, condition, or concern will be logged and management immediately informed via email. The general public can also utilize e-mail via the City of Santa Fe website and the call center as mentioned above. A description of the ESRP is kept in the Accountable Executive’s office at Santa Fe Trails Headquarters. The ESRP is distributed to all current employees during the training provided on employee safety reporting and new employees during their new-hire orientation. P a g e | 16 6. Safety Risk Management (SRM) Santa Fe Trails uses the SRM process as a primary method to ensure the safety of our operations, passengers, employees, vehicles, and facilities. It is a process wherein hazards and their consequences are identified, assessed for potential safety risk, and resolved in a manner acceptable to Santa Fe Trails’ leadership. The Santa Fe Trails SRM process allows us to carefully examine what could cause harm, determine whether we have taken sufficient precautions to minimize the harm, or if further mitigations are necessary. The Accountable Executives supported by the SMS Executive leads the Santa Fe Trails SRM process to identify hazards and consequences, assess safety risk of potential consequences, and mitigate the safety risk. The results of the SRM process are documented in the Safety Risk Register and referenced materials. The SRM process applies to all elements of the system, including operations, maintenance, facilities, vehicles, personnel recruitment, employee training, and supervision. Overall, the Santa Fe Trails SRM process includes the following steps that are carried out under the guidance of the Accountable Executive, supported by the SMS Executive, with input from appropriate subject matter experts: • Identify hazards • Identify the potential consequences of each hazard • Evaluate consequences in terms of likelihood and severity • Prioritize risk using our formal risk matrix • Communicate prioritized risk to the Accountable Executive • Based on the Accountable Executive’s approval, create safety risk mitigations to eliminate or reduce the effects of hazards. • Implement the mitigation • Create a strategy for monitoring mitigation effectiveness In carrying out the SRM process, Santa Fe Trails uses the following terms: • Safety Event – An unexpected outcome resulting in injury or death; damage to or loss of the facilities, equipment, rolling stock, or infrastructure of a public transportation system; or damage to the environment. • Hazard – Any real or potential condition that can cause injury, illness, death, damage to/loss of facilities, equipment, rolling stock, or infrastructure belonging to SANTA FE TRAILS, or damage to the environment. • Risk – Composite of predicted severity and likelihood of the potential effect of a hazard. • Safety Risk Mitigation – a method(s) to eliminate or reduce the severity and/or likelihood of a potential consequence of a hazard. • Consequence – An effect of a hazard involving injury, illness, death, or damage to SANTA FE TRAILS property or the environment. P a g e | 17 P a g e | 18 Hazard Identification All subsequent safety risk management activities are contingent on effectively identifying sources for hazard identification and the processes to obtain information on hazards. Santa Fe Trails has developed methods and processes to identify hazards and consequences of the hazards. Santa Fe Trails considers, as a source for hazard identification, data and information provided by City Management and the City Council, the FTA, and NMDOT. Santa Fe Trails also considers the results of its asset condition assessments when performing safety hazard identification activities through its SMS. The results of the condition assessments and safety risk management activities help inform Santa Fe Trails’ determination as to whether an asset meets the state of good repair standards under 49 CFR Part 625. Santa Fe Trails also evaluates safety information obtained from incidents, accidents, near misses, close calls, unsafe conditions, and employee safety reports to proactively identify hazards before injuries, damage, or service disruptions occur. The Accountable Executive, supported by the SMS Executive, is responsible for overseeing and facilitating Santa Fe Trails’ hazard identification process. The Accountable Executive is also responsible for documenting identified hazards and ensuring that subject matter experts identify the potential consequences of those hazards. Information related to hazard identification and consequence determination is stored in the Santa Fe Trails’ Safety Risk Assessment register, which is an Excel spreadsheet that allows for the documentation of all identified safety hazards and the subsequent activities related to addressing those hazards. This risk register is maintained by the Accountable Executive. Hazards identified through accidents, incidents, near misses, close calls, safety observations, and employee reports are documented and evaluated using the same hazard identification process. The safety hazard identification process helps Santa Fe Trails identify hazards and potential consequences in the operation and maintenance of the system. Hazards are identified through a variety of sources, including: • Employee Safety Reporting • Review of Vehicle Camera Footage • Review of Monthly Performance Data Sheets • Data and information regarding exposure to infectious diseases provided by the Center for Disease control (CDC) or a State health authority • Safety concerns identified through the agency’s Safety Assurance activities • Observation from Supervisors • Maintenance Reports • Comments from Customers and Passengers • Employee Safety Meetings • Manager and Supervisor Safety Meetings • Results of audits and inspections of vehicles and facilities • Results of training assessments • Results of internal safety audits • Investigations into safety events, incidents, and occurrences • Investigations and reviews of near misses, close calls, unsafe acts, unsafe conditions, and other events that had the potential to result in injury, damage, or service disruption • Safety concerns identified through Safety Assurance activities and; • FTA, the New Mexico Department of Transportation, and other oversight authority agencies. P a g e | 19 The Accountable Executive, with support from the SMS Executive, reviews these sources for hazards and documents them in Santa Fe Trails’ safety risk register. The Accountable Executive also enters hazards into the safety risk register from reviews of the Santa Fe Trails operations and maintenance, results of audits and observations, and information received from FTA, New Mexico Department of Transportation, and other oversight authorities, including the National Transportation Safety Board. This review includes the evaluation of accident trends, incident trends, near misses, close calls, employee reports, customer complaints, security-related events, and operational observations to identify emerging hazards and opportunities for risk reduction. The Accountable Executive or SMS Executive may conduct further analysis of hazards and consequences entered into the Safety Risk Register to collect information, identify additional consequences, and to inform management which hazards should be prioritized for safety risk assessment. In following up on identified hazards, the Accountable Executive or SMS Executive may: • Reach out to the reporting party, if available, to gather all known information about the reported hazard; • Conduct a walkthrough of the affected area, assess the possible hazardous condition(s), generate visual documentation (photographs and/or video), and take any measurements that are deemed necessary; • Conduct interviews with employees in the area to gather potentially relevant information on the reported hazard; • Review any documentation associated with the hazard (such as records, reports, procedures, inspections, technical documents, etc.); • Contact other departments that may have association with or technical knowledge relevant to the reported hazard; • Review any previously-reported hazards of a similar nature; and • Evaluate tasks and/or processes associated with the reported hazard. • Review vehicle camera footage, CAD/AVL data, dispatch logs, and other available records associated with accidents, incidents, near misses, or close calls to identify contributing factors and potential corrective actions. Any identified hazard that poses a real and immediate threat to life, property, or the environment must immediately be brought to the attention of the Accountable Executive and addressed through the SRM process for safety risk assessment and mitigation. This signifies the belief that immediate intervention is necessary to preserve life, prevent major property destruction, or avoid harm to the environment that would constitute a violation of the Environmental Protection Agency or NMDOT environmental protection standards. Santa Fe Trails involves subject matter experts in safety hazard identification processes by matching the experience and expertise of the individual(s) with the type of hazard to be analyzed. For example, if the hazard is operations related, then the primary subject matter experts will be from operations; if the hazard is vehicle maintenance related, that type of hazard requires vehicle maintenance expertise and skills. Frontline employees, including operators, dispatchers, maintenance personnel, supervisors, and customer service staff, are recognized as subject matter experts and play an important role in identifying hazards, reporting near misses and close calls, and contributing operational knowledge during hazard evaluations and safety risk assessments. P a g e | 20 Determination of the potential consequences of hazards drives our safety risk assessment activities. Hazards in and of themselves do not cause damage. It is the consequences of hazards that cause injuries and death, destroy property, harm the environment, or impair the ability of a transit provider to deliver transit services. Santa Fe Trails subject matter experts identify the potential consequences of hazards, keeping in mind that a single hazard could have many potential consequences. Each potential consequence is identified and recorded. When evaluating near misses and close calls, Santa Fe Trails considers what could have reasonably occurred had circumstances been slightly different and uses those potential consequences to inform safety risk assessments and mitigation strategies. The Accountable Executive is responsible for ensuring that the documentation of hazards and consequences is taking place. This includes ensuring that accidents, incidents, near misses, close calls, and identified unsafe conditions are appropriately documented, evaluated, tracked, and addressed through the agency's Safety Management System. P a g e | 21 Safety Risk Assessment Santa Fe Trails has established processes to assess the safety risk associated with identified safety hazards. These safety risk assessment processes include an assessment of the likelihood and severity of the potential consequences of identified hazards, taking into account existing mitigations, to determine if safety risk mitigation is necessary and to inform prioritization of safety risk mitigation. Assessing the likelihood and severity of hazard consequences is the first step in prioritizing safety risk. Santa Fe Trails has established a process for assessing the potential safety risks of identified hazards and prioritizing them accordingly. The agency evaluates safety risk in terms of likelihood (the likelihood of a consequence occurring) and severity (the seriousness of a consequence, if it does occur). A color-coded safety risk index provides a rating system that is used in conjunction with a safety risk assessment matrix to prioritize safety risks. This matrix helps determine the likelihood and severity of potential consequences, allowing Santa Fe Trails to prioritize safety risks. The specific safety risk assessment matrix used by the agency is presented here: To conduct safety risk assessments, Santa Fe Trails selects subject matter experts, front line employees and the safety committee whose experience and expertise align with the specific hazards or potential of being evaluated. The Accountable Executive or SMS Executive oversees this assessment process, which utilizes Santa Fe Trails' established safety risk assessment matrix. Safety risk prioritization is linked to safety risk mitigation creation utilizing the risk matrix ranking. Prioritizing our safety risk provides the Accountable Executive with the information needed to make decisions about resource application. It helps Santa Fe Trails apply its limited time, financial, and human P a g e | 22 resources to the highest priority transit safety risk. The Accountable Executive is the ultimate decision- maker on applying resources to mitigate high priority transit safety risk. Safety Risk Mitigation Santa Fe Trails' safety risk management process culminates in the development of proactive safety risk mitigation measures. The agency has established processes to identify necessary mitigations and strategies to reduce the likelihood and severity of safety risks that were assessed during the safety risk assessment process. The Accountable Executive, supported by the SMS Executive, is responsible for guiding and overseeing the subject matter experts involved in the risk mitigation process. Any safety risk mitigations requiring additional resources or changes to agency policy must be approved by the Accountable Executive. Santa Fe Trails has implemented a comprehensive process to mitigate its prioritized safety risks. This process clearly defines when risk mitigation is necessary and assigns specific roles for developing those mitigations. Key elements include: • Incorporating guidance from oversight authorities like the FTA or the NMDOT • Adhering to infectious disease prevention guidelines from the CDC or state health department • Referencing any required forms • Documenting and storing the results of the risk mitigation process Santa Fe Trail’s safety risk mitigation steps include: • Examining the potential consequences of hazards and their likelihood and severity • Develop strategies to reduce the likelihood and/or severity of those potential consequences • Ensure the strategy can be realistically implemented with available resources • Turn the strategy into a mitigation plan • Put the mitigation plan into place • Create a plan for monitoring the effectiveness of the mitigation Santa Fe Trails develops and documents a strategy to implement a safety risk mitigation plan that drew on subject matter expertise. These implementation strategies include: • who is responsible for implementing the mitigation; • where the mitigation will reside within agency activities; • how the mitigation will be implemented, and; • how long should implementation take. Santa Fe Trails needs to know that its mitigations are working. When we develop mitigation, we also define and document the way the mitigation will positively impact safety performance so that we can then monitor whether that positive impact is taking place and if the mitigation is effective. Under the guidance of the Accountable Executive and/or SMS Executive, the subject matter experts involved in creating a safety risk mitigation also decide on the best ways to monitor the effectiveness of the mitigation being implemented. This includes developing and documenting monitoring strategies. Santa Fe Trails created strategies for monitoring the effectiveness of mitigations. These strategies provide consistency in monitoring activities, regardless of whether the mitigation is implemented in operations, maintenance, or administration. P a g e | 23 Santa Fe Trails understands that successful mitigation implementation and monitoring activities depend on having a process for how it will formally communicate mitigation and monitoring strategies to operations, maintenance, or administration staff who will implement and monitor the mitigations. Santa Fe Trails has documented this process. This communication feeds cross-functional ownership in SMS processes since employees who create the mitigations may not be the same employees that implement and monitor the mitigations. Strong documentation of safety risk mitigations feeds safety performance monitoring. Santa Fe Trails has established and documented how it will record all of its various safety risk mitigation activities and their outcomes. Within this process, Santa Fe Trails references any forms that it uses during safety risk mitigation activities and where the completed records of safety risk mitigation activities are stored. Risk mitigations are accompanied by a Mitigation Implementation Plan (MIP) and a Mitigation Monitoring Plan (MMP). P a g e | 24 7. Safety Assurance Santa Fe Trails has established processes to: • Monitor its operations for compliance with and sufficiency of its policies and procedures; • Santa Fe Trails works to ensure that it is performing maintenance which is consistent with Santa Fe Trails’ ability to safely meet its operational requirements and in compliance with all safety policies and procedures; • Monitor its operations to identify any safety risk mitigations that may be ineffective, inappropriate, or that were not implemented as intended; • Conduct investigations of safety events to identify causal and contributing factors, and; • Monitor the effectiveness of its employee safety reporting program. Safety Performance Monitoring and Measurement Santa Fe Trails has many processes in place to monitor its entire transit system for compliance with operations and maintenance procedures, including: • Safety audits; • Informal inspections of vehicles, facilities, and operations; • Regular review of on-board camera footage to evaluate operational performance, driver behavior, security concerns, and specific incidents; • Investigation of accidents, incidents, near misses, close calls, and safety-related occurrences; Review and analysis of employee safety reports and frontline observations; • Safety review prior to the implementation, modification, or expansion of services, facilities, equipment, or operational procedures; Daily data gathering and monitoring of data relating to the delivery of service using its Dispatch Management software, • Monitoring of safety performance indicators, trends, and established safety performance targets; • Review of customer complaints, commendations, and security-related reports; and; • Regular vehicle inspections and preventative maintenance. Results from the above processes are compared against recent performance trends both quarterly and annually to determine where corrective actions need to occur. The Accountable Executive enters any identified non-compliant or ineffective activities, including any resulting mitigations, back into the SRM process for reevaluation. Santa Fe Trails also utilizes trend analysis of accidents, incidents, injuries, near misses, close calls, employee reports, maintenance findings, and security-related events to proactively identify safety concerns and continuously improve system performance. Operations Monitoring The Accountable Executive and operations supervisors are responsible for ensuring and documenting the system’s compliance with and sufficiency of its operations policies and procedures. Santa Fe Trails has checklists and forms that it uses to drive and document its operations monitoring activities. This documentation is stored within Santa Fe Trails’ safety performance monitoring files located in the Accountable Executive’s office. P a g e | 25 The operational areas that are monitored for compliance with policies and procedures include but are not limited to: • Bus operator pre-trip inspections; • Bus operator abbreviated pre-trip inspections conducted during mid-route and end-of-route driver change-outs; • Bus operator behind the wheel performance; • Bus operator passenger assistance; • Bus operator emergency response, • Bus operator compliance with safety and security procedures; and; • Operations Supervisor and Dispatch activities. When Santa Fe Trails’ monitoring activities determine lack of compliance with operations policies and procedures or inadequacies of those policies and procedures, it then uses this information to feed Santa Fe Trails’ hazard identification and safety risk assessment process. Within these documented processes, Santa Fe Trails describes: • the job functions responsible for the different areas of field observations; • how it will record the results of field observations; • where these records are stored, and; • how it will address hazards or safety issues identified during field observations. Santa Fe Trails has established and documented emergency procedure checklists that supervisors and dispatchers can readily access to help direct their response to bus operators who may experience an emergency during revenue service. These procedures include, but are not limited to: • responding to accidents and incidents; • evacuating a vehicle under smoke and fire conditions, and; • responding to potentially dangerous passengers and other security threats. Vehicle Maintenance Monitoring Santa Fe Trails monitors the following areas of its vehicle maintenance and documents all monitoring activities and their results: • Mechanic skills and performance; • Adherence to preventive maintenance schedules; • Effectiveness of corrective maintenance activities, and; • Maintenance-related vehicle road calls. Facility Safety Inspections Santa Fe Trails maintenance management with support from City personnel conduct periodic facility safety, shop safety, and HAZMAT inspections. These inspections are documented as well as activities to mitigate any problems identified during the inspections. These records are kept in the Accountable Executive’s office. Fire Hazard and Fire Extinguisher Inspections Santa Fe Fire Department and Risk Management division conduct independent annual fire inspections at our facilities. Santa Fe Trails utilizes independent contractors to inspect and replace facility and vehicle and facility fire extinguishers as well as fire safety systems on an annual and as needed basis. P a g e | 26 Field Observations of Service Delivery Santa Fe Trails has documented processes that it uses to conduct field observations of safety-related aspects of the following elements of service delivery: • bus stops; • bus transfer locations; • fixed-route schedules and service delivery; and • paratransit/demand response scheduling and service delivery. Monitoring Hazardous Material Storage Maintenance employees shall handle, store, transport, and dispose of hazardous materials in accordance with manufacturer requirements, Safety Data Sheets (SDS), applicable environmental regulations, and City safety policies and procedures. Hazardous materials may include, but are not limited to, fuels, oils, lubricants, coolants, solvents, cleaning agents, paints, adhesives, batteries, refrigerants, and other chemicals used in transit maintenance operations. Employees shall be trained on the hazards associated with materials they may encounter and shall utilize appropriate personal protective equipment (PPE) when handling or working near hazardous substances. All hazardous materials shall be properly labeled, stored in approved containers and designated storage areas, and secured to prevent spills, leaks, contamination, or unauthorized access. Spills, releases, or exposures shall be reported immediately and addressed in accordance with established spill response and emergency procedures. The agency shall maintain current Safety Data Sheets (SDS) and ensure they are readily accessible to employees. Proper hazardous materials management is essential to protecting employee health and safety, preserving the environment, maintaining regulatory compliance, and ensuring the safe operation of transit facilities and equipment. Monitoring Tool Use and Equipment Integrity Maintenance employees shall use only tools and equipment that are appropriate for the specific task being performed and in accordance with manufacturer instructions, established maintenance procedures, and applicable safety requirements. Prior to use, employees will inspect all hand tools, power tools, diagnostic equipment, lifting devices, and specialty tools for damage, excessive wear, defects, or missing components that could affect safe operation. Defective, damaged, or unsafe tools shall be immediately removed from service, clearly tagged, and reported to a supervisor for repair or replacement. Employees shall not modify tools or use tools for purposes other than their intended design. Proper personal protective equipment (PPE) will be worn when required, and all tools will be maintained, stored, and secured in a manner that preserves their integrity and prevents injury or damage. Selecting the correct tool for the job, maintaining tool condition, and following safe operating practices are essential to reducing workplace hazards, preventing equipment damage, and ensuring the safe and reliable maintenance of transit vehicles and facilities. The Accountable Executive, supported by the SMS Executive, has overall responsibility to ensure that this monitoring is carried out and documented. Field observations are carried out by operations, maintenance, and administrative staff. If deficiencies are noted during the monitoring process, these deficiencies are documented and addressed as a source of proactive hazard identification through Santa Fe Trails’ safety risk management processes. All these service delivery monitoring activities are documented and stored in the Accountable Executive’s office. P a g e | 27 Risk Mitigation Monitoring The Accountable Executive with support from the SMS Executive and operations, maintenance, and administrative staff has responsibility for monitoring operations to identify any safety risk mitigations that may be ineffective, inappropriate, or not implemented as intended. The actual field monitoring of the mitigations is often carried out by subject matter experts, including those that assisted in the creation of the mitigation of the SRM process. Santa Fe Trails documents how it carries out these monitoring strategies to periodically assess the effectiveness of safety risk mitigations. Activities to monitor the effectiveness of safety risk mitigations ultimately assist Santa Fe Trails in determining whether: • the existing mitigation is working as desired; • the existing mitigation needs some modification to work as desired; • the existing mitigation is not working and needs to be replaced, or; • the existing mitigation is no longer needed. The results of mitigation monitoring activities are made available for further safety risk management activity if needed. Mitigation monitoring documentation is stored in the Accountable Executive’s office. Safety Event Investigation Responsibility for Santa Fe Trails safety event investigation process is shared by the Accountable Executive and the SMS Executive. Actual performance of safety event investigations, including identifying causal factors, involves not only the Accountable Executive and SMS Executive but also Operations Supervisors, Maintenance Staff, and Training Staff. Local law enforcement responds to accident scenes, as well. Safety event records provide critical baseline information to support SMS implementation, operation, and safety performance target achievement. Santa Fe Trails has documented procedures for safety event investigation. Santa Fe Trails has forms, consistent with industry standards, for documenting the results of safety events as well as the subsequent investigation. Safety event documentation is on file in the Accountable Executive’s office. After a safety event investigation is complete, Santa Fe Trails management, with input from subject matter experts, determines whether the safety event was preventable or non-preventable and based on that decision, whether discipline of employees involved is required. Santa Fe Trails takes the process a step further and performs causal analysis of safety events to help determine if latent organizational factors, beyond individual employee behavior, may have contributed to the event. The results of causal analysis are documented on a causal analysis form. Records of the results of the analysis of the forms are kept in the Accountable Executive’s office. Results of this analysis for causal factors provide potential hazard identification information that may need to be put through Santa Fe Trails' safety risk management process to reduce the potential risk of recurrence of a similar accident or incident. P a g e | 28 Employee Safety Reporting Program Monitoring An effective ESRP supports hazard identification. The Accountable Executive with support from the SMS Executive is responsible for monitoring the transit agency’s ESRP. Santa Fe Trails has established and documented the activities it will use on an ongoing basis to monitor whether its ESRP is effective and achieving desired outcomes. Within this process, Santa Fe Trails has established criteria that will determine if the program is performing as desired. Some of the criteria include: volume of reports received, value of reports received, response to reports received in terms of hazard identification risk assessment and risk mitigation, how information gathered from the ESRP is shared and communicated, and the timeliness and accuracy of feedback provided to employees who have reported a safety issue, concern, or condition. Documentation on all aspects of monitoring the safety reporting program is stored in the Accountable Executive’s office. Continuous Improvement Santa Fe Trails annually assesses its safety performance using key safety indicators to track progress towards its safety targets and to identify any deficiencies in safety performance against its targets, including when the agency fails to meet a target. This process also evaluates how effectively the agency addresses safety risks across all aspects of service delivery. Santa Fe Trails annual assessment also includes conducting a comprehensive audit of the existing SMS, examining its policies, procedures, and implementation across all levels of the organization. This involves meticulously reviewing documentation, observing safety practices in the field, and conducting interviews with employees at different levels to gain a holistic understanding of the system's effectiveness. Deficiencies in the agency’s SMS include concerns with the processes and procedures defined by the agency to carry out its SMS. Based on the findings of this annual assessment, Santa Fe Trails develops and carries out a plan, under the direction of the Accountable Executive, to address any identified deficiencies. The plan includes the agency’s efforts to address underlying hazards and potential consequences through Safety Risk Management, changing data collection or analysis techniques to better understand what is really going on, and/or testing and evaluating new approaches to SMS processes. The results of these assessments are documented and kept on file in the SMS Executive’s office. P a g e | 29 8. Safety Promotion Competencies and Training Under the guidance of the SMS Executive, the Santa Fe Trails Training Administrator has the day-to-day responsibility for the development, delivery, and documentation of all SMS-related safety skill competencies and SMS training. Santa Fe Trails has established competencies and training for all operations transit workers and transit workers directly responsible for safety. Training is provided to employees at-hire and on an ongoing refresher basis. Training Needs Analyses Santa Fe Trails periodically conducts training needs analyses to ensure that its training is up to date, and addresses critical, safety-related concerns. It carries out these training needs analyses by doing the following: • Reviewing existing job descriptions; • Identifying which positions, including contractors, have direct responsibility for determining when safety training is needed; • Determining what SMS roles, responsibilities, and processes are missing from job descriptions, and; • Updating job descriptions to reflect SMS practices. New-Hire Bus Operator Training Program Santa Fe Trails has comprehensive lesson plans for new-hire, classroom, and hands-on bus operator training. Continuation of skill training helps it identify hazards, such as training gaps or outdated lesson plans. Lesson plans and schedules not only assist the instructor in delivering the training but also provide a record of the content of the training should it be needed for any other purpose. All Santa Fe Trails new-hire bus operator lesson plans and schedules are kept on file a in the Training Administrator’s office. Bus Operator Refresher Training Santa Fe Trails presently provides monthly bus operator refresher training on a variety of topics, including defensive driving, bloodborne pathogens, wheelchair securement, emergency procedures, active shooter, de-escalation, and ergonomics. Santa Fe Trails maintains lesson plans, agendas, and sign-in sheets to document the content of refresher training and individual attendance at that training. These documents are on file in the Training Administrator’s office. Santa Fe Trails also provides retraining for Bus Operators for performance deficits. Supervisors, Dispatchers, and Mechanic Training Supervisors, dispatchers, and mechanics play a critical role in identifying and responding to hazards, and helping to both proactively and reactively mitigate risk. Training for supervisors, dispatchers, and mechanics primarily consists of mentoring, coaching, and on-the-job training. P a g e | 30 Mentoring, coaching, and on-the-job training are very appropriate training approaches, but ones that need to be guided by a structured agenda of topics. Santa Fe Trails has developed checklists with topics for experienced supervisors, dispatchers, and maintenance staff to use during on-the-job training, coaching, and mentoring of trainees. These checklists are also used to document an employee’s satisfactory completion of the training and include instructor and trainee signatures and the dates the training took place. These documents are kept on file in the Training Administrator’s office. SMS Orientation A cross-functional and multi-level understanding of SMS supports all SMS-related activities. Successful SMS implementation and operation require employee involvement and ownership at every level of the agency and within every service-delivery related function. Employees need to understand SMS; what their role is within SMS; and how they, the organization, and customers benefit from SMS success. This knowledge will nurture employee "buy-in." Santa Fe Trails presented SMS orientation sessions for all employee functions and addressed the implications of SMS for all agency functions. This initiative addressed SMS with experienced employees. Santa Fe Trails has also plugged information on SMS into all new-hire employee orientations. Documentation of these orientations, including agenda of topics covered, signatures of trainer/trainee, are kept on file in the Training Administrator’s office. Safety Risk Management Orientation for Subject Matter Experts Successful proactive safety risk mitigation begins with subject matter experts who have a clear understanding of their responsibilities and the skills required to carry them out. Employees who participate in safety risk management activities as subject matter experts need to understand how to carry out their responsibilities. The SMS Executive makes sure that subject matter experts are orientated on their safety risk management responsibilities, the desired outcomes of safety risk management activities, and the importance of the effort to Santa Fe Trails' safety performance. Documentation of the orientation process, as well as the orientations themselves, includes how the agency: • assesses hazards for consequences; • conducts safety risk assessments, and; • creates safety risk mitigations. Documentation of this ongoing activity is on file in the Training Administrator’s office. Safety Performance Monitoring Orientation The quality of safety performance monitoring is reflected in an agency's overall positive safety performance. Employees who participate in safety performance monitoring activities need to know how to carry out their responsibilities. The Accountable Executive and SMS Executive make sure that these employees receive orientations on what their responsibilities are, the desired outcomes of safety performance monitoring, and the importance of the effort to overall agency safety performance. Orientations include how to perform monitoring activities of both internal and contracted operations as P a g e | 31 well as external maintenance activities. Performance monitoring includes such activities as: • field observations to ensure operations and maintenance policies and procedures are being followed correctly; • assessing and documenting employee safety performance; monitoring the effectiveness of safety risk mitigations, and; • evaluating the effectiveness of the employee safety program. Documentation of these activities is kept on file in the Training Administrator’s office. Orientation on Employee Safety Reporting Program An effective ESRP is one of the most important tools for hazard identification. Santa Fe Trails’ ESRP, at a minimum, provides the following information: • the purpose and benefits of the program; • guidelines on the types of safety concerns and issues employees should report; • the reporting methods available to employees (how to report); • an explanation of how the information will be managed and shared; • the protections for employees who report safety concerns; • a description of the operational behaviors that are not protected and may result in discipline, and; • the agency's commitment to providing feedback on reported safety concerns. Agendas of the ESRP orientation and attendance records are on file in the Training Administrator’s office. Training Documentation Training documentation is a source of hazard identification. Training documentation provides formal proof that employees were trained and shows that employees received timely certification and recertification in critical skill areas. Up-to-date training documentation also assists Santa Fe Trails in forecasting future training schedules. Santa Fe Trails training documentation includes: • records of training needs analysis for lesson plan development; • curricula for initial and refresher training; • training schedules and records of all completed training; • procedures for revising training materials; • course assessment materials, and; • copies of individual employee training records. Santa Fe Trails records of course completion include: • date the training was held; • content covered during the training session; • length of the session; P a g e | 32 • training format, and; • signatures of instructor and trainee. Records of training documentation and course completion are kept on file in the Training Administrator’s office. Conflict Training and De-escalation Skills Santa Fe Trails provides conflict management and de-escalation training to all staff, via on-line training module and in person training. Training Monitoring Santa Fe Trails regularly monitors its training to ensure effectiveness. Specifically, the training monitoring process addresses the following: • monitor training to make sure it delivers the necessary SMS skills and information; • establish a process for reviewing and revising training courses and consider review frequency, reviewers, and decision-making process for revisions. Safety Communication The Accountable Executive and SMS Executive are responsible for ensuring the distribution and communication of safety and safety performance information throughout Santa Fe Trails. They are assisted in this responsibility by appropriate managers and supervisors. Effective safety communication is the foundation for developing robust Safety Management System (SMS) processes and activities at Santa Fe Trails. Santa Fe Trails regularly informs its workers of safety actions taken in response to reports submitted through the transit worker safety reporting program. The department has ensured, and will continue to ensure, that all employees are aware of safety-related information and responsibilities across multiple communication channels including conveying all reports to frontline transit worker representatives. This includes providing clear explanations, documentation, training, and notifications about any changes to relevant policies, activities, or procedures. Santa Fe Trails has documented its comprehensive approach to safety communication and supporting activities, which is maintained on file in the Accountable Executive's office. In general, Santa Fe Trails’ documentation of safety communication includes details about: • objectives of the communication; • content; • target audience; • format; • frequency of the communication; and • ways to ensure communication was understood. Safety Meetings Santa Fe Trails holds monthly employee safety meetings. These safety meetings provide a strong platform for safety-related communication and dialogue, identification of safety hazards, concerns, and P a g e | 33 issues, and the delivery of refresher training. It is through employee safety meetings that the agency conveys the results of cooperation with frontline transit worker representatives in updating the Agency’s Safety Plan Agendas for these meetings are comprehensively documented. Santa Fe Trails’ documentation of its safety meeting process includes: • How often employee safety meetings are scheduled; The job functions and frontline transit worker representatives that are required or encouraged to attend meetings; How safety, security, operational, maintenance, customer service, incident, accident, near miss, and close- call topics are identified and selected for discussion; ; • How identified concerns, recommendations, and corrective actions are documented and addressed; and • How employee safety meetings provide frontline transit workers and their representatives with opportunities to participate in the Safety Management System (SMS), identify hazards, report safety concerns, recommend mitigations, review safety performance, and provide input into the development and updates of the Public Transportation Agency Safety Plan (PTASP). Organization-Wide Communication of Safety Hazard and Safety Risk Information A goal of safety risk management processes is to reduce safety risk for employees and customers. Safety-sensitive employees are always vulnerable to the consequences of safety hazards within the transit environment. Timely reporting to employees of newly identified safety hazards and the safety risks those hazards present can help reduce that vulnerability. Santa Fe Trails has documented procedures for communicating hazards. The Accountable Executive and SMS Executive are responsible for making sure this communication takes place. The documentation of these procedures is on file in the SMS Executive’s office. Communication about Safety Risk Mitigations Santa Fe Trails is committed to informing employees at every level of operations about the safety risk mitigations it is putting into effect. The reasons it provides this information are: • it tells employees that the transit agency is doing all it can to reduce risk; • it brings attention to employee roles and responsibilities that may be affected by new mitigations, and; • informed employees are better situated to be a source of information on determining how well mitigations are working. Santa Fe Trails has documented its procedures for communicating safety risk mitigations to employees along with who is responsible for making sure this communication takes place. The Accountable Executive and SMS Executive share responsibility for making sure that this communication takes place. This documentation is on file in the SMS Executive’s office. Organization-Wide Communication of Agency Safety Performance Transit agencies implement SMS to help them continuously improve their safety performance. Communicating agency safety performance information promotes employee "buy-in" to SMS processes, P a g e | 34 thus further improving the agency's overall safety performance. Santa Fe Trails employees should have ownership of safety. To reinforce this ownership, Santa Fe Trails periodically communicates statistics on the agency's overall safety performance to all employees regardless of job function. This includes providing information on Santa Fe Trails’ status related to achieving its safety performance targets. Santa Fe Trails has documented how it communicates safety performance information throughout its organization. The Accountable Executive is responsible for taking the lead on this communication and making sure that it takes place. The documented procedures are on file in the SMS Executive’s office. P a g e | 35 Additional Information Santa Fe Trails will maintain documents that describe the programs, policies, and procedures it uses to carry out its agency safety plan. It will also maintain documents not included or referenced elsewhere in this safety plan, related to the implementation of the transit agency’s SMS, as well as results from SMS processes and activities. These documents will be maintained for at least three years after their creation and made available upon request by the FTA, other federal entities, or NMDOT. The Accountable Executive and SMS Executive will be points of contact to provide Agency Safety Plan-related information to external agencies to ensure access to these documents. P a g e | 36 Appendix A: Definitions Accountable Executive means a single, identifiable person who has ultimate responsibility for carrying out the Public Transportation Agency Safety Plan of an agency; responsibility for carrying out the transit agency's Transit Asset Management Plan; and control or direction over the human and capital resources needed to develop and maintain both the transit agency's Public Transportation Agency Safety Plan, in accordance with 49 U.S.C. 5329(d), and the transit agency's Transit Asset Management Plan in accordance with 49 U.S.C. 5326. Assault on a transit worker means, as defined under 49 U.S.C. 5302, a circumstance in which an individual knowingly, without lawful authority or permission, and with intent to endanger the safety of any individual, or with a reckless disregard for the safety of human life, interferes with, disables, or incapacitates a transit worker while the transit worker is performing the duties of the transit worker. CDC means the Centers for Disease Control and Prevention of the United States Department of Health and Human Services. Direct Recipient means an entity that receives Federal financial assistance directly from the Federal Transit Administration. Emergency means, as defined under 49 U.S.C. 5324, a natural disaster affecting a wide area (such as a flood, hurricane, tidal wave, earthquake, severe storm, or landslide) or a catastrophic failure from any external cause, as a result of which the Governor of a State has declared an emergency and the Secretary has concurred; or the President has declared a major disaster under section 401 of the Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 5170). Equivalent Entity means an entity that carries out duties similar to that of a Board of Directors, for a recipient or subrecipient of FTA funds under 49 U.S.C. chapter 53, including sufficient authority to review and approve a recipient or subrecipient's Public Transportation Agency Safety Plan. FTA means the Federal Transit Administration, an operating administration within the United States Department of Transportation. Hazard means any real or potential condition that can cause injury, illness, or death; damage to or loss of the facilities, equipment, rolling stock, or infrastructure of a public transportation system; or damage to the environment. Injury means any harm to person(s) as a result of an event that requires immediate medical attention away from the scene. Investigation means the process of determining the causal and contributing factors of a safety event, incident, or hazard, for the purpose of preventing recurrence and mitigating safety risk. Joint labor-management process means a formal approach to discuss topics affecting transit workers and the public transportation system. Large urbanized area provider means a recipient or subrecipient of financial assistance under 49 U.S.C. P a g e | 37 5307 that serves an urban area with a population of 200,000 or more as determined by the most recent decennial Census. National Public Transportation Safety Plan means the plan to improve the safety of all public transportation systems that receive Federal financial assistance under 49 U.S.C. chapter 53. Near-miss means a narrowly avoided safety event. Operator of a public transportation system means a provider of public transportation. Performance measure means an expression based on a quantifiable indicator of performance or condition that is used to establish targets and to assess progress toward meeting the established targets. Potential Consequence means the effect of a hazard. Public transportation means, as defined under 49 U.S.C. 5302, regular, continuing shared-ride surface transportation services that are open to the general public or open to a segment of the general public defined by age, disability, or low income; and does not include: (1) Intercity passenger rail transportation provided by the entity described in 3 49 CFR part 673 Changes (April 2024) 49 U.S.C. chapter 243 (or a successor to such entity); (2) Intercity bus service; (3) Charter bus service; (4) School bus service; (5) Sightseeing service; (6) Courtesy shuttle service for patrons of one or more specific establishments; or (7) Intra-terminal or intra-facility shuttle services. Public Transportation Agency Safety Plan means the documented comprehensive agency safety plan for a transit agency that is required by 49 U.S.C. 5329 and this part. Rail fixed guideway public transportation system means any fixed guideway system, or any such system in engineering or construction, that uses rail, is operated for public transportation, is within the jurisdiction of a State, and is not subject to the jurisdiction of the Federal Railroad Administration. These include but are not limited to rapid rail, heavy rail, light rail, monorail, trolley, inclined plane, funicular, and automated guideway. Rail transit agency means any entity that provides services on a rail fixed guideway public transportation system. Recipient means a State or local governmental authority, or any other operator of a public transportation system, that receives financial assistance under 49 U.S.C. chapter 53. Roadway means land on which rail transit tracks and support infrastructure have been constructed to support the movement of rail transit vehicles, excluding station platforms. Safety Assurance means processes within a transit agency's Safety Management System that functions to ensure the implementation and effectiveness of safety risk mitigation, and to ensure that the transit P a g e | 38 agency meets or exceeds its safety objectives through the collection, analysis, and assessment of information. 4 49 CFR part 673 Changes (April 2024) Safety Committee means the formal joint labor-management committee on issues related to safety that is required by 49 U.S.C. 5329 and this part. Safety event means an unexpected outcome resulting in injury or death; damage to or loss of the facilities, equipment, rolling stock, or infrastructure of a public transportation system; or damage to the environment. Safety Management Policy means a transit agency's documented commitment to safety, which defines the transit agency's safety objectives and the accountabilities and responsibilities for the management of safety. Safety Management System (SMS) means the formal, organization-wide approach to managing safety risk and assuring the effectiveness of a transit agency's safety risk mitigation. SMS includes systematic procedures, practices, and policies for managing hazards and safety risk. Safety Management System (SMS) Executive means a Chief Safety Officer or an equivalent. Safety performance target means a quantifiable level of performance or condition, expressed as a value for the measure, related to safety management activities, to be achieved within a specified time period. Safety Promotion means a combination of training and communication of safety information to support SMS as applied to the transit agency's public transportation system. Safety risk means the composite of predicted severity and likelihood of a potential consequence of a hazard. Safety risk assessment (SRA) means the formal activity whereby a transit agency determines Safety Risk Management priorities by establishing the significance or value of its safety risk. Safety risk management means a process within a transit agency's Public Transportation Agency Safety Plan for identifying hazards and analyzing, assessing, and the mitigating safety risk of their potential consequences. Safety risk mitigation means a method or methods to eliminate or reduce the severity and/or likelihood of a potential consequence of a hazard. Safety set-aside means the allocation of not less than 0.75 percent of assistance received by a large urbanized area provider under 49 U.S.C. 5307 to safety related projects eligible under 49 U.S.C. 5307. Small public transportation provider means a recipient or subrecipient of Federal financial assistance under 49 U.S.C. 5307 that has one hundred (100) or fewer vehicles in peak revenue service across all non-rail fixed route modes or in any one non-fixed route mode and does not operate a rail fixed guideway public transportation system. State means a State of the United States, the District of Columbia, Puerto Rico, the Northern Mariana P a g e | 39 Islands, Guam, American Samoa, and the Virgin Islands. State of good repair means the condition in which a capital asset is able to operate at a full level of performance. State Safety Oversight Agency means an agency established by a State that meets the requirements and performs the functions specified by 49 U.S.C. 5329(e) and (k) and the regulations set forth in 49 CFR part 674. Subrecipient means an entity that receives Federal transit grant funds indirectly through a State or a direct recipient. Transit agency means an operator of a public transportation system. that is a recipient or subrecipient of Federal financial assistance under 49 U.S.C. 5307 or a rail transit agency. Transit Asset Management Plan means the strategic and systematic practice of procuring, operating, inspecting, maintaining, rehabilitating, and replacing transit capital assets to manage their performance, risks, and costs over their life cycles, for the purpose of providing safe, cost-effective, and reliable public transportation, as required by 49 U.S.C. 5326 and 49 CFR part 625. Transit worker means any employee, contractor, or volunteer working on behalf of the transit agency. Urbanized area means, as defined under 49 U.S.C. 5302, an area encompassing a population of 50,000 or more that has been defined and designated in the most recent decennial census as an urban area by the Secretary of Commerce. P a g e | 40 Appendix B: Acronyms and Abbreviations Acronym or Abbreviation Meaning ADA Americans with Disabilities Act ASP Agency Safety Plan CFR Code of Federal Regulations CNG Compressed Natural Gas ESRP Employee Safety Reporting Program FTA Federal Transit Administration NMDOT New Mexico Department of Transportation MPO Metropolitan Planning Organization PTASP Public Transportation Agency Safety Plan SMPS Safety Management Policy Statement SMS Safety Management System SRM Safety Risk Management TAB Transit Advisory Board TAM Transit Asset Management P a g e | 41 Appendix C: City of Santa Fe ASP Approval Documentation City Council Minutes link for the approval Santa Fe Trails Safety Plan P a g e | 42 Appendix D: Certification Documentation On___________________, Santa Fe Trails provided an updated safety plan to ensure full compliance with Federal requirements. This update was sent to New Mexico Department of Transportation, Transit and Rail Division. ____________________________ Gabrielle N. Chavez, Transit Director of Administration P a g e | 43 Appendix E: Santa Fe Trails Safety Risk Assessment Matrix Risk Assessment Matrix SEVERITY LIKELIHOOD Catastrophic (1) Critical (2) Marginal (3) Negligible (4) Frequent (A) High High High Medium Probable (B) High High Medium Medium Occasional (C) High Medium Medium Low Remote (D) Medium Medium Low Low Improbable (E) Medium Low Low LowDefinition Category Meaning Value Critical Could result in one or more of the following: permanent partial disability, injuries or occupational illness that may result in hospitalization of at least one person, property damage exceeding $25,000 but less than $250,000, system shut down lasting between 10 minutes and 4 hours, or reversible significant environmental impact causing a violation of law or regulation. 2 Marginal Could result in one or more of the following: injury or occupational illness resulting in one or more lost work day(s), reversible moderate environmental impact without violation of law or regulation, or monetary loss up to $25,000, or system shutdown of less than 10 minutes 3 Severity of the Consequence Catastrophic Could result in one or more of the following: death, permanent total disability, irreversible significant environmental impact that violates law or regulation, or monetary loss equal to or exceeding $250,000. 1 Negligible Could result in one or more of the following: injury or occupational illness not resulting in a lost work day, minimal environmental impact, or monetary loss less than $25,000. 4 P a g e | 44 Safety Risk Levels Risk Assessment Matrix Color Code Risk Assessment Matrix Color CodeQualitative Definition Meaning Value Frequent Likely to Occur Frequently - more than once per month A Probable Likely to Occur less than once per month but more than once per year B Occasional Likely to Occur less than once per year but more than once per decade C Remote Very Unlikely to Occur - once in the life of the system D Improbable Almost inconceivable that the event will occur in the life of the system E “Tolerability” based on identified severity and likelihood. Unacceptable under the existing circumstances. Acceptable based upon mitigations; monitoring is necessary. Acceptable under existing circumstances; with senior management approval. P a g e | 45 Appendix F: Santa Fe Trails Organizational Chart