Resolution ST-90 Granting approval of the final report on the 2007 safety audit of the Port of Los Angeles Waterfront Red Car Line
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TRIENNIAL ON-SITE SAFETY AUDIT OF

THE PORT OF LOS ANGELES

WATERFRONT RED CAR LINE

RAIL TRANSIT SAFETY SECTION

RAIL TRANSIT AND CROSSING BRANCH

CONSUMER PROTECTION AND SAFETY DIVISION

CALIFORNIA PUBLIC UTILITIES COMMISSION

505 VAN NESS AVENUE

SAN FRANCISCO, CA 94102

Richard W. Clark, Director

Consumer Protection and Safety Division

2007

TRIENNIAL ON-SITE SAFETY AUDIT OF

THE PORT OF LOS ANGELES

WATERFRONT RED CAR LINE

Rail Transit Safety Program

ACKNOWLEDGEMENT

The California Public Utilities Commission's Rail Transit Safety Section staff conducted this system safety program audit. Staff members directly responsible for conducting audit activities include:

TABLE OF CONTENTS

1. EXECUTIVE SUMMARY 3

2. INTRODUCTION 4

3. BACKGROUND 4

4. AUDIT PROCEDURE 5

5. FINDINGS, RECOMMENDATIONS, AND SUGGESTIONS 5

APPENDICES

A. Acronyms List 10

B. POLA RCL 2007 Triennial Safety Audit Checklist Index 11

C. POLA RCL 2007 Triennial Safety Audit Recommendations and Suggestions List 12

D. POLA RCL 2007 Triennial Safety Audit Checklists 14

1. EXECUTIVE SUMMARY

The Rail Transit Safety Section staff (Staff), assisted by the Railroad Operations Safety Branch and the Utility Safety Section staff of the California Public Utilities Commission's Consumer Protection and Safety Division conducted the second triennial, on-site, safety audit of the Port of Los Angeles Waterfront Red Car Line (POLA RCL) from February 26 to March 2, 2007. The audit was comprehensive in nature and addressed POLA RCL safety programs and practices in the design, construction, operation and maintenance of the system, as well as their security program. The Transportation Security Administration (TSA) personnel simultaneously conducted their own security program review. The on-site audit was preceded by a pre-audit conference with POLA RCL personnel, on Monday, February 26, 2007.1 Audit activities began after the meeting. A post-audit conference, also attended by POLA RCL personnel, was held on Friday, March 2, 2007.

Staff audited four POLA RCL departments on thirteen separate subjects using specific criteria (checklists) and made eight recommendations and two suggestions. The audit results indicate that POLA RCL has been very diligent in following its own System Safety Program Plan (SSPP) to implement overall system safety. However, the audit results also identified areas where additional refinements could be made to further improve the POLA RCL safety program. The area of most concern was the improvement of documentation. The SSPP should be modified to reflect actual practice. POLA should remove the reference to amendments and 'Records of Change' page in Section 6.0 of the SSPP, since there is no 'Records of Change' page. POLA should also modify Section 10 of SSPP regarding the incident notification procedure to reflect that Port Police is notified first, then Herzog (See Checklist 1). POLA RCL should document the quarterly reviews of the Test & Observation Program (See Checklist 1). POLA RCL should also indicate the corrective action implementation plans that are carried from month to month on inspection forms (See Checklist 1). POLA RCL should conduct refresher Right of Way Safety training annually for emergency responders, or remove this requirement from the SSPP (See Checklist 10). As a suggestion, POLA RCL could add a line on the facility inspection form for the General Manager's signature and add a line to the daily inspection form indicating that a vehicle is not in service (See Checklist 4). Staff also field inspected three separate areas, track, overhead catenary system, and signal covered by checklists 11, 12, and 13 respectively. The track inspection cited tripping hazards including hoses in the toe path, a ballast pole in the toe path, a broken utility box cover, and side clearance hazards including switch No. 22 handle, which when extended is less than 3 inches from a fence post and a split point derail switch stand handle which is less than 3 inches from a chain link fence. The signal inspection found one signal out of alignment at First Street. The overhead catenary system inspection cited seven poles with loose guy wires: H1791, H1751, H1741, H1663, H1350, H1330, and H13210.

TSA's security checklist results are confidential to POLA RCL. They are not contained nor summarized in this document.

The Introduction of this report is stated in Section 2. The Background, with POLA RCL Rail System Description is in Section 3. Sections 4 and 5 respectively depict 2007 Audit Procedures and Findings, Recommendations, and Suggestions. The Acronyms are listed in Appendix A. POLA RCL 2007 Triennial Safety Audit Checklist Index, Recommendations List and the Checklists are respectively written in Appendices B, C, and D.

2. INTRODUCTION

CPUC General Order 164-C, Rules and Regulations Governing State Safety Oversight of Rail Fixed Guideway Systems, and the Federal Transit Administration's (FTA) Final Rule, Title 49 Code of Federal Regulations (CFR) Part 659 require Staff to perform triennial, on-site, safety audits of each transit agency. The purpose of these audits is to verify compliance with, and evaluate the effectiveness of, each rail transit agency's SSPP. POLA RCL was last audited in August 2004.

Staff informed the POLA RCL General Manager, that the on site triennial safety audit would be scheduled between February 26 and March 2, 2007. Staff provided him with ten checklists that would serve as the basis for the audit. Staff also informed him that Transportation Security Administration (TSA) personnel would be performing their own security audit on Thursday, March 1, 2007, and issuing a separate confidential report on their findings and recommendations.

A pre-audit meeting preceded the on-site audit with POLA RCL personnel on Monday, February 26, 2007. Railroad Operations and Safety Branch Staff performed signal, track and overhead catenary system inspections on February 22, 2007. On March 2, 2007, Staff held a post-audit meeting, also attended by POLA RCL personnel. At the post-audit meeting, Staff provided the POLA RCL representatives a verbal synopsis of the preliminary findings and recommendations from the thirteen checklists. Staff explained that a preliminary draft audit report would be prepared for POLA RCL to comment.

3. BACKGROUND

POLA RCL is a tourist oriented historic streetcar system. The system mimics the Pacific Electric Red Cars (PE Cars) of the 1920's era. The system utilizes one restored 1000 class PE Car and two replicated 500 class PE Cars. The POLA RCL came to life as a part of the Port of Los Angeles' San Pedro Waterfront Development Plan. The Port of Los Angeles solely funded the construction and operation cost. The system was built on existing freight track. The service between freight trains and POLA RCL is temporally separated - freight and passenger service hours do not overlap - according to Federal Railroad Administration (FRA) rules. Operations and maintenance of the system is contracted out to Herzog Transit Services (Herzog). POLA RCL began its revenue operation on July 19, 2003.

The POLA RCL General Manager has the overall management responsibility for all of the POLA RCL departments, including the authority and responsibility for System Safety. The General Manager also sets and executes the operational and maintenance budget. Herzog Transit Services (Herzog) is contracted to operate the system. The Manager of Streetcar Operations (MSO) has overall responsibility for operations. The MSO has overall system safety responsibilities. The General Manager oversees the system safety by having meetings with the MSO and reviewing/analyzing the safety critical reports that the MSO submits periodically. Herzog is contracted to maintain the vehicles and facilities. Mass Electric (ME) is contracted to maintain the OCS. Pacific Harbor Line (PHL) is contracted to maintain the signals and track. POLA RCL shares the track with PHL, a freight operator, temporally separated according to FRA rules. Herzog and PHL have mutual agreement that, in an emergency, either of the two parties can perform track repairs. The MSO has overall responsibility on the system maintenance and contractor coordination.

POLA RCL System Description

POLA RCL rail system consists of 1.5 miles of track, three historic streetcars, four stations, and a maintenance facility. The system connects World Cruise Terminal, Downtown San Pedro, Ports O'Call Village, and a remote parking lot. Extension of this line to the nearby Cabrillo Beach is in the conceptual planning stage. Normal operating hours from Friday to Monday (weekend operation) are from 10 AM to 6 PM. The average weekend (4 days) ridership of the system is about 2,300 during the summer and 900 during the winter.

4. AUDIT PROCEDURE

Staff conducted the audit in accordance with its Rail Transit Safety Section Procedure No. 4, Procedure for Performing Triennial Safety Audits of Rail Transit Systems. In addition to the three field audit checklists, Staff developed ten checklists to evaluate the various departments with system safety and security responsibilities, using FTA and American Public Transportation Association (APTA) guidelines and the Staff's knowledge of the transit system. The list of the thirteen checklists is included in Appendix B. Staff inspection of three specialized areas including track, overhead catenary system, and signal system are covered by checklist 11, 12, and 13 respectively.

Each checklist identifies the safety-related elements and characteristics that Staff audited, POLA RCL reference documents that established the acceptance requirements, and the method that Staff used for evaluating compliance with the requirements. The methods used included:

The audit checklists concentrated on requirements that affect the safety of train operations and are known or believed to be important to reducing safety hazards and preventing accidents.

5. FINDINGS, RECOMMENDATIONS, AND SUGGESTIONS

Staff audited four POLA RCL departments, management, operations, safety, and maintenance, on thirteen separate subjects using specific criteria (checklists) and made eight recommendations and two suggestions. The audit results indicate that POLA RCL has been very diligent in following its own System Safety Program Plan (SSPP) to implement overall system safety. The results further indicate that POLA RCL has made significant progress between 2004 and 2007 in implementing the SSPP. Staff recorded the audited findings for each element/characteristic under the Results/Comments heading on each of the thirteen checklists. Appendices B, C, and D depict the POLA RCL 2007 Triennial Audit Checklist Index, Recommendation List, and Checklists respectively. Audit findings identified areas where additional changes should further improve POLA's system safety program. Those elements are addressed in 2007 checklists as follows.

Checklist 1, concerning management, has the most discrepancies. Two discrepancies involved changing the SSPP, including removing the reference to amendments and a 'Records of Change' page in Section 6.0, since there is no 'Records of Change' page and modifying section 10 of SSPP regarding the notification procedure for incidents to reflect that Port Police are notified first, then Herzog. Two discrepancies involve improving and refining the documentation for the quarterly reviews of the Test & Observation Program and clearly indicating corrective action items that are carried from month to month on inspection forms.

Checklist 4, covering vehicle maintenance, has two suggestions for improvement; adding a line on the facility inspection form for the General Manager's signature to show that the Manager of Streetcar Operation also reviewed the inspection findings and adding a line to the daily inspection form indicating that a vehicle is not in service to enhance documentation.

Checklist 10, concerning safety, has only one recommendation to make the SSPP conform to normal practice. POLA RCL should conduct refresher Right of Way Safety training annually for emergency responders, or remove this requirement from the SSPP.

Checklist 11, which explores the results of the track inspection for the entire POLA line, indicates both tripping and side clearance problems. The tripping hazards include hoses in the toe path, a ballast pole in the toe path, and a broken utility box cover. The side clearance hazards including switch No. 22 handle, which when extended is less than 3 inches from a fence post and a split point derail switch stand handle which is less than 3 inches from a chain link fence. These side clearances violate General Order 26D which requires a 3 foot clearance between a switch handle and an obstacle.

Checklist 12, which covers the results of the OCS inspection for the complete POLA line, recommends that seven guy wires of the OCS system, H1791, H1751, H1741, H1663, H1350, H1330, and H13210 should be tightened.

.

Checklist 13, which concerns the entire Signal system, indicates a signal alignment problem on the southwest gate of 1st Street.

Listed below, in outline form and in numerical order, are the audit checklists, including non-compliance conditions and recommendations, if any.

1. Authority and Responsibility for the System Safety Program

Staff found four deficiencies. Two discrepancies involved changing the SSPP, including removing the reference to amendments and a 'Records of Change' page in Section 6.0, since there is no 'Records of Change' page and modifying Section 10 regarding the notification procedure for incidents to reflect that Port Police are notified first, then Herzog. Other two discrepancies involved improving and refining the documentation for the quarterly reviews of the Test & Observation Program and clearly indicating corrective action items that are carried from month to month on inspection forms.

Recommendations:

POLA RCL should clearly document the quarterly reviews of the Test & Observation Program.

POLA RCL should remove the reference to amendments and a 'Records of Change' page in Section 6.0 of the SSPP, since there is no 'Records of Change' page.

POLA RCL should modify section 10 of SSPP regarding the notification procedure for incidents to reflect that Port Police are notified first, then Herzog.

POLA RCL should clearly indicate corrective action items that are carried from month to month on inspection forms.

2. Internal Safety Audit Process

Staff did not find any deficiencies and had no recommendations.

3. Accident and Safety Data Analysis

Staff did not find any deficiencies and had no recommendations.

4. Facilities and Maintenance Inspection

Staff had no recommendations.

Staff had two suggestions for improvement:

POLA RCL could add a line on the facility inspection form for the General Manager's signature to show that the Manager of Streetcar Operation also reviewed the inspection findings.

POLA RCL could add a line to the daily inspection form indicating that a vehicle is not in service.

5. Rules / Procedures, Training and Certification, Drug Review

Staff did not find any deficiencies and had no recommendations.

6. Hazard Identification and Hazardous Material Programs

Staff did not find any deficiencies and had no recommendations.

7. Configuration Management / System Modification Approval Process

Staff did not find any deficiencies and had no recommendations.

8. Employee and Contractor Safety Program

Staff did not find any deficiencies and had no recommendations.

9. Security

Staff did not find any deficiencies and had no recommendations.

10. Emergency Response Planning, Coordination, and Training

Staff found one deficiency; the SSPP does not reflect POLA RCL actual practice. The SSPP states that POLA will conduct refresher Right of Way Safety training annually for emergency responders.

Recommendation:

POLA RCL should conduct refresher Right of Way Safety training annually for emergency responders, or remove this requirement from the SSPP.

11. Track Inspection

Staff found deficiencies during track inspection for the entire POLA line including both tripping and side clearance problems.

Recommendation:

POLA RCL should correct tripping hazards including hoses in the toe path, a ballast pole in the toe path, and a broken utility box cover, and side clearance hazards including switch No. 22 handle, which when extended is less than 3 inches from a fence post and a split point derail switch stand handle which is less than 3 inches from a chain link fence. These side clearances violate General Order 26D which requires a 3 foot clearance between a switch handle and an obstacle.

12. GO 95 and GO 128 Inspections

Staff found deficiencies during the OCS inspection of the complete POLA line including seven loose guy wires.

Recommendation:

POLA RCL should tighten seven guy wires of the OCS system: H1791, H1751, H1741, H1663, H1350, H1330, and H13210.

13. Signal Inspection

Staff found one deficiency during the signal inspection of the entire POLA line, a signal alignment problem on the southwest gate of 1st Street.

Recommendation:

POLA RCL should correct the signal alignment problem on the southwest gate of 1st Street.

APPENDICES

A. Acronyms List

B. POLA RCL 2007 Triennial Safety Audit Checklist Index

C. POLA RCL 2007 Triennial Safety Audit Recommendations List

D. POLA RCL 2007 Triennial Safety Audit Checklists

Appendix A

Acronyms List

Acronym

Meaning

AIP

Accident Investigation Plan

APTA

American Public Transportation Association

CFR

Code of Federal Regulations

CPUC

California Public Utilities Commission

FRA

Federal Railroad Administration

FTA

Federal Transportation Administration

GRS

Global Rail Services

GO

General Order

HazMat

Hazardous Material

LAFD

Los Angeles Fire Department

LAPD

Los Angeles Police Department

ME

Mass Electric

MIS

Management Information System

MOW

Maintenance of Way

MSDS

Material Safety Data Sheet

MSO

Manager of Streetcar Operation

OCS

Overhead Contact System

OP

Operations

PD

Police Department

PE Cars

Pacific Electric Red Cars

PHL

Pacific Harbor Line

POLA

Port of Los Angeles

RCL

Waterfront Red Car Line

RTSS

Rail Transit Safety Section (of CPUC)

SOP

Standard Operating Procedure

SSPP

System Safety Program Plan

TSA

Transportation Security Administration

Appendix B

POLA RCL 2007 TRIENNIAL SAFETY AUDIT CHECKLIST INDEX

Checklist No.

Element/Characteristics

1

Authority and Responsibility for System Safety Program

2

Internal Safety Audit Process

3

Accident and Safety Data Analysis

4

Facilities and Maintenance Inspection

5

Rules / Procedures, Training and Certification, Drug Review

6

Hazard Identification and Hazardous Material Programs

7

Configuration Management / System Modification Approval Process

8

Employee and Contractor Safety Program

9

Security

10

Emergency Response Planning, Coordination, and Training

11

Track Inspection

12

GO 95 and 128 Inspection

13

Signal Inspection

Appendix C

POLA RCL 2007 TRIENNIAL SAFETY AUDIT RECOMMENDATION LIST

No.

Recommendations

Checklist No.

1

POLA RCL should document the quarterly reviews of the Test & Observation Program.

1

2

POLA RCL should remove the reference to amendments and a 'Records of Change' page in Section 6.0 of the SSPP.

1

3

POLA RCL should modify section 10 of SSPP regarding the notification procedure for incidents to reflect that Port Police are notified first, then Herzog.

1

4

POLA RCL should clearly document corrective action plan implementations that are carried from month to month on inspection forms.

1

5

POLA RCL should conduct refresher Right of Way Safety training annually for emergency responders, or remove this requirement from the SSPP.

10

6

POLA RCL should remove tripping and side clearance hazards.

11

7

POLA RCL should tighten seven guy wires of the OCS system.

12

8

POLA RCL should correct the signal alignment problem on the southwest gate of 1st Street

13

POLA RCL 2007 TRIENNIAL SAFETY AUDIT SUGGESTION LIST

No.

Suggestions

Checklist No.

1

POLA RCL could add a line on the facility inspection form for the General Manager's signature.

4

2

POLA RCL could add a line to the daily inspection form indicating when a vehicle is not in service.

4

Appendix D

POLA RCL 2007 TRIENNIAL SAFETY AUDIT CHECKLISTS

(1 THROUGH 13)

2007 CPUC SYSTEM SAFETY AUDIT CHECKLIST FOR THE PORT OF LOS ANGELES WATERFRONT RED CAR LINE

Checklist No.

1

Persons Contacted

Date of Audit

2/26/2007

Kurt Arend - General Manager

Rafael Lopez-Medina - Manager of Streetcar Operation

Ruben Montenegro - Manager & Facility Maintenance

Peter Kane - Director, Safety & Compliance

Auditors

Georgetta Gregory

Susan Feyl

Department

Management

REFERENCE CRITERIA

1. CPUC General Order 164-C

2. Port of Los Angeles (POLA) Waterfront Red Car Line (RCL) System Safety Program Plan Sections 1 though 6.

ELEMENT/CHARACTERISTICS AND METHOD OF VERIFICATION

AUTHORITY FOR SYSTEM SAFETY PROGRAM PLAN

Interview POLA RCL General Manager to determine:

1. The source, frequency, and depth of safety and security information provided to the General Manager.

2. The method the General Manager uses to monitor the proper implementation of the SSPP.

3. If the Goals identified in the SSPP have been achieved.

4. If the Objectives identified in the SSPP have been accomplished.

5. If the Organization Chart correctly represents the current POLA RCL structure.

6. If the SSPP has been reviewed for revision during the last 1-year period.

FINDINGS AND RECOMMENDATIONS

Staff interviewed the General Manager and reviewed records.

Findings:

1. The General Manager receives all incident reports, near miss reports, and monthly reports that analyze statistical trends. POLA RCL generates an incident report when an incident occurs. POLA RCL does not have monthly security report. Every Sunday, during weekly meetings, POLA RCL personnel discuss Department of Homeland Security issues as documented on the 'Daily Order'.

2. POLA RCL contracts with Herzog to operate the trolley. Everyday POLA RCL's General Manager meets with the Manager of Streetcar Operations and Herzog personnel to discuss operations, system safety, maintenance, and expenditures.

3. POLA RCL achieved the goals identified in the SSPP by retraining an employee off work for two months and continues to operate accident free since the start of revenue service.

4. POLA RCL performs a Test & Observation Program, and reviews it quarterly. POLA RCL tests one or two train operators monthly on a rotating basis. The Test & Observation Program needs to be clearly documented.

5. POLA RCL SSPP contains an organization chart.

6. POLA RCL reviewed the SSPP last year. Staff noted discrepancies between the SSPP and normal practice. The SSPP references amendments and a 'Records of Change' page, when neither is utilized. The SSPP states that Herzog is notified first when an incident occurs, actually POLA RCL notifies the Port Police first, then Herzog.

7. POLA RCL states corrective action items on inspection forms in the month they are detected, but they are not noted again until resolved, which may be months later.

Recommendations:

1. POLA RCL should document the quarterly reviews of the Test & Observation Program.

2. POLA RCL should remove the reference to amendments and a 'Records of Change' page in Section 6.0 of the SSPP, since there is no 'Records of Change' page.

3. POLA RCL should modify section 10 of SSPP regarding the notification procedure for incidents to reflect that Port Police are notified first, then Herzog.

4. POLA RCL should clearly indicate corrective action items that are carried from month to month on inspection forms.

2007 CPUC SYSTEM SAFETY AUDIT CHECKLIST FOR THE PORT OF LOS ANGELES WATERFRONT RED CAR LINE

Checklist No.

2

Persons Contacted

Date of Audit

2/28/2007

Rafael Mejia-Lopez, Manager of Streetcar Operation, Herzog Transit Services

Peter Kane, Safety And Compliance Director, Herzog Transit Services

Ruben Montenegro, Manager of Facility Maintenance, Herzog Transit Services

Auditors

Noel Takahara

Brian Yu

Department

Operations

REFERENCE CRITERIA

1. CPUC General Order 164-C

2. Port of Los Angeles (POLA) Waterfront Red Car Line (RCL) System Safety Program Plan Sections 9

ELEMENT/CHARACTERISTICS AND METHOD OF VERIFICATION

INTERNAL SAFETY AUDIT PROCESS

Interview POLA RCL personnel to determine if during the last 3 years:

1. The Internal Safety Audit has been performed according to the SSPP.

2. The plans and schedules are in place to address the Internal Safety Audit recommendations.

3. A schedule has been developed which identifies when the 15 APTA elements will be reviewed within a 3-year process.

4. Internal Safety Audits have been properly documented and submitted to the CPUC on an annual basis prior to February 15th each year.

FINDINGS AND RECOMMENDATIONS

Staff interviewed POLA personnel and reviewed records.

Findings:

Staff did not find any exceptions.

Recommendations:

None.

2007 CPUC SYSTEM SAFETY AUDIT CHECKLIST FOR THE PORT OF LOS ANGELES WATERFRONT RED CAR LINE

Checklist No.

3

Persons Contacted

Date of Audit

March 1, 2007

Rafael Mejia-Lopez, Manager of Streetcar Operation, Herzog Transit Services

Auditors

Anton Garabetian

Department

Safety

REFERENCE CRITERIA

1. CPUC General Order 164-C

2. Port of Los Angeles (POLA) Waterfront Red Car Line (RCL) System Safety Program Plan Sections 8, and 16

3. POLA RCL Accident/Incident Investigation Procedure

ELEMENT/CHARACTERISTICS AND METHOD OF VERIFICATION

ACCIDENT AND SAFETY DATA ANALYSIS

Interview POLA RCL management to determine if since revenue service::

1. Whether monthly accident reports have been submitted to the CPUC.

2. Whether the reported accidents/Incidents, including near misses, are being investigated according to POLA RCL Accident Investigation Procedures.

3. Whether mitigation measures have been implemented to prevent a reoccurrence of an Accident/Incident in the future.

4. What type of safety data is acquired and analyzed.

5. How the results of the safety data analysis are used to prevent accidents.

6. Whether the Computerized Management Information System (MIS), specified in the SSPP, is accurate and current.

FINDINGS AND RECOMMENDATIONS

Findings:

Staff interviewed POLA RCL management and reviewed records. Since the start of revenue service, no accidents have occurred at POLA RCL.

Recommendations:

None

2007 CPUC SYSTEM SAFETY AUDIT CHECKLIST FOR THE PORT OF LOS ANGELES WATERFRONT RED CAR LINE

Checklist No.

4

Persons Contacted

Date of Audit

2-28-07

Rafael Lopez-Medina - Manager of Streetcar Operation

Ruben Montenegro - Manager & Facility Maintenance

Peter Kane - Director, Safety & Compliance

Auditors

Joey Bigornia

Department

Maintenance

REFERENCE CRITERIA

1. CPUC General Order 164-C

2. Port of Los Angeles (POLA) Waterfront Red Car Line (RCL) System Safety Program Plan Sections 10 and 11.

3. POLA RCL Maintenance Schedule

4. POLA RCL Vehicle Maintenance SOP

ELEMENT/CHARACTERISTICS AND METHOD OF VERIFICATION

FACILITIES AND MAINTENANCE INSPECTION

Review Facilities and Wayside track, signal and traction power Inspection records to determine if since revenue service:

1. POLA RCL has developed a formal facility inspection form.

2. The identified facilities and wayside equipment are routinely inspected and the resulting records are stored at POLA.

3. Future Facilities and Wayside inspections have been scheduled.

Interview the POLA RCL Maintenance Manager and review Maintenance records to determine if:

1. Vehicle maintenance inspections have been performed according to the RCL Maintenance Schedule and stored at POLA.

2. Three problems, chosen at random, identified during the vehicle maintenance inspections, have been addressed in a timely manner and properly documented.

FINDINGS AND RECOMMENDATIONS

Findings:

A. Facilities

B. Wayside

C. Vehicle

Suggestions:

Staff suggests the facility inspection form be revised with a signature line to show that the Manager of Streetcar Operation reviewed the inspection findings and that a line be added to the daily inspection form indicating when a vehicle is not in service.

Recommendation:

None.

2007 CPUC SYSTEM SAFETY AUDIT CHECKLIST FOR THE PORT OF LOS ANGELES WATERFRONT RED CAR LINE

Checklist No.

5

Persons Contacted

Date of Audit

2/26/2007

Rafael Mejia-Lopez, Manager of Streetcar Operation, Herzog Transit Services

Peter Kane, Safety And Compliance Director, Herzog Transit Services

Ruben Montenegro, Manager of Facility Maintenance, Herzog Transit Services

Auditors

Brian Yu

Department

Operations

REFERENCE CRITERIA

1. CPUC General Order 164-C

2. Port of Los Angeles (POLA) Waterfront Red Car Line (RCL) System Safety Program Plan Sections 12, 13 and 21.

3. POLA RCL Rulebook

4. Herzog Program of Operational Tests and Inspections

5. Herzog 49 CFR Part 240 Qualification and Certification of Locomotive Engineers

6. Herzog Drug and Alcohol Testing Policy

ELEMENT/CHARACTERISTICS AND METHOD OF VERIFICATION

RULES / PROCEDURES, TRAINING AND CERTIFICATION, DRUG TEST REVIEW

Interview the POLA RCL Manager of Streetcar Operations to determine if:

1. Rules and Procedures were reviewed for revision during the past 12 months.

2. Written Exams, Field Observations, and Audits were conducted, during the past 12 months, to monitor employees' conformance to the rules and procedures.

3. Records of each employee's training and certification have been evaluated during the past 12 months and that POLA RCL management is aware of each employee's need for "refresher" training and certification renewal.

4. POLA RCL has developed a re-training, new training, and certification renewal schedules for their employees.

5. All of the Herzog employees have been trained on the Herzog's Drug and Alcohol Abuse Program.

FINDINGS AND RECOMMENDATIONS

Findings

Recommendation

None

2007 CPUC SYSTEM SAFETY AUDIT CHECKLIST FOR THE PORT OF LOS ANGELES WATERFRONT RED CAR LINE

Checklist No.

6

Persons Contacted

Date of Audit

2/27/07

Rafael Mejia-Lopez, Manager of Streetcar Operation, Herzog Transit Services

Peter Kane, Safety And Compliance Director, Herzog Transit Services

Ruben Montenegro, Manager of Facility Maintenance, Herzog Transit Services

Auditors

Brian Yu

Department

Operations,

Management

REFERENCE CRITERIA

1. CPUC General Order 164-C

2. Port of Los Angeles (POLA) Waterfront Red Car Line (RCL) System Safety Program Plan Sections 7, and 20

3. POLA RCL Operating SOP OP-001 Material Safety Data Sheet (MSDS)

4. POLA RCL Operating SOP OP-003 (HazMat)

5. POLA Accident./ Incident Investigation Procedure

ELEMENT/CHARACTERISTICS AND METHOD OF VERIFICATION

HAZARD IDENTIFICATION/RESOLUTION PROCESS

Interview POLA RCA personnel to determine if since start of revenue service:

1. There are records for accidents/incidents being reported, including near misses.

2. There are measures in place to prevent accidents/incidents in the future.

HAZARDOUS MATERIAL PROGRAMS

Interview POLA RCL personnel to determine if since start of revenue service:

1. A list of hazardous materials used or stored in the system has been developed.

2. Hazardous materials are being monitored by periodic inspections and status reports.

3. A file exists which contains a complete and accurate Material Safety Data Sheet (MSDS) for each hazardous chemical used in the workplace.

4. MSDS files are in conformance with SOP OP-001 by reviewing at least 2 MSDS records.

5. There has been a Hazardous Material Incident reported during the past 12 months and verify if handling of the incident was in conformance with the SOP OP-003 by reviewing at least 1 record (if any).

FINDINGS AND RECOMMENDATIONS

Findings:

Recommendations:

None

2007 CPUC SYSTEM SAFETY AUDIT CHECKLIST FOR THE PORT OF LOS ANGELES WATERFRONT RED CAR LINE

Checklist No.

7

Persons Contacted

Date of Audit

2-28-07

Rafael Mejia-Lopez, Manager of Streetcar Operation, Herzog Transit Services

Auditors

Joey Bigornia

Department

Management

REFERENCE CRITERIA

1. CPUC General Order 164-C

2. Port of Los Angeles (POLA) Waterfront Red Car Line (RCL) System Safety Program Plan Sections 15 and 18

3. POLA RCL Operating SOP OP-002 (Configuration Management)

ELEMENT/CHARACTERISTICS AND METHOD OF VERIFICATION

CONFIGURATION MANAGEMENT SYSTEM MODIFICATION/APPROVAL PROCESS

Interview POLA RCL personnel to determine if:

1. There have been any changes made to the system (vehicles, facilities, or property) since revenue service.

2. The changes or improvements were reviewed, approved, and filed following the process outlined in SOP OP-002.

3. Plans, As Built, and Specifications records are permanently maintained at POLA.

FINDINGS AND RECOMMENDATIONS

Findings:

Recommendation:

None.

2007 CPUC SYSTEM SAFETY AUDIT CHECKLIST FOR THE PORT OF LOS ANGELES WATERFRONT RED CAR LINE

Checklist No.

8

Persons Contacted

Date of Audit

March 1, 2007

Rafael Mejia-Lopez, Manager of Streetcar Operation, Herzog Transit Services

Auditors

Anton Garabetian

Department

Safety

REFERENCE CRITERIA

1. CPUC General Order 164-C

2. Port of Los Angeles (POLA) Waterfront Red Car Line (RCL) System Safety Program Plan Sections 19 and 22

ELEMENT/CHARACTERISTICS AND METHOD OF VERIFICATION

EMPLOYEE AND CONTRACTOR SAFETY PROGRAM

Interview the POLA RCL Manager of Streetcar Operations to determine if since start of revenue service:

1. An appropriate procedure and reporting form has been developed and periodically distributed to all employees to report safety hazards in the work place.

2. There were any employee safety hazards reported during the past 12 months.

3. POLA RCL management implemented corrective actions on reported employee safety hazards.

4. The contractors were trained before working on the POLA RCL system by reviewing the Contractor Safety Training records.

FINDINGS AND RECOMMENDATIONS

Findings:

Staff interviewed the POLA RCL Manager of Streetcar Operations and reviewed records:

Recommendations:

None

2007 CPUC SYSTEM SAFETY AUDIT CHECKLIST FOR THE PORT OF LOS ANGELES WATERFRONT RED CAR LINE

Checklist No.

9

Persons Contacted

Date of Audit

3/1/07

Rafael Mejia-Lopez, Manager of Streetcar Operation, Herzog Transit Services

Auditors

S. Feyl

Department

Security

REFERENCE CRITERIA

1. CPUC General Order 164-C

2. Port of Los Angeles (POLA) Waterfront Red Car Line (RCL) System Safety Program Plan Section 24

3. Los Angeles Port Police Waterfront Red Car Line System Security Plan

4. POLA RCL Emergency Responders Training Bulletin

ELEMENT/CHARACTERISTICS AND METHOD OF VERIFICATION

SECURITY

Interview POLA RCL security personnel to determine if for last 3 years:

1. System Security assessment has been conducted to identify potential terrorist targets.

2. There are counter terrorism security measures currently in place.

3. Crime Reports have been generated, reviewed and assessed periodically.

4. The crime reports and the results of security assessment are distributed to POLA RCL management.

FINDINGS AND RECOMMENDATIONS

Staff interviewed security personnel.

Findings

Recommendations

None.

2007 CPUC SYSTEM SAFETY AUDIT CHECKLIST FOR THE PORT OF LOS ANGELES WATERFRONT RED CAR LINE

Checklist No.

10

Persons Contacted

Date of Audit

03/01/07

Rafael Mejia-Lopez, Manager of Streetcar Operation, Herzog Transit Services

Auditors

Anton Garabetian

Department

Safety

REFERENCE CRITERIA

1. CPUC General Order 164-C

2. Port of Los Angeles (POLA) Waterfront Red Car Line (RCL) System Safety Program Plan Section 14

3. POLA RCL Emergency Responders Training Bulletin

ELEMENT/CHARACTERISTICS AND METHOD OF VERIFICATION

EMERGENCY RESPONSE PLANNING, COORDINATION, TRAINING

Interview POLA RCL personnel to determine if since start of revenue service:

1. Emergency Drills involving external agencies have been performed.

2. The drills were evaluated and any recommendations found were incorporated into the Emergency Responders Training Bulletin.

3. Emergency responders have received the required Right of Way Safety training.

4. Plans and schedules for future Emergency Drills (full scale and table top) have been

established.

FINDINGS AND RECOMMENDATIONS

Findings:

Staff interviewed POLA RCL management and reviewed records:

Recommendations:

POLA RCL should conduct refresher Right of Way Safety training annually for emergency responders, or remove this requirement from the SSPP..

2007 CPUC SYSTEM SAFETY AUDIT CHECKLIST FOR THE PORT OF LOS ANGELES WATERFRONT RED CAR LINE

Checklist No.

11

Persons Contacted

Date of Audit

2/22/07

Hirsch, Pacific Railway Signal Engineer

Rick McIntosh, Herzog Transit Services Engineer

Bill Sanford, Belfour Beatty

Jessie Marquiz, Belfour Beatty

Sean Zor, MEC Port

Auditors

Roger Clugston

Susan Feyl

Department

Track Inspection

REFERENCE CRITERIA

1. CPUC General Order 118

2. CPUC General Order 26-D

3. CFR Title 49

4. FRA, Part 213, Track Safety Standards

ELEMENT/CHARACTERISTICS AND METHOD OF VERIFICATION

Inspect the POLA RCL track by utilizing the services of a CPUC FRA certified track inspector.

FINDINGS AND RECOMMENDATIONS

Staff inspected the entire POLA line.

Findings:

1. The track is in FRA compliance. Staff did not find any FRA safety standards defects.

2. Staff identified tripping hazards including hoses in the toe path area along the main track, a ballast pole in the toe path, and a broken utility box cover and partially removed blacktop from a crossing.

3. Staff identified side clearance hazards including switch No. 22 handle, which when extended is less than 3 inches from a fence post and a split point derail switch stand handle which is less than 3 inches from a chain link fence. These side clearances violate General Order 26D which requires a 3 foot clearance between a switch handle and an obstacle.

Recommendations:

1. POLA RCL should correct tripping and side clearance hazards.

2007 CPUC SYSTEM SAFETY AUDIT CHECKLIST FOR THE PORT OF LOS ANGELES WATERFRONT RED CAR LINE

Checklist No.

12

Persons Contacted

Date of Audit

2/22/07

Hirsch, Pacific Railway Signal Engineer

Rick McIntosh, Herzog Transit Services Engineer

Bill Sanford, Belfour Beatty

Jessie Marquiz, Belfour Beatty

Sean Zor, MEC Port

Auditors

Steve Aintabli

Susan Feyl

Department

OCS Inspection

REFERENCE CRITERIA

1. CPUC General Order 95

2. CPUC General Order 128

ELEMENT/CHARACTERISTICS AND METHOD OF VERIFICATION

Inspect the entire POLA Overhead Catenary System (OCS) for General Orders 95 and 128 violations including loose guy wires.

FINDINGS AND RECOMMENDATIONS

Staff inspected the entire POLA OCS.

Findings:

Seven poles had loose guy wires including H1791, H1751, H1741, H1663, H1350, H1330, and H13210.

Recommendations:

POLA RCL should tighten seven guy wires of the OCS system

2007 CPUC SYSTEM SAFETY AUDIT CHECKLIST FOR THE PORT OF LOS ANGELES WATERFRONT RED CAR LINE

Checklist No.

13

Persons Contacted

Date of Audit

2/22/07

Hirsch, Pacific Railway Signal Engineer

Rick McIntosh, Herzog Transit Services Engineer

Bill Sanford, Belfour Beatty

Jessie Marquiz, Belfour Beatty, Signal Inspector

Sean Zor, MEC Port

Auditors

Gerald Muffley

Susan Feyl

Department

Signal Inspection

REFERENCE CRITERIA

1. CPUC General Order 118

2. CPUC General Order 26-D

3. CFR Title 49

4. FRA, Part 234, Signal Safety Standards

ELEMENT/CHARACTERISTICS AND METHOD OF VERIFICATION

Utilizing the services of a CPUC FRA certified signal inspector, perform a detailed visual inspection and operational check of the entire line, including 6th Street, 5th Street, and 1st Street and switches S24and S23.

FINDINGS AND RECOMMENDATIONS

Staff inspected the entire POLA RCL line.

Findings:

1. Staff found no defects at 6th Street.

2. Staff found no defects at 5th Street.

3. Staff found no defects at 1st Street. One light on the South-West gate was out of alignment.

4. Staff tested Switch S24 and S23 and the switch point indicators were working.

Recommendations:

POLA RCL should correct the alignment problem on the South-West gate of 1st Street

1 Audit activities covering three checklists were conducted before the pre-audit conference.

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