Attachment A - COP PTASP Draft 2022.pdf

City of Phoenix — Formal (2022-12-14)

View PDF Meeting page

Extracted text (via pymupdf) 121403 characters
ATTACHMENT A 
PUBLIC 
TRANSPORTATION 
AGENCY SAFETY PLAN 
City of Phoenix Public 
Transit Department 
December 2022

System: 
City of Phoenix Public Transit Department 
Document No: 
PTASP 
Revision # 
1 
Issue Date: 
11/2/2022 
 
City of Phoenix - Public Transportation Agency Safety Plan, 2022 
i 
 
The City of Phoenix Public Transit Department (PTD) has prepared the Public Transportation Agency 
Safety Plan (PTASP, or Plan) to comply with the Federal Transportation Administration’s (FTA) PTASP 
final rule 49 Code of Federal Regulations (CFR) Part 673, published on July 19, 2018. The rule requires 
public transportation system operators receiving federal Section 5307 funds to develop safety plans with 
processes and procedures that implement safety management systems (SMS) principles and methods. 
The SMS includes the PTASP’s Safety Management Policy Statement, Safety Risk Management, Safety 
Assurance and Safety Promotion policies and procedures that encompass a top-down and data-driven 
approach to safety risk management and ensuring the effectiveness of safety risk mitigation. This Plan 
serves as the overarching PTD PTASP and is supported by the three separate contract operator Safety 
Plans, available as separate documents affixed to this Plan.  
 
Phoenix Transit Operations 
PTD operates fixed local bus service, neighborhood bus circulators, commuter bus service, and 
paratransit services in an area of approximately 518 square miles, with a population of nearly 1.8 million. 
Transit services are operated in partnership with three contractors (Contractors): First Transit Inc., 
Transdev Services Inc., and MV Transportation Inc. Day-to-day bus operations and maintenance 
originate with each contractor, and PTD works with each contractor individually to ensure an effective 
safety program for the entire Phoenix-operated transit system.  
 
 
 
 
 
Developed a system-specific 
safety plan for motor bus system. 
Developed a system-specific 
safety plan for motor bus 
system. 
Developed a system-specific 
safety plan for demand 
response system. 
 
City of Phoenix 
Public Transportation Agency Safety Plan 
Executive Summary

System: 
City of Phoenix Public Transit Department 
Document No: 
PTASP 
Revision # 
1 
Issue Date: 
11/2/2022 
 
City of Phoenix - Public Transportation Agency Safety Plan, 2022 
ii 
Safety Plan Regulatory Background 
On July 19, 2019, the FTA PTASP Final Rule (49 CFR Part 673.11(a)(3)) became effective. FTA 
established the PTASP compliance date to be July 20, 2020 and extended it to December 31, 2020. PTD 
finalized and approved the initial PTASP in  
PTASP Elements 
 
Safety Management 
Policy 
A documented commitment 
to safety that defines safety 
objectives, as well as the 
accountabilities and 
responsibilities of employees 
in regard to safety. 
Safety Assurance 
A federally mandated process 
for safety performance 
monitoring and 
measurement. As a large 
transit provider, it is required 
to develop processes that 
address management of 
change and promote 
continuous improvement. 
 
Safety Risk Management 
An established and documented 
process for identifying, analyzing, 
assessing, and mitigating safety 
risks and hazards. 
Safety Promotion 
A process for safety training and 
communication. 
Key Performance 
Indicators 
Established safety performance 
targets, including the process 
and timeline for conducting an 
annual review and update. 
 
Regional Relationships 
PTD is responsible for overseeing the city's transit program and, at the same time, serves as the 
designated recipient for federal funding under FTA's Section 5307, 5309, 5310, 5316, 5317, 5337, and 
5339 programs in the Phoenix-Mesa Urbanized Area. This includes the cities of Phoenix, Tempe, Mesa, 
Scottsdale, Glendale, Avondale, Fountain Hills, Peoria, Paradise Valley, Goodyear, Litchfield Park, 
Surprise, Tolleson, Youngtown and areas of Maricopa County.  
In addition to managing FTA grant subrecipients, PTD is responsible for ensuring compliance with federal 
rules and guidelines for itself and the region’s subrecipients. Each subrecipient enters into a Grant Pass-
Through Agreement with PTD for the receipt of FTA funds. 
PTD provides FTA funding for two transit agencies as subrecipients: the Regional Public Transportation 
Authority (RPTA) and Valley Metro Rail, Inc. (VMR). RPTA is a public agency, duly organized under the 
laws of the State of Arizona to operate regional bus service and is overseen by a board of its members’ 
elected officials. Membership is open to all municipalities in Maricopa County and to the county 
government. VMR is a non-profit, public corporation that is responsible for the design, construction and 
operation of the 26-mile light rail system and future extensions. In addition, Scottsdale, Peoria, and 
Glendale provide local transit service within their jurisdictions, all as small transit agencies as defined in 
the PTASP final rule. 
The Arizona Department of Transportation (ADOT) serves as the State Safety Oversight Agency for PTD 
and the Maricopa Association of Governments (MAG) serves the metropolitan Phoenix area as the 
regional Metropolitan Planning Organization for the agencies within Maricopa County.

System: 
City of Phoenix Public Transit Department 
Document No: 
PTASP 
Revision # 
1 
Issue Date: 
11/2/2022 
 
City of Phoenix - Public Transportation Agency Safety Plan, 2022 
iii 
Plan Development 
PTD requires transit system Contractors to develop and implement safety plans unique to each 
contractor’s system and scope of operation. In addition, PTD coordinated with MAG to develop regional 
transit system performance targets, by contractor and mode, in the PTASP, included in section 6. 
Following the completion of the annual draft, the PTD Safety Committee reviewed the draft for 
concurrence, per 49 United States Code (USC) 5329(d)(1)(A). 
 
Certification and Implementation 
Prior to finalizing the PTASP was assessed by the PTD Safety Committee, which comprises an equal 
number of frontline and management staff at PTD. The Phoenix City Council adopted and certified the 
PTASP along with final signature by the Accountable Executive. The PTASP was shared with ADOT and 
MAG and implemented by PTD and Contractors. 
Roles Defined in the PTASP  
  
Accountable Executive 
An individual who has signing authority for the Plan. Examples 
of an accountable executive may include a city manager or 
department director.  
  
Board of Directors  
A board that must approve the Plan. In Phoenix, the City Council 
is the equivalent authority to the board of directors.  
  
Chief Safety Officer  
An individual who is responsible for safety within the transit 
agency and usually reports directly to the agency’s chief 
executive officer or the equivalent position.  
Safety Committee 
The Safety Committee is a group responsible for reviewing 
safety concerns and hazards and review of the Plan ahead of 
signature by the Accountable Executive and the approval by the 
Board of Directors.  
 
The PTASP followed the timeline as detailed below in Figure 1, starting with the FTA final rule and 
initial PTASP draft completed by PTD.

System: 
City of Phoenix Public Transit Department 
Document No: 
PTASP 
Revision # 
1 
Issue Date: 
11/2/2022 
 
City of Phoenix - Public Transportation Agency Safety Plan, 2022 
iv 
 
 
 
FTA Final Rule: July 
19, 2019
Initial draft of PTASP
Accountable 
Executive Signature 
& Board Approval
(by December 1)
Develop safety 
performance 
targets with MAG
Begin annual 
update
Safety Committee 
review
Figure 1 PTASP Draft Process

System: 
City of Phoenix Public Transit Department 
Document No: 
PTASP 
Revision # 
1 
Issue Date: 
11/2/2022 
 
City of Phoenix - Public Transportation Agency Safety Plan, 2022 
v 
Table 1: PTASP Revision Log 
Version Number 
Section/Pages 
Affected 
Reason for Change 
Date Issued 
Initial Revision 
All 
 
December 2020 
Revision 1 
All 
Annual Review 
Bipartisan 
Infrastructure Law 
changes in 49 USC 
5329 
December 2022

System: 
City of Phoenix Public Transit Department 
Document No: 
PTASP 
Revision # 
1 
Issue Date: 
11/2/2022 
 
City of Phoenix - Public Transportation Agency Safety Plan, 2022 
vi 
Table of Contents 
1. 
Plan Adoption and Certification ..................................................................................................... 1-1 
1.1 
Plan Adoption ......................................................................................................................... 1-1 
1.1 
Certification of Compliance ..................................................................................................... 1-1 
2. 
Introduction ...................................................................................................................................... 2-1 
3. 
Safety Plan Regulatory Background .............................................................................................. 3-1 
3.1 
Plan Development .................................................................................................................. 3-1 
3.2 
Certification and Implementation ............................................... Error! Bookmark not defined. 
4. 
Transit Agency Information ............................................................................................................ 4-1 
4.1 
General Information ................................................................................................................ 4-1 
4.2 
Agency Description ................................................................................................................. 4-2 
5. 
Safety Plan Development and Maintenance .................................................................................. 5-1 
5.1 
PTASP Development .............................................................................................................. 5-1 
5.2 
Annual Internal Review and Update Process ......................................................................... 5-1 
5.2.1 
PTD ............................................................................................................................ 5-1 
5.2.2 
Contractors ................................................................................................................ 5-1 
5.3 
PTASP Audit Process ............................................................................................................. 5-1 
5.4 
PTASP Documentation and Recordkeeping .......................................................................... 5-2 
5.4.1 
PTD ............................................................................................................................ 5-2 
5.4.2 
Contractors ................................................................................................................ 5-2 
6. 
Safety Performance Targets ........................................................................................................... 6-1 
7. 
Safety Management Systems.......................................................................................................... 7-1 
7.1 
Safety Management Policy ..................................................................................................... 7-1 
7.1.1 
PTD ............................................................................................................................ 7-1 
7.2 
State and Metropolitan Planning Organization Coordination ................................................. 7-2 
7.3 
Safety Goals ........................................................................................................................... 7-3 
7.4 
Safety Management Policy Communication .............................. Error! Bookmark not defined. 
7.4.1 
PTD ............................................................................... Error! Bookmark not defined. 
7.4.2 
Contractors ................................................................... Error! Bookmark not defined. 
7.5 
Authorities, Roles and Responsibilities .................................................................................. 7-3 
7.5.1 
PTD ............................................................................................................................ 7-3 
7.5.2 
Contractors ................................................................................................................ 7-8 
7.6 
Employee Safety Reporting Program ..................................................................................... 7-8 
7.6.1 
PTD ............................................................................................................................ 7-8 
7.6.2 
Contractors ................................................................................................................ 7-9 
7.7 
Administrative Regulation Reporting Policy ........................................................................... 7-9 
7.7.1 
PTD ............................................................................................................................ 7-9 
7.7.2 
Contractors .............................................................................................................. 7-10 
7.8 
Safety Risk Management ..................................................................................................... 7-10

System: 
City of Phoenix Public Transit Department 
Document No: 
PTASP 
Revision # 
1 
Issue Date: 
11/2/2022 
 
City of Phoenix - Public Transportation Agency Safety Plan, 2022 
vii 
7.8.1 
Safety Hazard Identification..................................................................................... 7-10 
7.8.2 
Safety Risk Assessment .......................................................................................... 7-14 
7.8.3 
Safety Risk Mitigation .............................................................................................. 7-16 
7.9 
Safety Assurance ................................................................................................................. 7-19 
7.9.1 
Safety Performance Monitoring and Measurement ................................................. 7-19 
7.9.2 
Management of Change .......................................................................................... 7-22 
7.9.3 
Continuous Improvement ........................................................................................ 7-22 
7.10 
Safety Promotion .................................................................................................................. 7-23 
7.10.1 Safety Communication ............................................................................................ 7-23 
7.10.2 Safety Training ........................................................................................................ 7-24 
 
List of Appendices 
Appendix A. City Council Minutes or Resolution 
Appendix B. First Transit Abbreviated Safety Plan 
Appendix C. Transdev Abbreviated Safety Plan 
Appendix D. MV Transportation Abbreviated Safety Plan 
Appendix E. PTASP Activity Log 
Appendix F. PTASP Performance Target Log 
1. 
PTASP Performance Target Log 
2. 
PTASP Baseline Performance Log 
Appendix G.  PTASP Supporting Documents 
1. 
NTD Monthly Reports 
2. 
PTD’s Critical & Emergency Incident Communication Map 
3. 
Employee Critical Incident Training 
4. 
City of Phoenix Administrative Regulations 
5. 
Public Transit Department Facility Inspection Report

System: 
City of Phoenix Public Transit Department 
Document No: 
PTASP 
Revision # 
1 
Issue Date: 
11/2/2022 
 
City of Phoenix - Public Transportation Agency Safety Plan, 2022 
viii 
List of Tables 
Table 1. Bus Service Safety Performance Baseline and Targets .............................................................. 6-1 
Table 2. Paratransit Service Safety Performance Baseline and Targets ..... Error! Bookmark not defined. 
Table 3. Safety Roles and Responsibilities ................................................................................................ 7-5 
Table 4. Safety Hazard Type Identification (Step 2) ................................................................................ 7-12 
Table 5. Safety Hazard Risk Probability (Step 3) .................................................................................... 7-13 
Table 6. Safety Hazard Risk Severity Categories (Step 4) ...................................................................... 7-13 
Table 7. Safety Hazard Risk Assessment Matrix (Step 5) ....................................................................... 7-14 
Table 8. Safety Hazard Risk Index Matrix (Step 6) .................................................................................. 7-15 
Table 9. Hazard Identification and Risk Assessment Log (Step 7).......................................................... 7-16 
Table 10. Hazard Mitigation Actions (Step 8) ............................................... Error! Bookmark not defined. 
 
List of Figures 
Figure 1 PTASP Draft Process .................................................................................................................... iv 
Figure 2. Public Transit Department Regional Chart ................................................................................. 2-2 
Figure 3. City of Phoenix Public Transit Department Safety Organizational Chart ................................... 7-4 
Figure 4. Safety Risk Management Eight Step Process .......................................................................... 7-10 
Figure 5. Hazard Identification and Documentation (Step 1) ................................................................... 7-11 
Figure 6. Safety Risk Management Scenario .......................................................................................... 7-18 
Figure 7. PTD and Contractor Monthly Communication .......................................................................... 7-20

System: 
City of Phoenix Public Transit Department 
Document No: 
PTASP 
Revision # 
1 
Issue Date: 
11/2/2022 
 
City of Phoenix - Public Transportation Agency Safety Plan, 2022 
ix 
Glossary of Terms 
49 CFR Part 673: The final rule for the Public Transportation Agency Safety Plan as authorized by the 
Moving Ahead for Progress in the 21st Century Act (MAP-21). This final rule requires states and certain 
operators of public transportation systems that receive federal financial assistance under 49 U.S.C. 
Chapter 53 to develop Public Transportation Agency Safety Plans. 
Accident: An event that involves a loss of life, a serious injury to a person, a collision of transit vehicles, 
an evacuation for life safety reasons or any derailment of a transit vehicle, at any location, at any time, 
whatever the cause. 
Accountable Executive: Typically, the highest executive in the agency. A single, identifiable person who 
has ultimate responsibility for carrying out the safety management system of a public transportation 
agency, and control or direction over the human and capital resources needed to develop and maintain 
the agency’s Public Transportation Agency Safety Plan, in accordance with 49 U.S.C. 5329(d), and the 
agency’s Transit Asset Management Plan in accordance with 49 U.S.C. 5326. 
Bipartisan Infrastructure Law: Law enacted in 2021 intended to expand investment in national 
infrastructure. Transit safety requirements are further expanded in 49 U.S.C. 5329 to require the transit 
providers to develop a safety committee, expand upon safety risk reduction programs, increases in 
frontline safety training, and align internal programs with local and federal infectious disease prevention 
requirements.  
Chief Safety Officer: An adequately trained individual who has responsibility for safety and reports 
directly to a transit department’s chief executive officer, general manager, president, or equivalent officer. 
A Chief Safety Officer may not serve in other operational or maintenance capacity, unless employed by a 
department that is either a small public transportation provider, or a public transportation provider that 
does not operate a rail fixed guideway public transportation system. 
Critical Incident: An occurrence, natural or human-caused, that requires a response to protect life or 
property. Incidents can, for example, include major disasters, emergencies, terrorist attacks, terrorist 
threats, civil unrest, wildland and urban fires, floods, hazardous materials spills, nuclear accidents, aircraft 
accidents, earthquakes, hurricanes, tornadoes, tropical storms, tsunamis, war-related disasters, public 
health and medical emergencies, and other occurrences requiring an emergency response. 
Departmental Leadership and Executive Management: Members of an agency who have authorities or 
responsibilities for day-to-day implementation and operation of an agency’s safety management system. 
Designated Recipient: An entity that has been designated by the state governor or his/her designee to 
receive and/or sub-allocate FTA funding.  
Equivalent Authority: 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, with sufficient authority to review and 
approve a recipient or subrecipient’s Public Transportation Agency Safety Plan. 
Event: An accident, incident, or occurrence. 
Grant Pass-Through Agreement: A non-federal entity that provides a subaward to a subrecipient to 
carry out part of a federal program.

System: 
City of Phoenix Public Transit Department 
Document No: 
PTASP 
Revision # 
1 
Issue Date: 
11/2/2022 
 
City of Phoenix - Public Transportation Agency Safety Plan, 2022 
x 
Hazard: 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 harm to the 
environment. 
Incident: An event that involves personal injury that is not a serious injury; one or more injuries requiring 
medical transport; or damage to facilities, equipment, rolling stock or infrastructure that disrupts the 
operations of a transit agency. 
Investigation: Process of determining the causal and contributing factors of an accident, incident or 
hazard for the purpose of preventing recurrence and mitigating risk. 
Key Staff: A group of staff and their direct reporting personnel that support the Accountable Executive, 
Chief Safety Officer or Safety Management System Executive in developing, implementing, and operating 
the department’s safety management system. 
Major Mechanical Failure: Failure caused by vehicle malfunction or subpar vehicle condition that 
requires that the vehicle be pulled out of service. 
National Public Transportation Safety Plan: A plan to improve the safety of all public transportation 
systems that receive federal financial assistance under 49 U.S.C. Chapter 53. 
Occurrence: An event without any personal injury in which damage to facilities, equipment, rolling stock 
or infrastructure does not disrupt the operations of a transit agency/department. 
Operator: Provider of public transportation as defined under 49 U.S.C. 5302(14). 
Passenger: A person, other than an operator, who is boarding onto, riding on, or alighting from a vehicle 
on a public transportation system for the purpose of travel. 
Performance Measure: 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. 
Performance Target: A quantifiable level of performance or condition, expressed as a value for the 
measure, to be achieved within a time period required by FTA. 
Potential Hazard: Any possible future condition that may cause injury, illness, or death; damage to or 
loss of the facilities, equipment, rolling stock or infrastructure of a public transportation system; or harm to 
the environment. 
Preventive Maintenance: Regular, scheduled and/or recurring maintenance of assets (equipment and 
facilities) as required by the manufacturer’s or vendor’s requirements, typically for the purpose of 
maintaining assets in satisfactory operating condition. Preventive maintenance is conducted by providing 
systematic inspection, detection, and correction of anticipated failures either before they occur or before 
they develop into major defects. Preventive maintenance is maintenance, including tests, measurements, 
adjustments, and parts replacement, performed specifically to prevent faults from occurring. The primary 
goal of preventive maintenance is to avoid or mitigate the consequences of equipment failure. 
Public Transportation Agency Safety Plan: The documented comprehensive agency safety plan for a 
transit agency that is required by 49 U.S.C. 5329 and 49 CFR Part 673.  
Rail Fixed Guideway Public Transportation System: Any fixed guideway system that uses rail, 
operates for public transportation, and serves within the jurisdiction of a state (and is not subject to the

System: 
City of Phoenix Public Transit Department 
Document No: 
PTASP 
Revision # 
1 
Issue Date: 
11/2/2022 
 
City of Phoenix - Public Transportation Agency Safety Plan, 2022 
xi 
jurisdiction of the Federal Railroad Administration), or any such system undergoing engineering or 
construction. Rail fixed guideway public transportation systems include rapid rail; heavy rail; light rail; 
monorail; trolley; and inclined plane, funicular, and automated guideway. 
Reportable Event: A safety or security event occurring on transit right-of-way or infrastructure, at a transit 
revenue facility, at a maintenance facility or rail yard, during a transit related maintenance activity or 
involving a transit revenue vehicle. The following types of events are excluded from reporting 
requirements: events that occur off transit property where affected persons, vehicles, or objects come to 
rest on transit property after the event; OSHA events in administrative buildings; deaths that are a result 
of illness or other natural causes; other events occurring at bus stops or shelters that are not on transit-
controlled property; collisions that occur while travelling to or from a transit-related maintenance activity; 
and collisions involving a supervisor car or other transit service vehicle operating on public roads. 
Risk: The composite of predicted severity and likelihood of the potential consequences of hazards. 
Risk Mitigation: A method or methods to eliminate or reduce the effects of hazards. 
Root Cause Analysis: A systematic process for identifying root causes of safety events and an approach 
for responding to them. 
Safety Assurance: The process within a transit agency’s Safety Management System that functions to 
ensure the implementation and effectiveness of safety risk mitigation and the satisfaction of safety 
objectives through the collection, analysis, and assessment of information. 
Safety Management Policy: A transit agency’s documented commitment to safety, which defines the 
transit agency’s safety objectives and the transit agency employees’ accountabilities and responsibilities 
in regard to safety. 
Safety Management System: The formal, top-down, data-driven, organization-wide approach to 
managing safety risk and ensuring the effectiveness of a transit agency’s safety risk mitigation. Safety 
management system includes systematic procedures, practices, and policies for managing risks and 
hazards. 
Safety Objective: A general goal or desired outcome related to safety. 
Safety Performance: An organization’s safety effectiveness and efficiency, as defined by safety 
performance indicators and targets, measured against the organization's safety objectives. 
Safety Performance Indicator: A data-driven, quantifiable parameter used for monitoring and assessing 
safety performance. 
Safety Performance Measure: An expression based on a quantifiable indicator or condition of 
performance that is used to establish targets and to assess progress toward meeting the established 
targets. 
Safety Performance Monitoring: Activities aimed at the quantification of an organization’s safety 
effectiveness and efficiency during service delivery operations, through a combination of safety 
performance indicators and safety performance targets. 
Safety Performance Target: A quantifiable level or condition of performance, expressed as a value for a 
given performance measure, achieved over a specified timeframe related to safety management 
activities.

System: 
City of Phoenix Public Transit Department 
Document No: 
PTASP 
Revision # 
1 
Issue Date: 
11/2/2022 
 
City of Phoenix - Public Transportation Agency Safety Plan, 2022 
xii 
Safety Promotion: A combination of training and communication of safety information to support safety 
management system as applied to the transit agency’s public transportation system. 
Safety Risk: Assessed probability and severity of the potential consequence(s) of a hazard, using as 
reference the worst foreseeable, but credible, outcome. 
Safety Risk Assessment: Formal activity whereby a transit agency determines safety risk management 
priorities by establishing the significance or value of the safety risks. 
Safety Risk Management: A process within a transit agency’s safety plan for identifying hazards, 
assessing the hazards, and mitigating safety risk. 
Safety Risk Mitigation: Activities whereby a public transportation agency controls the probability or 
severity of the potential consequences of hazards. 
Safety Hazard Risk Probability: Likelihood that a consequence might occur, taking as reference the 
worst foreseeable, but credible, condition. 
Safety Hazard Risk Severity: Anticipated effects of a consequence, should hazards materialize, taking 
as reference the worst foreseeable, but credible, condition. 
Serious Injury: Any injury that:  
• 
Requires hospitalization for more than 48 hours, commencing within 7 days from the date the injury 
was received 
• 
Results in a fracture of any bone (except simple fractures of fingers, toes or nose) 
• 
Causes severe hemorrhages, or nerve, muscle, or tendon damage 
• 
Involves any internal organ 
• 
Involves second- or third-degree burns, or any burns affecting more than 5% of the body surface 
State: A state of the United States, the District of Columbia or the Territories of Puerto Rico, the Northern 
Mariana Islands, Guam, American Samoa, and the Virgin Islands. 
State of Good Repair: Condition in which a capital asset can operate at a full level of performance. 
State Safety Oversight Agency: An agency established by a state that meets the requirements and 
performs the functions specified by 49 U.S.C. 5329(e) and the regulations set forth in 49 CFR Part 674. 
Transit Agency: An operator of a public transportation system. 
Transit Asset Management Plan: 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 625. 
Vehicle Revenue Mile: The miles that vehicles are scheduled to or travel while in revenue service. 
Vehicle revenue miles include layover/recovery time and exclude deadhead, operator training, vehicle 
maintenance testing and school bus and charter services.

System: 
City of Phoenix Public Transit Department 
Document No: 
PTASP 
Revision # 
1 
Issue Date: 
11/2/2022 
 
City of Phoenix - Public Transportation Agency Safety Plan, 2022 
xiii 
Acronyms  
ADOT Arizona Department of Transportation 
CFR 
Code of Federal Regulations 
CSO 
Chief Safety Officer 
DASH Downtown Area Shuttle 
FTA 
Federal Transit Administration 
MAG 
Maricopa Association of Governments 
NSP 
National Safety Plan 
NTD 
National Transit Database 
PTASP Public Transportation Agency Safety Plan 
PTD 
Public Transit Department 
RPTA Regional Public Transportation Authority 
SMS 
Safety Management Systems 
TI&I 
Transportation, Infrastructure and Innovation Subcommittee 
U.S.C. United States Code 
VMR 
Valley Metro Rail

System: 
City of Phoenix Public Transit Department 
Document No: 
PTASP 
Revision # 
1 
Issue Date: 
11/2/2022 
 
City of Phoenix - Public Transportation Agency Safety Plan, 2022 
 
 
 
 
         1-1 
1. 
Plan Adoption and Certification 
1.1 
Plan Adoption 
This Public Transportation Agency Safety Plan (PTASP) is approved by the Phoenix City Council and is 
hereby adopted, certified as compliant and signed by the Accountable Executive and the Chief Safety 
Officer: 
 
 
 
 
 
 
 
 
Jesus Sapien 
Accountable Executive 
 
Date 
 
Lars Jacoby 
Chief Safety Officer 
 
Date 
 
1.1 
Certification of Compliance 
The city of Phoenix certified on INSERT DATE POST COUNCIL APPROVAL, that this PTASP is in full 
compliance with 49 Code of Federal Regulations (CFR) Part 673, as required by 49 U.S.C. 5329, and is 
adopted and implemented by the city of Phoenix as evidenced by the Plan adoption signature and 
necessary Phoenix City Council approvals in Appendix A of this Plan.

System: 
City of Phoenix Public Transit Department 
Document No: 
PTASP 
Revision # 
1 
Issue Date: 
11/2/2022 
 
City of Phoenix - Public Transportation Agency Safety Plan, 2022 
 
 
 
 
         2-1 
2. 
Introduction 
The City of Phoenix Public Transit Department (PTD) originally prepared a Public Transportation Agency 
Safety Plan (PTASP) in 2020 to comply with the Federal Transportation Administration’s (FTA) PTASP 
final rule 49 CFR Part 673. The rule requires public transportation system operators receiving federal 
Section 5307 funds to develop safety plans with processes and procedures that implement safety 
management system (SMS) principles and methods. The SMS includes the PTASP’s Safety Management 
Policy Statement (SMP), Safety Risk Management (SRM), Safety Assurance (SA), and Safety Promotion 
(SP) policies and procedures that encompass a top-down and data-driven approach to safety risk 
management and ensuring the effectiveness of safety risk mitigation. 
The 2022 PTASP revision is in response to new requirements that are part of the Building Infrastructure 
Law implemented in early 2022. The new requirements include the creation of a safety committee 
comprised equally of front-line and management employees, a standardized formula for determining 
annual safety performance targets, a new risk reduction program and the identification of ongoing training 
opportunities. 
PTD operates fixed local bus service, neighborhood bus circulators, commuter bus service, and 
paratransit services in partnership with three Contractors: First Transit, Transdev and MV Transportation, 
which are all responsible for the day-to-day operations and maintenance, although PTD works individually 
with each contractor to ensure an effective safety program for the city’s transit system.1   
PTD is also part of an overall regional transit system in partnership with the Regional Public 
Transportation Authority (RPTA) and Valley Metro Rail (VMR). The City of Phoenix is the designated 
recipient of FTA funding for the Phoenix-Mesa Urbanized Area, and distributes funds to subrecipients 
including RPTA, VMR, Tempe, Mesa, Scottsdale, Glendale, Avondale, Fountain Hills, Peoria, Paradise 
Valley, Goodyear, Litchfield Park, Surprise, Tolleson, Youngtown, and unincorporated areas of Maricopa 
County. In addition, Glendale, Peoria, and Scottsdale operate bus transit service in their jurisdictions, and 
PTASP regulations also apply to those transit agencies. This complex regional relationship is illustrated 
on Figure 2. 
 
 
 
 
1 This PTASP represents an overarching safety program for PTD’s relationship with its bus transit service contractors and includes 
safety management as it also relates to PTD employees, particularly those employees in safety-sensitive positions. As such, the 
preponderance of PTD transit budget is contracted service (89% of PTD’s budget is contracted services). No city employees are bus 
operators; the city does not provide maintenance, fueling or direct management of the contracted bus service. Where applicable, 
each section of this Plan includes the safety management processes and procedures of PTD and/or the safety management 
processes and procedures of the contractors. Contractors’ abbreviated safety plans are included in Appendices B through D. Their 
full safety plans are referenced in each abbreviated plan and are available upon request.

System: 
City of Phoenix Public Transit Department 
Document No: 
PTASP 
Revision # 
1 
Issue Date: 
11/2/2022 
 
City of Phoenix - Public Transportation Agency Safety Plan, 2022 
 
 
 
 
         2-2 
 
 
 
 
 
 
 
 
 
 
 
Figure 2. Public Transit Department Regional Chart 
*Note that the Valley Metro Rail and RPTA PTASPs are separate from this Plan. This Plan covers the 
PTD bus operations supported by First Transit, Transdev, and MV. The small transportation providers of 
Scottsdale, Glendale, and Peoria are all separate PTASPs.  
City of Phoenix  
FTA Designated Recipient of Federal 
Funds 
(5307, 5309, 5310, 5337, 5339, CMAQ, STP) 
Phoenix Public Transit Department 
Operates bus & paratransit 
 
 
 
 
 
 
60% of region’s bus ridership 
Governance 
•
TIP Subcommittee 
•
Phoenix City Council 
Valley Metro Rail* 
Operates 26 miles of light rail 
Governance 
•
RTAG 
•
RMC 
•
VMR Board 
•
Phoenix* 
•
Tempe* 
•
Mesa* 
•
Chandler 
 
* Current light rail service 
RPTA* 
 
Regional Public Transportation 
Authority 
Operates Bus & Paratransit 
 
Governance 
•
RTAG 
•
TMC 
•
RPTA Board 
*19 board members 
 
40% of region’s bus ridership 
57 current 
5310 
Subrecipients 
•
Avondale 
•
Buckeye 
•
Chandler 
•
El Mirage 
•
Gilbert 
•
Goodyear 
•
Maricopa 
County 
•
Mesa 
•
Queen 
Creek 
5307 
City of Phoenix 
•
TIP – Transportation, Infrastructure 
and Planning Subcommittee 
Valley Metro 
•
VMR – Valley Metro Rail 
•
RMC – Rail Management Committee 
•
RTAG – Regional Transit Advisory Group 
•
TMC – Transit Management Committee 
Federal 
•
CMAQ – Congestion Mitigation and Air Quality 
•
FTA – Federal Transit Administration 
•
STP – Surface Transportation Program 
Acronyms & Abbreviations 
Subrecipients 
•
Surprise 
•
Tempe 
•
Tolleson 
Operates Service 
•
Glendale 
•
Scottsdale 
•
Phoenix 
•
Peoria

System: 
City of Phoenix Public Transit Department 
Document No: 
PTASP 
Revision # 
1 
Issue Date: 
11/2/2022 
 
City of Phoenix - Public Transportation Agency Safety Plan, 2022 
 
 
 
 
         3-1 
3. 
Safety Plan Regulatory Background  
The FTA PTASP Final Rule (49 CFR Part 673.11(a)(3)) became effective July 19, 2019. The rule requires 
public transportation system operators receiving federal Section 5307 funds to develop safety plans with 
processes and procedures for implementing the SMS. The PTASP contains the following four SMS 
elements: 
• 
Safety Management Policy: A documented commitment to safety that defines PTD’s objectives, as 
well as the accountabilities and responsibilities of its employees in regard to safety. 
• 
Safety Risk Management: An established and documented process for identifying, analyzing, 
assessing, and mitigating safety risks and hazards. 
• 
Safety Assurance: A federally mandated process for safety performance monitoring and 
measurement. PTD is a large transit provider and therefore required to develop management of 
change and continuous improvement processes. 
• 
Safety Promotion: A process for safety training and communication. 
The PTASP also contains established safety performance targets for contracted service operators, 
including the process and timeline for conducting an annual PTASP review and update. Since the initial 
release of the PTASP, the Bipartisan Infrastructure Law (BIL), introduced further safety requirements, 
described in 49 U.S.C. 5329, elaborated upon within this document.  
3.1 
Initial Certification and Implementation 
In accordance with 49 CFR Part 673.13, PTD’s Accountable Executive and the Phoenix City Council 
certified initial compliance with the PTASP requirements in 2020, which was then shared with the Arizona 
Department of Transportation (ADOT) and implemented by PTD staff and Contractors. PTD conducts 
annual certification of the implementation of the PTASP in compliance with 673.13(b) 
3.2 
Plan Development and Annual Review 
PTD requires Contractors to develop, annually update, and implement safety plans unique to each 
Contractor’s system and scope of operation. The PTASP rule is also applicable to the PTD Contractors.  
PTD is required to form a joint safety committee composed of the frontline and management staff, in 
equal parts. Following the annual revision of the PTASP, the Plan was then brought to the PTD Safety 
Committee for review and input prior to approval by the Phoenix City Council and signature by the 
Accountable Executive (defined below).  
PTD coordinated with the Maricopa Association of Governments (MAG) as the MPO to collaborate on 
regional transit system performance targets in the PTASP.

System: 
City of Phoenix Public Transit Department 
Document No: 
PTASP 
Revision # 
1 
Issue Date: 
11/2/2022 
 
City of Phoenix - Public Transportation Agency Safety Plan, 2022 
 
 
 
 
         4-1 
4. 
Transit Agency Information  
4.1 
General Information 
General Agency Information 
City of Phoenix 
Public Transit Department 
302 North 1st Avenue, Suite 900 
Phoenix, Arizona 85003 
Number of Employees: 115  
Contractor Information (as of this writing) 
Transdev  
Number of Employees: 952 
Buses (40 and 60 foot): 330 
Circulator Cutaways: 10 
PTD Fiscal Year Revenue Miles:  
2018 - 14,924,290 
2019 - 15,191,569 
2020 - 13,878,353 
 
First Transit  
Number of Employees: 510 
Buses (40 and 60 feet): 159 
Circulator Cutaways: 6 
PTD Fiscal Year Revenue Miles:  
2018 - 6,453,377 
2019 - 6,274,901 
2020 - 6,810,813 
 
MV Transportation 
Number of Employees: 249 
Dial-A-Ride Cutaways: 123  
PTD Fiscal Year Revenue Miles: 
2018 - 322,914 
2019 - 331,731 
2020 - 288,763 
 
Note: PTD’s fiscal year is July 1 through June 30, each year. 
Accountable Executive 
Jesús Sapien  
Public Transit Director 
Chief Safety Officer 
Lars Jacoby 
Management Assistant II, Director’s Office 
Mode Applicability 
Operated: Bus and Paratransit 
Plan Applicability: Bus and Paratransit 
Types of Funding 
Section 5307

System: 
City of Phoenix Public Transit Department 
Document No: 
PTASP 
Revision # 
1 
Issue Date: 
11/2/2022 
 
City of Phoenix - Public Transportation Agency Safety Plan, 2022 
 
 
 
 
         4-2 
4.2 
PTD Agency Description 
The city of Phoenix purchased the Phoenix Transit System from a private company in 1971, and since 
then is responsible for overseeing the city's transit programs and serves as the designated recipient for 
federal funding under FTA's Section 5307, 5309, 5310, 5316, 5317, 5337 and 5339 programs in the 
Phoenix-Mesa Urbanized Area. PTD's service area is 518 square miles, consisting of a population of 
approximately 1.7 million people. PTD contracts the operation of the city’s transit network of: 
- 
38 local fixed routes (First Transit [11 routes] and Transdev [27 routes]) 
- 
Four circulator routes (First Transit [1 route] and Transdev [3 routes]) 
- 
Six RAPID (commuter bus) routes (Transdev) 
- 
Phoenix Dial-A-Ride paratransit service (MV Transportation).  
 
In addition to managing FTA grants subrecipients, PTD is responsible for ensuring compliance with 
federal rules and guidelines for itself and the region’s subrecipients. Each subrecipient signs a Grant 
Pass Through Agreement with PTD for the receipt of FTA funds to support its operations. Per 49 U.S.C. 
5329(d)(4)(B), PTD and its subrecipients are required to utilize .75% of 5307 for risk reduction programs.   
CITY OF PHOENIX CONTRACTORS 
First Transit operates 11 local and one circulator routes from the city’s West Transit Facility. For 
additional information, see the First Transit Abbreviated Safety Plan (Appendix B). 
Transdev operates 27 local, six RAPID, and three circulator routes. Transdev operates from the city’s 
North and South Transit Facilities. For additional information on Transdev, see the Transdev Abbreviated 
Safety Plan (Appendix C). 
MV Transportation operates the Phoenix Dial-A-Ride paratransit service for persons with disabilities 
certified under the Americans with Disabilities Act of 1990 guidelines. The company operates from an 
operator-leased facility.  
To supplement Dial-A-Ride, PTD’s Alternative Transportation Programs are also provided by MV 
Transportation for transportation assistance via taxi vouchers and to operate a shuttle service for seniors 
and persons with disabilities or are receiving dialysis treatment. For additional information on MV 
Transportation, see the MV Transportation Abbreviated Safety Plan (Appendix D). 
OTHER AGENCIES of PTD 
PTD provides FTA funding for two transit agencies and three small transit agencies as subrecipients: 
RPTA, VMR, city of Scottsdale, city of Glendale, and city of Peoria respectively (see Figure 2). Each 
transit agency maintains a standalone PTASP for their respective programs. 
RPTA is overseen by a board of elected officials from member agencies, including Avondale, Buckeye, 
Chandler, El Mirage, Gilbert, Glendale, Goodyear, Maricopa County, Mesa, Peoria, Phoenix, Scottsdale, 
Surprise, Tempe, Tolleson and Wickenburg. RPTA is responsible for transit marketing and financial 
management of the transit component of the Maricopa County regional transportation program. RPTA 
also contracts for the operation of the local and commuter bus and paratransit services it operates outside 
of Phoenix.  
VMR is a non-profit, public corporation that is responsible for the design, construction and operation of 
the 26-mile light rail system and future extensions. The board includes representatives from the member

System: 
City of Phoenix Public Transit Department 
Document No: 
PTASP 
Revision # 
1 
Issue Date: 
11/2/2022 
 
City of Phoenix - Public Transportation Agency Safety Plan, 2022 
 
 
 
 
         4-3 
cities of Chandler, Mesa, Phoenix and Tempe. The light rail system currently serves Phoenix, Tempe, and 
Mesa.  
ADOT is the state’s agency responsible for planning, building and operating the highway system, as well 
as building and maintaining bridges and the operation of the Grand Canyon Airport. ADOT serves as the 
State Safety Oversight Agency for VMR within PTD. 
MAG serves the metropolitan Phoenix area as the regional Metropolitan Planning Organization (MPO) for 
Maricopa County and its 27 member cities and agencies. As the MPO, it is responsible for coordinating 
with each public transportation provider in the development and review of their safety performance targets 
(SPT) for planning purposes.

System: 
City of Phoenix Public Transit Department 
Document No: 
PTASP 
Revision # 
1 
Issue Date: 
11/2/2022 
 
City of Phoenix - Public Transportation Agency Safety Plan, 2022 
 
 
 
 
         5-1 
5. 
Safety Plan Development and Maintenance 
5.1 
PTASP Development  
The PTASP was written and reviewed by PTD subject matter experts and a third-party consultant to 
ensure it meets current safety industry standards and follows 49 CFR Part 673 and 49 U.S.C. 5329.  
Through its written agreements with multiple service providers, PTD requires Contractors to develop and 
implement safety plans unique to their respective scope of operations, while providing oversight and input 
to ensure compliance. Throughout each process, each Contractor develops and implements safety plans 
that address safety needs. 
The PTASP goes through a formal approval process: 
1. Internal transit agency safety committee review and concurrence. 
2. Transportation, Infrastructure and Planning (TIP) Subcommittee – a four-member subcommittee 
of the Phoenix City Council that provides policy guidance on a range of issues, including transit. 
3. Phoenix City Council – Comprised of nine members (the Mayor and eight Council members), who 
provide approval and direction on policies and initiatives citywide. 
5.2 
Annual Internal Review and Update Process  
5.2.1 
PTD 
PTD management and staff will review the PTASP on an annual basis prior to December 31 of each year 
and make updates to the plan as necessary. Review of the PTASP along with any subsequent updates, 
addendums, adoption, and distribution activities will be documented in the PTASP Activity Log (Appendix 
E) and tracked through the date and version provided in the header on the individual pages. Approval of 
each updated Plan will be completed by the Accountable Executive, the Chief Safety Officer (CSO) and 
the Phoenix City Council; and self-certification will be completed annually by the Accountable Executive 
and CSO in compliance with 49 CFR Part 673.13. 
5.2.2 
Contractors 
At a minimum, Contractors are required to update their plans annually. Each Contractor has developed 
their own review process and will submit updates to PTD. 
For more details on each contractor’s safety plan review and update process, see:  
• 
First Transit – Appendix B.2 (Plan Development, Approvals, and Updates) 
• 
Transdev – Appendix C.5.1.3 (Agency Safety Plan Review Process) 
• 
MV Transportation – Appendix D.2 (Plan Development, Approvals, and Updates) 
5.3 
PTASP Audit Process 
Following PTD’s annual review and update process, PTD will consult with third-party subject matter 
experts for independent auditing of the PTD PTASP. Reviews of its three service contractors will occur on 
a biennial basis. The auditor will ensure the plan’s compliance with 49 CFR Part 673 and any 
accompanying mandates. 
In addition, the VMR and RPTA PTASPs will be independently audited annually, while the Glendale, 
Scottsdale, and Peoria PTASPs will be audited triennially.

System: 
City of Phoenix Public Transit Department 
Document No: 
PTASP 
Revision # 
1 
Issue Date: 
11/2/2022 
 
City of Phoenix - Public Transportation Agency Safety Plan, 2022 
 
 
 
 
         5-2 
5.4 
PTASP Documentation and Recordkeeping  
5.4.1 
PTD 
PTD will maintain the documents set forth in the PTASP, including those documents related to 
implementation of the SMS (in tandem with operations contractors) and results from SMS processes and 
activities. 
PTD will also maintain documents that are included in whole, or by reference, that describe the programs, 
policies, and procedures that PTD uses to carry out the PTASP and all iterations of those documents. 
These documents will be made available upon request to FTA or other federal entity, or ADOT. PTD will, 
at a minimum, retain these documents as outlined in the federal and local records retention policies and 
schedules or for three years, as required in 49 CFR Part 673.31. Such materials may include: 
• 
Safety Committee meeting agendas and notes; 
• 
Proficiency and rules compliance checks; 
• 
Employment records; 
• 
Safety bulletins; 
• 
Preventive and corrective maintenance records; 
• 
Training records; and 
• 
Event investigations 
Accident and incident investigations 
5.4.2 
Contractors 
Each Contractor maintains individual policies on safety-related documentation and recordkeeping for no 
less than three years. All Contractors are committed to maintaining documents and records related to 
their plans, including the safety plan itself and other associated safety records and documentation. For 
more information about each Contractor’s policy on documentation and recordkeeping, see:  
• 
First Transit – Appendix B.3 (Annual Review and Update of the Public Transportation Safety 
Plan) 
• 
Transdev – Appendix C.2 - Transdev (Safety Plan Documentation and Recordkeeping) 
• 
MV Transportation – Appendix D.3 (Annual Review and Update of the Public Transportation 
Safety Plan)

System: 
City of Phoenix Public Transit Department 
Document No: 
PTASP 
Revision # 
1 
Issue Date: 
11/2/2022 
 
City of Phoenix - Public Transportation Agency Safety Plan, 2022 
 
 
 
 
         6-1 
6. 
Safety Performance Targets 
The PTASP Final Rule requires public transportation providers to develop a PTASP that includes safety 
performance targets based on the seven safety performance measures established under the FTA’s 
National Public Transportation Safety Plan (NSP). The safety performance measures outlined in the NSP, 
which are based on data currently being submitted to the National Transit Database (NTD), are 
developed to ensure applicability to all modes of public transportation and are based on data submitted 
using the NTD and are each listed as categories in Table 1 and Table 2. The SPTs are developed based 
on a three-year rolling average. The NTD is maintained by FTA and serves as a reporting system for 
public transit information tracking, such as agency funding sources, inventories of assets, safety reports 
and measures of transit service. The safety performance measures included in the NSP are fatalities, 
injuries, safety events and system reliability. 
Given that PTD does not directly operate the Phoenix transit system or other operations in the region, the 
safety performance baselines and targets presented in the PTASP are established and directly monitored 
by Contractors across the region.  
Each Contractor baseline was established as the actual safety performance value recorded at the end of 
the federal fiscal year 2019, except for ‘System ‘Reliability, which is a contractual performance target. All 
safety performance metrics use the federal fiscal calendar, which begins October 1 and ends on 
September 30. 
A record of prior safety performance baselines and targets are found in the PTASP Performance Target 
Log (Appendix F).  
Table 1 and Table 2 present the safety performance baselines and targets for bus service and paratransit 
service, respectively.  
Table 1. Bus Service Safety Performance Baseline and Targets 
MB  (per 100,000 VRM) 
Mode - 
MB 
Fatalities 
Rate* of 
Fatalities 
Injuries 
Rate* of 
Injuries 
Safety 
Events 
Rate* of 
Safety 
Events 
Mean Distance 
Between Mechanical 
Failure 
2019 
Actual 
0 
0.00 
39 
0.18 
71 
0.32 
19,810 
2020 
Actual 
0 
0.00 
35 
0.17 
105 
0.51 
15,241 
2021 
Actual 
5 
0.02 
51 
0.25 
157 
0.78 
18,365 
Average 
1.67 
0.01 
42 
0.20 
111 
0.54 
17,805 
2023 
SPT 
(MB) 
1.67 
0.01 
42 
0.20 
111.00 
0.54 
17,805 
 
Table 2. Paratransit Service Safety Performance Baseline and Targets 
DR (per 100,000 VRM)

System: 
City of Phoenix Public Transit Department 
Document No: 
PTASP 
Revision # 
1 
Issue Date: 
11/2/2022 
 
City of Phoenix - Public Transportation Agency Safety Plan, 2022 
 
 
 
 
         6-2 
Mode - 
DR 
Fatalities 
Rate* of 
Fatalities 
Injuries 
Rate* of 
Injuries 
Safety 
Events 
Rate* of 
Safety Events 
System 
Reliability 
2019 
Actual 
0 
0.00 
1 
0.03 
1 
0.03 
18,989 
2020 
Actual 
0 
0.00 
0 
0.00 
2 
0.07 
22,554 
2021 
Actual 
0 
0.00 
1 
0.03 
2 
0.06 
19,036 
Average 
0 
0 
0.67 
0.02 
1.67 
0.06 
20,193 
2023 SPT 
(DR) 
0 
0 
0.67 
0.02 
1.67 
0.06 
20,193 
 
*rate = total number for the year/total revenue vehicle miles traveled 
Tables 1 and 2 definitions:  
• 
Fatality: A death or suicide confirmed within 30 days of a reported event. Does not include deaths in 
or on transit property that are a result of illness or other natural causes. 
• 
Injury: Any damage or harm to persons as a result of an event that requires immediate medical 
attention away from the scene. 
• 
Safety Event: A collision, derailment, fire, hazardous material spill, act of nature (Act of God), 
evacuation or OSONOC (other safety occurrence not otherwise classified) occurring on transit right-
of-way, in a transit revenue facility, in a transit maintenance facility, or involving a transit revenue 
vehicle that meets the established NTD reportable thresholds. 
• 
System Reliability: The rate of vehicle failures in service, defined as mean distance between major 
mechanical failures. 
6.1 
Accident and Assault Reduction Strategies 
These SPTs are set to works towards a reduction of vehicular and pedestrian accidents involving buses. 
In order to reduce such events, PTD and its contractors will utilize the SRM process, spelled out in 
section 7.7. Mitigations that may be taken to reduce events may include measures to reduce visibility 
impairments for bus operators that contribute to accidents, including retrofits to buses in revenue service 
and specifications for future procurements that reduce visibility impairments. Additionally, per 49 U.S.C. 
5329(d)(1)(I)(ii), PTD has and will continue to take measures to mitigate assaults on transit workers, 
including the deployment of assault mitigation infrastructure and technology on buses. Barriers to restrict 
the unwanted entry of individuals and objects into the workstations of bus operators have already been 
installed regionally. To conduct this review, the PTD Safety Committees will conduct risk analyses to 
determine if such physical mitigations are necessary to reduce assaults and injuries to transit workers. 
See further details on the overall risk assessment and mitigation process in sections 7.7 and  7.8.

System: 
City of Phoenix Public Transit Department 
Document No: 
PTASP 
Revision # 
1 
Issue Date: 
11/2/2022 
 
City of Phoenix - Public Transportation Agency Safety Plan, 2022 
7-1 
7. 
Safety Management Systems 
7.1 
Safety Management Policy – 673.23(a) 
7.1.1 
PTD 
The city of Phoenix is committed to safety management as a systematic, comprehensive, and ongoing 
approach to identifying hazards and risks associated with transit system operations, facilities and related 
preventive maintenance activities. The PTD Safety Management Policy (SMP) is the first layer of its 
commitment to the SMS framework.  
PTD adopted an SMS framework as an element of its responsibility by establishing:  
• 
A safety management policy 
• 
Identifying hazards and controlling risks 
• 
Goal setting, planning, and measuring performance.  
 
PTD recognizes that the management of safety is a core value.  PTD is committed to providing safe and 
reliable transportation to the communities it serves. The management team of PTD will embrace the SMS 
and is committed to developing, implementing, maintaining, and constantly improving processes to 
ensure safety. As SMS is a top-down method for instituting safety practices throughout the agency, all 
levels of management and frontline employees are committed to safety and understand that safety is the 
primary responsibility of all employees. As necessary, PTD will plan to develop plans, procedures, 
structures, and resources to support the implementation of SMS within the agency. PTD is committed to 
performing the following activities to implement SMS and this PTASP:  
• 
Communicate the purpose and benefits of the SMS to all staff, managers, supervisors, and 
employees through Safety Promotion activities. This communication will specifically define the 
duties and responsibilities of each employee throughout the organization and all employees will 
receive appropriate information and SMS training.  
• 
Provide appropriate management involvement and the necessary resources to establish an 
effective employee safety reporting system that will encourage employees to communicate and 
report any unsafe work conditions, hazards, or at-risk behavior to the management team.   
• 
Identify hazardous and unsafe work conditions and analyzing data from the employee reporting 
system. After thoroughly analyzing provided data, the transit operations division will develop 
processes and procedures to mitigate safety risk to an acceptable level.   
• 
Ensure that no action will be taken against employees who disclose safety concerns through the 
reporting system, unless disclosure indicates an illegal act, gross negligence, or deliberate or 
willful disregard of regulations or procedures.   
• 
Establish Safety Performance Targets (SPTs) that are realistic, measurable, and data driven.   
• 
Continual improvement of safety performance through management processes that ensure 
appropriate safety management action is taken and is effective.  
• 
Ensure the SMP is signed by highest executive in the agency to convey that SMS is important to 
the highest level of the organization. 
• 
Provide resources for managing safety during service delivery. 
• 
Convey to employees and agency stakeholders that receiving safety information is critical to the 
operation and success of the SMS. 
• 
Ensure that the PTD’s strategies and guidelines to address infectious disease planning and 
response is consistent with the Centers for Disease Control and Prevention and the Arizona and 
local health authorities in order to minimize exposure to infectious diseases in accordance with 49 
USC section 5329 (d)(1)(D). 
 
PTD also follows safety management policies as directed in the city of Phoenix’s safety program outlined 
in Administrative Regulation 2.31 (AR 2.31). See the City of Phoenix Administrative Regulations 
(Appendix G).

System: 
City of Phoenix Public Transit Department 
Document No: 
PTASP 
Revision # 
1 
Issue Date: 
11/2/2022 
 
City of Phoenix - Public Transportation Agency Safety Plan, 2022 
7-2 
 
7.1.1.1 
Communicating the Policy Throughout the Agency 
PTD 
PTD is committed to ensuring the safety of our passengers, personnel, and operations. Part of that 
commitment is developing an SMS and agencywide safety culture that reduces agency risk to the lowest 
level possible. The first step in developing a full SMS and agencywide safety culture is communicating the 
SMP throughout the agency and to the Contractors. The SMP and safety objectives are at the forefront of 
all communications within the Department. This communication strategy will include posting the policy in 
prominent work locations for existing employees and adding the policy statement to the on-boarding 
material for all new employees The signed PTASP serves as the Accountable Executive’s endorsement 
of the SMP and the Council’s adoption of the Plan and SMP. 
Methods used to communicate the safety management policy include the following: 
• 
Safety presentations at PTD staff meetings. 
• 
Annual safety training with key PTD staff. 
• 
PTASP and safety training information uploaded to PTD’s employee-accessible SharePoint site. 
Additionally, PTD oversees the contracted transit providers to ensure that they are providing adequate 
information on not only their respective SMPs, but also PTD’s overarching PTD to ensure it aligns with the 
Department’s SMS values. 
 
7.1.2 
Contractors 
Each Contractor has adopted their own SMPs that are compliant with 49 CFR Part 673 and are 
complementary to PTD’s policy.  
For specific details regarding each contractor’s safety management policy, see:  
• 
First Transit – Appendix B.5 (Safety Management Policy) 
• 
Transdev – Appendix C.4 (Safety Policy Statement) 
• 
MV Transportation – Appendix D.4 (Safety Management Policy) 
Contractors 
PTD Contractors have included a SMP Communication section in their safety plans regarding their 
communications to their staff. The Contractors plan to communicate safety information to their employees 
by creating accessible safety reports, implementing training programs, posting information on general 
bulletin boards, and sending safety emails.  
For more information on each Contractor’s individual policies related to safety communication, see: 
• 
First Transit – Appendix B.5 (Safety Management Policy Communication) 
• 
Transdev – Appendix C.4 (Communication) 
• 
MV Transportation – Appendix D.4 (Safety Management Policy Communication) 
7.2 
State and Metropolitan Planning Organization Coordination 
The city of Phoenix makes its SPTs available to ADOT and the MPO, Maricopa Association of 
Governments (MAG), to aid in those agencies’ respective regional and long-range planning processes. 
To the maximum extent practicable, PTD coordinates with ADOT and MAG in the selection of the SPTs.

System: 
City of Phoenix Public Transit Department 
Document No: 
PTASP 
Revision # 
1 
Issue Date: 
11/2/2022 
 
City of Phoenix - Public Transportation Agency Safety Plan, 2022 
7-3 
Each year during the FTA Certifications and Assurances reporting process, PTD will transmit any updates 
to its SPTs to both the MAG and ADOT (unless those agencies specify another time in writing). 
7.3 
Safety Goals 
To address the ongoing oversight and review required to ensure the proper implementation of this plan, 
the following safety goals are set: 
• 
Establish a safety and training committee with key frontline and management representatives 
from PTD to review policies and procedures related to the PTASP, per 49 U.S.C. 5329(d)(1)(A).  
• 
Encourage and improve safety communication strategies and awareness with both internal and 
external stakeholders. 
• 
Identify roles and responsibilities for the transit system’s safety program and develop a training 
curriculum. 
• 
Strive for continuous improvement in all SMS-related activities across PTD.  
 
7.4 
Authorities, Roles and Responsibilities  
7.4.1 
PTD 
The key to a successful safety plan is fostering a culture focused on safety. With this philosophy in mind, 
all PTD employees are responsible for implementing the safety practices and being safe every day.  
Figure 3 illustrates the organizational structure for PTD’s SMS. Table 3 defines the specific 
responsibilities and accountabilities each role has in achieving safety targets, program oversight, and 
implementation.

System: 
City of Phoenix Public Transit Department 
Document No: 
PTASP 
Revision # 
1 
Issue Date: 
Placeholder 
 
City of Phoenix - Public Transportation Agency Safety Plan, 2022 
 
 
 
 
         7-4 
 
Figure 3. City of Phoenix Public Transit Department Safety Organizational Chart  
Roberto 
Valentin 
Transit 
Superintendent 
Management 
Key Staff 
Contractors 
Lars Jacoby 
Management Assistant II 
Jesús Sapien 
Public Transit Department Director 
Ken Kessler 
Assistant Director  
First Transit 
TransDev 
MV 
Transportation 
Barbara Paez 
Administrative 
Assistant II 
Herb Muñoz 
Transit 
Superintendent 
Facilities 
Carl 
Montgomery 
Transit Asset 
Manager  
Albert Crespo 
Deputy Director – Operations, 
Technology, & Planning 
Joe Bowar 
Deputy Director – Facilities & 
Contracts 
Les Scott 
Deputy Director – Management 
Services

System: 
City of Phoenix Public Transit Department 
Document No: 
PTASP 
Revision # 
1 
Issue Date: 
11/2/2022 
 
7-5 
Table 3. Safety Roles and Responsibilities 
Role 
Name of Staff Member 
Safety Responsibilities 
Public Transit 
Department 
Director 
 
Accountable 
Executive 
 
Management 
Jesús Sapien 
• 
Ensure compliance with FTA’s safety 
policies. 
• 
Oversee the Plan for PTD. 
• 
Control and direct staff and capital 
resources needed to create and maintain 
the PTASP. 
• 
Create a safety-oriented culture across the 
Department. 
• 
Work with the CSO to monitor safety 
performance. 
• 
Ensure that PTD’s Contractors are working 
toward achieving the safety performance 
targets. 
• 
Periodically review customer comments 
related to safety concerns. 
Management 
Assistant II - 
Director’s 
Office 
 
Chief Safety 
Officer  
Lars Jacoby 
Chief Safety Officer 
• 
Promote safety awareness throughout the 
organization. 
• 
Ensure that safety documentation and 
training are current. 
• 
Communicate changes in safety processes 
to all applicable personnel. 
• 
Monitor the effectiveness of corrective 
actions. 
• 
Provide periodic reports on safety 
performance. 
• 
Render independent advice to managers 
and other personnel on safety-related 
matters as needed. 
• 
Ensure that safety is a high priority 
throughout the organization. 
• 
Review customer comments related to 
safety concerns. 
• 
Work with other divisions within PTD to 
implement safety practices. 
• 
Promote a safety culture across the 
Department and to contractors. 
• 
Provide oversight of contractor safety plans 
through periodic reviews and audits. 
• 
Provide oversight of contractor, RPTA, 
VMR, Scottsdale, Glendale, and Peoria 
safety plans through periodic reviews and 
formal internal audits.

System: 
City of Phoenix Public Transit Department 
Document No: 
PTASP 
Revision # 
1 
Issue Date: 
11/2/2022 
 
7-6 
Role 
Name of Staff Member 
Safety Responsibilities 
Deputy 
Director - 
Facilities & 
Contracts 
 
Management 
Joe Bowar 
Deputy Director – Facilities 
• 
Ensure transit facilities are well-maintained 
and meet state of good repair 
requirements. 
• 
Implement hazard mitigation strategies 
related to transit infrastructure. 
• 
Collaborate with other divisions to address 
safety concerns related to facilities and 
operations. 
• 
Review customer comments related to 
safety concerns. 
• 
Communicate safety practices and policies 
to staff in the Division. 
Deputy 
Director -
Operations, 
Technology & 
Planning 
 
Management 
Albert Crespo 
• 
Communicate safety practices and policies 
to staff within the Division. 
• 
Ensure Contractor compliance with their 
safety plan, policies, and training 
requirements and internal PTD safety 
programs. 
• 
Collaborate with other divisions to address 
safety concerns related to operations and 
facilities. 
• 
Review customer comments related to 
safety concerns. 
Assistant 
Director  
 
Management 
Ken Kessler 
• 
Communicate safety practices and policies 
to staff within the Division. 
Deputy 
Director - 
Management 
Services 
 
Management 
Les Scott 
• 
Communicate safety practices and policies 
to staff within the Division.

System: 
City of Phoenix Public Transit Department 
Document No: 
PTASP 
Revision # 
1 
Issue Date: 
11/2/2022 
 
7-7 
Role 
Name of Staff Member 
Safety Responsibilities 
Transit 
Superintendent 
(Operations, 
Technology & 
Planning) 
 
Key Staff 
Roberto Valentin 
• 
Supervise the contract monitoring for bus 
service Contractors: First Transit and 
Transdev.  
• 
Respond to and communicate safety 
concerns with bus service Contractors and 
vice versa back to PTD. 
• 
Ensure bus service Contractors implement 
their safety plan and related policies and 
training as well as uphold PTD’s overall 
SMP. 
• 
Track safety performance for bus 
Contractors. 
• 
Monitor the quality of maintenance and 
repairs performed by Contractors on 
vehicles owned by PTD. 
• 
Oversee the inspection of all transit 
vehicles for safety and direct corrective 
action. 
• 
Review all customer comments related to 
safety concerns. 
Administrative 
Assistant II 
(Operations, 
Technology & 
Planning) 
 
Key Staff 
Barbara Paez 
• 
Serve as the contract monitor for the 
paratransit service Contractor: MV 
Transportation. 
• 
Respond to and communicate safety 
concerns with paratransit service 
Contractor. 
• 
Ensure paratransit service Contractor 
implements their safety plan and related 
policies and training as well as the PTD 
SMP. 
• 
Track safety performance of the paratransit 
service Contractor. 
• 
Review all customer comments related to 
safety concerns. 
Transit 
Superintendent 
(Facilities & 
Contracts) 
 
Key Staff 
Herb Muñoz 
• 
Oversee maintenance at all transit 
facilities. 
• 
Inspect transit facilities for safety issues 
and recommend corrective action. 
• 
Incorporate safety requirements for 
contractors in on-site contracted 
maintenance and repairs. 
• 
Review customer comments related to 
safety concerns at facilities.

System: 
City of Phoenix Public Transit Department 
Document No: 
PTASP 
Revision # 
1 
Issue Date: 
11/2/2022 
 
7-8 
Role 
Name of Staff Member 
Safety Responsibilities 
Transit Asset 
Manager  
(Facilities & 
Contracts) 
 
Key Staff 
Carl Montgomery  
• 
Manage PTD’s Transit Asset Management 
Plan. 
• 
Provide oversight and technical assistance 
to regional partners with their own Transit 
Asset Management Plans. 
• 
Oversee the State of Good Repair 
program. 
Contractors 
First Transit  
• Jesse Saavadra, Location 
General Manager 
• Adrian Green,  
Location Safety Manager 
 
MV Transportation 
• Thomas Egan, 
General Manager 
• Andrew Higuera, 
• Area Safety Manager 
 
Transdev  
• Rob Killebrew, 
General Manager 
• Jackie Hampton, 
Director of Safety and Training 
• 
Update PTASPs for compliance with 
federal regulations. 
• 
Update PTASPs as necessary in response 
to safety issues and provide training to 
facilitate those changes to the safety plan. 
• 
Perform regular safety checks. 
• 
Implement safety policies applicable to 
operating and maintaining transit vehicles 
and maintaining a safe work environment. 
• 
Report and investigate safety hazards and 
safety events.  
• 
Implement and track regular safety training 
for employees. 
• 
Receive employee and customer 
comments related to safety concerns. 
 
See Appendices B through D for specific 
safety practices of each Contractor. 
 
7.4.2 
Contractors 
Each of the Contractors have identified authorities, roles and responsibilities related to safety within their 
individual organizations and are responsible for also upholding the PTD SMP and overall PTASP. As part 
of their safety plans, Contractors identified a respective CSO, an Accountable Executive, as well as 
supporting safety staff. For each role, the Contractors specify the responsibilities that each person has 
related to safety.  
For specific details on each Contractor’s authorities, roles, and responsibilities, see: 
• 
First Transit – Appendix B.5 (Authorities, Accountabilities, and Responsibilities) 
• 
Transdev – Appendix C.4 (Safety Accountability and Responsibility) 
• 
MV Transportation – Appendix D.4 (Authorities, Accountabilities, and Responsibilities) 
7.5 
Employee Safety Reporting Program  
7.5.1 
PTD 
Reporting safety observations and safety events is an important part of every employee’s role in creating 
a safe environment. PTD encourages all employees to report potential hazards and any safety events 
that occur through the safety reporting program. The safety reporting program includes anonymous 
contact methods such as the city of Phoenix employee-wide integrity hotline (602-262-7555, or email 
hrc@phoenix.gov), in addition to the  PTD employee exclusive work order hotline (602-495-7011) that 
provides contact information for safety observations and safety events to be communicated to appropriate

System: 
City of Phoenix Public Transit Department 
Document No: 
PTASP 
Revision # 
1 
Issue Date: 
11/2/2022 
 
7-9 
PTD staff. PTD management also maintains an open-door policy allowing for prompt communication of 
safety concerns. 
PTD utilizes the MPulse work order system to aid in communicating potential safety issues in the transit 
system. The MPulse program is a computerized work order maintenance management system that 
centralizes data, organizes maintenance data and facilitates the processes of maintenance operations. 
Safety issues can be entered into MPulse for mitigation and resolution. Identified PTD staff and 
contractors are notified by either email, the Work Order line or in person. The issue(s) are then entered 
into MPulse as a request for service and tracked through closure. 
MPulse tracks the operation and inventory of assets such as equipment, vehicles, machinery, and facility 
infrastructure. Asset data that are collected via the MPulse program are utilized to determine the transit 
system’s state of good repair condition and potential future asset replacement needs.   
For more information on the PTD safety reporting program, see Administrative Regulation 1.2 (Fraud 
Prevention and Reporting Policy [Integrity Line]) (Appendix G).  
7.5.2 
Contractors 
Each Contractor has developed and documented an Employee Safety and Reporting Program as a part 
of their individual safety plan and maintain an open door policy for safety concerns. Contractors 
additionally utilize their own systems for reporting safety concerns.  
For specific information on each Contractor’s employee safety reporting program, see:  
• 
First Transit – Appendix B.5 (Employee Safety Reporting Program) 
• 
Transdev – Appendix C.4 (Employee Safety Reporting) 
• 
MV Transportation – Appendix D.4 (Employee Safety Reporting Program) 
7.6 
Administrative Regulation Reporting Policy  
7.6.1 
PTD 
PTD is committed to providing a safe transit operating environment. To achieve this, PTD maintains 
unrestricted and confidential reporting of all incidents and occurrences that may compromise the safe 
conduct of operations. Every employee is responsible for the communication of any information that may 
affect the integrity of transit safety to management as outlined in AR 2.31 (Appendix F). 
The department’s management hold the primary responsibility for providing and maintaining a safe 
workplace. Any safety problems that are beyond the supervisor’s control shall be reported to 
management immediately upon detection as outlined in AR 2.31 (Appendix F). 
PTD will not retaliate or take punitive actions in any way against an employee, applicant, or former 
employee who, in good faith, makes a complaint, safety report or report of discrimination/harassment or 
participates in the investigation of such complaint or report. This policy shall not apply to information that 
involves an illegal act, or a deliberate or willful disregard of promulgated regulations or procedures.  
The PTD method of collecting, recording, and disseminating information obtained from transit safety 
reports is intended to protect, to the extent permissible by law, the identity of any employee who provides 
transit safety information and wishes to remain anonymous.  
For further information on PTD’s reporting policies, refer to the City of Phoenix Administrative Regulations 
(Appendix F).

System: 
City of Phoenix Public Transit Department 
Document No: 
PTASP 
Revision # 
1 
Issue Date: 
11/2/2022 
 
7-10 
7.6.2 
Contractors 
Each Contractor has their own administrative regulation reporting policy. All Contractors strive to deliver 
safe transit service and to accomplish this each Contractor has developed its own system to encourage 
employees to report safety incidents and observations and determine the necessary actions that need to 
be taken following an incident.  
For more details on each Contractor’s Administrative Regulation Reporting Policy, see:  
• 
First Transit – Appendix B.5 (Employee Safety Reporting Program) 
• 
Transdev – Appendix C.4 (Employee Safety Reporting) 
• 
MV Transportation – Appendix D.4 (Employee Safety Reporting Program) 
7.7 
Safety Risk Management 
The SRM process is a process that aims to provide a standard method for identifying, assessing, and 
mitigating safety hazards in the bus transit system as defined in the NSP (Figure 4). Descriptions of each 
step are detailed in the following sections. The risk management process allows for careful examination 
of hazards, assessment of existing mitigation sufficiency, and the determination of additional mitigation 
measures. 
 
Figure 4. Safety Risk Management Eight Step Process 
 
7.7.1 
Safety Hazard Identification  
7.7.1.1 
PTD 
An effective hazard identification program is fundamental to safety management.  
PTD’s safety risk management process starts with an effort to proactively identify safety hazards that 
could result in negative safety outcomes.   
Identify and 
document 
hazard
Assign 
Hazard Type
Assign 
Hazard
Probability
Assign 
Hazard 
Severity
Determine 
Hazard Level 
of Risk
Determine 
Hazard Risk 
Index
Catalog 
Hazard 
Information
Take Hazard 
Mitigation 
Action

System: 
City of Phoenix Public Transit Department 
Document No: 
PTASP 
Revision # 
1 
Issue Date: 
11/2/2022 
 
7-11 
The first step of the safety risk management process is visualized in the hazard identification and 
documentation flow chart (Figure 5).  
First, upon receiving communication from the on-site staff of a potential hazard, the supervisor 
communicates the hazard to the division safety representative or the CSO for review and formal 
documentation. 
 
Figure 5. Hazard Identification and Documentation (Step 1) 
Hazard identification focuses on conditions that need special attention or immediate action, including new 
procedures or training to resolve the condition. PTD uses a variety of mechanisms for identifying and 
documenting hazards, namely:  
• 
Through training and reporting procedures, PTD ensures employees can identify hazards and that 
each employee understands the responsibility to report any safety hazards to the employee’s 
supervisor or the safety representative. Continued refresher training helps employees improve skills 
to identify hazards as outlined in AR 2.31 (Appendix F).  
This regulation outlines the responsibility of supervisors to keep informed on safety subjects through 
training courses, and employees to attend all job required safety training and refresher courses as 
needed. The regulation also sets operational procedures to ensure employees receive and document 
the appropriate safety and health training.  
• 
In an effort to identify potential hazard recurrence, PTD uses incident reports and records to 
determine specific areas of training, whether individually or for a group or common classification, that 
need to be covered with employees. 
• 
Incident reports are analyzed by safety staff to identify recurring patterns, as well as known patterns 
or themes that would help identify underlying hazards and root causes of the event to mitigate or 
prevent recurrence. 
Document 
Hazard
Safety 
Communication 
(supervisory or 
CSO)
Hazard 
Identified in 
field or through 
trends

System: 
City of Phoenix Public Transit Department 
Document No: 
PTASP 
Revision # 
1 
Issue Date: 
11/2/2022 
 
7-12 
• 
To increase safety knowledge, staff is encouraged to participate in professional development 
activities, including peer-to-peer exchanges, which are a source to share information on lessons 
learned and best practices.  
Other sources for hazard identification include: 
• 
Employee safety reporting program 
• 
State of Good Repair reports 
• 
Trend analysis of personnel job performance, vehicles, facilities, and other data  
• 
Investigations of safety events 
• 
Lessons learned from root cause analysis after safety incidents 
• 
Safety trend analysis on data currently collected 
• 
Training and evaluation records 
• 
Internal safety audits  
External sources of hazard information could include: 
• 
FTA and other federal, state, county, or city authorities, including peer transit agencies 
• 
Reports from the public 
• 
Safety bulletins from manufacturers or industry associations 
Following the identification of the safety hazard, the second step of the risk management process 
determines the hazard by type – organizational, technical or environmental – to assist in identifying the 
expertise needed to assess the hazard.  
Hazard types are also categorized by subcategory as shown in the Safety Hazard Type Identification 
chart in Table 4. For example, organizational hazards can be further detailed in a subcategory as either a 
resource, procedural, training, or supervisory hazard. Each subcategory helps later define the different 
types of mitigation strategies and potential effects of the safety hazard in the following steps.  
Table 4. Safety Hazard Type Identification (Step 2) 
Organizational 
Technical 
Environmental 
Resourcing 
Operational 
Weather 
Procedural 
Maintenance 
Natural 
Training 
Design 
 
Supervisory 
Equipment 
 
Hazard types may be defined using the following descriptions: 
• 
Organizational 
o 
Resourcing – A hazard that is related to the supply of resources. 
o 
Procedural – A hazard that is linked to established procedures. 
o 
Training – A hazard that is related to inadequate or incomplete training. 
o 
Supervisory – A hazard that is related to ineffective supervision.

System: 
City of Phoenix Public Transit Department 
Document No: 
PTASP 
Revision # 
1 
Issue Date: 
11/2/2022 
 
7-13 
• 
Technical 
o 
Operational – A hazard that relates to standard operations. 
o 
Maintenance – A hazard that is linked to asset maintenance. 
o 
Design – A hazard that is related to inadequate design. 
o 
Equipment – A hazard that is linked to inappropriate, incorrect, or faulty equipment. 
• 
Environmental 
o 
Weather – A hazard that is linked to unfavorable weather conditions. 
o 
Natural – A hazard that is related to unfavorable natural environmental conditions. 
In the third step of the safety risk management process, the hazard’s probability is then identified by 
matching the hazard to each probability description shown in the Safety Hazard Risk Probability chart in 
Table 5. 
Table 5. Safety Hazard Risk Probability (Step 3) 
Probability 
Criteria 
Frequent 
A hazard that is likely to occur frequently, 
Probable 
A hazard that is likely to occur several times. 
Occasional 
A hazard that is likely to occur sometime. 
Remote 
A hazard that is likely to occur sometime. 
Improbable 
A hazard that is so unlikely that it can be rejected from consideration. 
Eliminated 
A hazard that is incapable of occurrence. 
 
In the fourth step of the safety risk management process, the hazard’s severity can then be categorized 
with the use of the Safety Hazard Risk Severity Categories chart in Table 6 by comparing the hazard to 
the listed severity criteria. 
Table 6. Safety Hazard Risk Severity Categories (Step 4) 
Severity 
Criteria 
Catastrophic 
A hazard that may cause death or system loss. 
Critical 
A hazard that may cause severe injury, severe occupational illness, or major 
system damage. 
Marginal 
A hazard that may cause minor injury, minor occupational illness, or minor 
system damage. 
Negligible 
A hazard that may cause less than minor injury, occupational illness, or 
system damage. 
Insignificant 
Operating conditions are such that human error, subsystem or component 
failure or procedural deficiencies will result in no injury, none or minor 
damage to equipment, no adverse reputational damage. 
 
7.7.1.2 
Contractors 
To identify safety hazards, Contractors hold monthly safety meetings and facility inspections to identify 
safety risks and determine if prior issues and risks had been addressed. In addition to these practices,

System: 
City of Phoenix Public Transit Department 
Document No: 
PTASP 
Revision # 
1 
Issue Date: 
11/2/2022 
 
7-14 
Contractors encourage employees to report safety observations to management so they can be assessed 
and mitigated before an incident occurs.  
For more detail about each Contractor’s individual policies and procedures for safety hazard identification, 
see  
• 
First Transit – Appendix B.6 (Safety Risk Management) 
• 
Transdev – Appendix C.5 (Safety Hazard Identification) 
• 
MV Transportation – Appendix D.5 (Safety Risk Management) 
7.7.2 
Safety Risk Assessment  
7.7.2.1 
PTD 
Identified hazards are assessed to determine the potential consequences of each hazard. Factors that 
are used in assessing safety hazards are:  
• 
probability of occurrence 
• 
severity of the consequences should there be an occurrence  
• 
level of exposure to the hazard 
In the fifth step of the safety risk management process, the Risk Assessment Matrix (Table 7) takes 
identified hazards and assesses the level of risk based on the hazard’s probability and severity of the 
hazard’s consequences. The results of the risk assessment matrix process aids in determining whether 
the risk should be managed, controlled, or eliminated in the following safety risk management steps.  
Table 7. Safety Hazard Risk Assessment Matrix (Step 5) 
 
The sixth step of the safety risk management process is completed by inputting the Risk Assessment 
Matrix results into the Safety Hazard Risk Index Matrix (Table 8). This allows staff to determine the safety 
hazard’s risk index for each hazard that was identified.

System: 
City of Phoenix Public Transit Department 
Document No: 
PTASP 
Revision # 
1 
Issue Date: 
11/2/2022 
 
7-15 
Table 8. Safety Hazard Risk Index Matrix (Step 6) 
 
 
Hazards are further defined as the following: 
• 
Unacceptable Hazards – Hazards with a Hazard Risk Index of 1A, 1B, 1C, 2A, 2B, 3A are 
“unacceptable” and must be mitigated in the most expedient manner possible to eliminate or 
control them prior to the project initiating service, by reducing the severity and/or probability 
of the hazard to an acceptable level.  
• 
Undesirable Hazards – Hazards with a Hazard Risk Index of 1D, 2C, 2D, 3B, 3C, 4A are 
“undesirable.” A management decision is required by Scottsdale on the specific method of 
corrective action to mitigate the risk based on additional considerations such as the 
availability of acceptable alternative measures (workarounds), availability of resources, on a 
permanent or temporary basis.  
• 
Acceptable with Review Hazards – Hazards with a Hazard Risk Index of 1E, 2E, 3D, 3E, 4B, 
4C, 4D, 5A, 5B, 5C are “acceptable with review” by the bus transit agencies. Scottsdale may 
accept the risk associated with retaining the identified hazard in an “as is” condition with no 
further corrective action. Alternatively, the Scottsdale may prescribe periodic tests and 
inspections or other preventative measures to ensure, on a continuing basis, that the original 
severity and probability ratings are not invalidated over time by degradation of conditions in 
the subject item.  
• 
Acceptable without Review Hazards – Hazards with a Risk Index of 44E, 5D, 5E are 
“acceptable” without review. The results of the analysis will be shared by the CSO with the 
Accountable Executive on an ongoing basis to identify appropriate actions. All “unacceptable” 
hazards must be eliminated, and measures will be taken for the remaining risk acceptance 
categories to minimize risk. The results of such analysis will be shared with agency staff and 
law enforcement agencies on a quarterly basis for awareness and support.  
If the risk index is acceptable, the hazard must be monitored. If the risk index is undesirable, the hazard 
requires careful monitoring and may also require steps taken to lower the risks at the discretion of 
Executive Management. If the risk index is unacceptable, steps are taken by PTD to lower the risk to an 
acceptable or tolerable level, or to remove or avoid the hazard. 
7.7.2.2 
Contractors 
Each Contractor has developed a procedure to assess safety hazards that includes the use of a Safety 
Hazard Risk Matrix that determines the severity and probability of the hazard. Based on the matrix, each 
Contractor has a process to determine the level of risk a safety hazard poses to the organization.

System: 
City of Phoenix Public Transit Department 
Document No: 
PTASP 
Revision # 
1 
Issue Date: 
11/2/2022 
 
7-16 
For more information on the procedures each Contractor has on assessing safety risks, see:  
• 
First Transit – Appendix B.6 (Safety Risk Management) 
• 
Transdev – Appendix C.5 (Safety Hazard Assessment) 
• 
MV Transportation – Appendix D.5 (Safety Risk Management) 
 
 A third party may conduct a Contractor’s risk assessment review.  
7.7.3 
Safety Risk Mitigation  
7.7.3.1 
PTD 
The risk assessment process may indicate that certain hazards are low risk, while others require 
mitigation to achieve an acceptable level. In the seventh step of the safety risk management process, 
staff catalogue hazard information as illustrated in the Hazard Risk Register (Table 9). After the 
completion of the exercises previously detailed, the hazard ID, type, source, description, rating 
(probability and severity), mitigation, status, and new hazard rating information can be populated in the 
risk register.  
The previous steps of the risk management process are summarized in Table 9. 
Table 9. Hazard Risk Register (Step 7) 
Hazard 
ID 
Hazard 
Type 
Source 
Identification 
Date  
Description 
Hazard Rating 
(Likelihood and 
Consequence) 
Mitigation 
Status of 
feedback 
with 
reporter (if 
applicable) 
Updated 
Hazard 
Rating (after 
mitigation) 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Hazar
d ID 
Hazard 
Type 
Source 
Identificatio
n Date  
Location 
Descripti
on 
Hazard 
Rating 
(Likelihoo
d and 
Conseque
nce) 
Mitigatio
n 
Status 
of 
feedbac
k with 
reporter 
(if 
applica
ble) 
Updated 
Hazard 
Rating 
(after 
mitigatio
n) 
Haz-
09302
022-01 
Mainten-
ance 
Employe
e Report 
9-30-2022 
NW side of 
shop floor 
Employee 
identified 
an 
ongoing 
slip/fall 
hazard on 
the shop 
floor due 
to a roof 
leak.  
3B 
(Undesirab
le) 
Fix roof 
leak 
Open 
F 
(eliminate
d) 
Haz-
10042
022-01 
Maintena
nce 
Employe
e Report 
10-4-2022 
Intersectio
n of X and 
Y  
Operator 
identified a 
line of 
sight 
hazard 
due to 
overgrown 
foliage 
which may 
result in a 
potential 
collision 
with 
individual, 
vehicle, or 
object.  
2D 
(Undesirab
le) 
Work 
with City 
Public 
Works to 
cut back 
the 
overgrow
n foliage 
Closed 
2E 
(Accepta
ble with 
review)

System: 
City of Phoenix Public Transit Department 
Document No: 
PTASP 
Revision # 
1 
Issue Date: 
11/2/2022 
 
7-17 
 
The intention of the Table 9 Hazard Risk Register is to ensure that all available safety hazard information 
is considered when determining the appropriate hazard mitigation measures. This table includes sample 
hazards as an example of how the Risk Register may be used 
In the eighth and final step of the safety risk management process, PTD may determine and implement 
safety mitigation actions to reduce or eliminate all identified safety hazards. 
Safety risk mitigations may come in various forms in order to address the specific hazard accordingly. 
Ultimately, the ideal mitigation is total elimination, but in scenarios where this is impossible, there are 
varying degrees of protection, ranging from engineering controls, administrative controls/behavioral 
modifications, and the least protective, personal protective equipment, as further laid out in Figure 6.  
 
Figure 6 Hierarchy of Controls to Mitigate Risks 
Once a mitigation action has been identified, staff will assess all changes that result from the mitigating 
actions and their impacts to the transit safety performance targets. If existing mitigation measures are 
sufficient, then no further mitigation actions are necessary. If a change is determined to impact a safety 
performance target, then the change is evaluated through the safety risk management process.  
For clarity, a scenario that properly utilizes the safety risk management process is detailed in Figure 7. 
 
 
Elimination
Engineered controls
•Includes objects and technologies that are engineered to discourage, warn 
against, or prevent inappropriate action or mitigate the consequences of 
events (e.g., traffic control devices, fences, safety restraining systems, transit 
controls/signals, transit monitoring systems), and corrective maintenance. 
Administrative controls/behavioral modification
•Procedures and practices that mitigate the probability of accident/incident
•Behavioral interventions i.e. education and public awareness campaigns to 
reduce risky behavior from factors outside of the agency's control.
Personal Protective Equipment
•The required use of equipment as a safety mitigation, which is the least 
desirable mitigation due to the possibility of human error. Such equipment 
includes hard hats, safety glasses, and safety vests

System: 
City of Phoenix Public Transit Department 
Document No: 
PTASP 
Revision # 
1 
Issue Date: 
11/2/2022 
 
7-18 
 
Figure 7. Safety Risk Management Scenario 
7.7.3.2 
Contractors 
Contractors undergo independent safety risk mitigation of all identified hazards. Contractors utilize, at a 
minimum, the same hazard information that is illustrated in Table 7, 8, and 9 to help prioritize all hazards 
and all safety risks are documented and prioritized according to the level of risks.  
Each Contractor outlines their Safety Risk Management Scenarios in each of their own safety plans: 
• 
First Transit – Appendix B.6 (Safety Risk Mitigation) 
Safety Hazard Scenario 
Staff discovered that the wheel balancer has not been calibrated since 2017. Although a specialist is 
brought in to calibrate the machine, a transit safety specialist decides to complete the safety risk 
management process to determine whether further mitigation is needed on the vehicles the machine 
directly serves. 
Step 1:  The hazard is identified by staff to be “an out of calibration wheel balancer” and is 
communicated to a safety representative, as depicted on Figure 4. 
Step 2:  Using Table 4, the hazard is determined to be of a “Technical Equipment” type, as the hazard 
most closely resembles that description. 
Step 3:  Using Table 5, the probability is determined to be in the “Not Likely” category based on 
available historical information that most closely resembles that probability criteria. 
Step 4:  Using Table 6, the severity is determined to be in the “Critical” category, as the worst credible 
outcome to maintaining the hazard closely matches that criteria. 
Step 5:  Using Table 7, the risk assessment matrix results in a “High” level of risk after considering the 
information from Table 5 and Table 6. 
Step 6:  Using Table 8, the risk index determines the level of risk to be “unacceptable” based on the 
level of risk determined by Table 7. 
Step 7:  Using Table 9, the relevant information for the determination of the necessary risk mitigation 
actions, if any, is noted to be the following: 
• 
A wheel balancer is out of calibration. 
• 
There is a technical equipment hazard. 
• 
The hazard is not likely to occur. 
• 
The hazard’s consequences are critical to the transit system’s operation. 
• 
The risk to the transit system posed by the hazard is determined to be unacceptable.  
Step 8:  Staff determined, in part with the use of Table 10, that an “Administrative Action” will reduce 
the level of risk posed by the hazard to an acceptable level. The administrative actions may 
include the introduction of wheel balancer calibration training and the establishment of routine 
calibration maintenance procedures, for example.

System: 
City of Phoenix Public Transit Department 
Document No: 
PTASP 
Revision # 
1 
Issue Date: 
11/2/2022 
 
7-19 
• 
Transdev – Appendix C.5 (Safety/Risk Hazard Mitigation) 
• 
MV Transportation – Appendix D.5 (Hazard Resolution) 
7.8 
Safety Assurance  
Safety assurance is a process that functions to ensure the implementation and effectiveness of safety risk 
mitigation, and to ensure that PTD meets or exceeds its safety objectives through the collection, analysis, 
and assessment of information.  
7.8.1 
Safety Performance Monitoring and Measurement 
Contractors collect and monitor data on safety performance indicators through a variety of mechanisms, 
including collecting data on key metrics on a regular basis and preparing regular reports on safety 
performance. Contractors then use that data to measure effectiveness of current mitigation strategies, to 
identify safety problems and track the organization’s overall progress towards meeting their performance 
targets.  
For specific details about each Contractor’s Safety Performance Monitoring and Measurement methods, 
see:  
• 
First Transit – Appendix B.7 (Safety Performance Monitoring and Measurement) 
• 
Transdev – Appendix C.6 (Performance Monitoring and Measurement) 
• 
MV Transportation – Appendix D.6 (Safety Performance Monitoring and Measurement) 
7.8.1.1 
Monitoring Compliance and Sufficiency of Procedures  
PTD Employee and Contractor Safety Monitoring 
PTD employee compliance with standard safety operating procedures is monitored by Department staff 
through observation and review of information and data submitted from both employees and customers.  
Contractor compliance is monitored by PTD staff through the routine and frequent monitoring activities at 
transit facilities and in the field. Staff complete inspection reports that include safety reporting (Appendix 
F.4). PTD staff also submits monthly compliance reports to their respective supervisors. This reporting 
system addresses non-compliance with standard procedures for operations and preventive maintenance 
activities through a variety of actions, including revising training materials, and when necessary, providing 
systemwide employee and supervisor training.  
When non-compliance is situational, mitigation activities can include individualized training, coaching and 
heightened management oversight. When non-compliance is determined to be a result of inadequate 
operations or preventive maintenance procedures, the identified deficient procedures are submitted to the 
risk management process. At the conclusion of the risk management process, the deficiencies are 
addressed to resolve the non-compliant issue. 
PTD assigns specific staff to the role of a contract monitor. Each contract monitor oversees the 
Contractors for compliance with PTD contracts, SPTs, compliance with NTD safety reporting standards, 
information accuracy and adherence to operations and safety procedures. In addition, each month, or as 
needed, Contractors share their safety performance data, incident and safety reports, and safety 
observations with PTD and hold an Operations meeting as illustrated on Figure 7. The performance data 
is communicated to FTA’s NTD monthly using the Uniform System of Accounts document as 
circumstances dictate.

System: 
City of Phoenix Public Transit Department 
Document No: 
PTASP 
Revision # 
1 
Issue Date: 
11/2/2022 
 
7-20 
 
Figure 8. PTD and Contractor Monthly Communication 
 
Contractors 
On a monthly basis, Contractors document safety performance data, incident and safety reports, recap 
reports, and safety observations, and present this information to PTD during the Operations meeting. 
Contractors also monitor bus and paratransit systems for compliance with PTD and FTA operations and 
maintenance procedures and communicate findings to PTD monthly. In addition, Contactors are 
responsible for independently monitoring their employee’s compliance with the company’s standard 
operating procedures as outlined in their individual safety plans, found in:  
• 
First Transit – Appendix B.7 (Safety Performance Monitoring and Measurement) 
• 
Transdev – Appendix C.6 (Performance Monitoring and Measurement) 
• 
MV Transportation – Appendix D.6 (Safety Performance Monitoring and Measurement) 
7.8.1.2 
Safety Events  
PTD 
All investigation reports of safety events and risk management resolution reports are monitored by 
assigned staff and reported to the CSO and the Accountable Executive. These reports are provided by 
the Contractor upon the conclusion of a safety event investigation conducted by the Contractor. 
Additionally, Contractors provide PTD with monthly NTD safety reports that staff use to identify safety 
trends and SRM measures that may be ineffective, inappropriate, or not implemented as intended.  
If the safety risk mitigation measure does not bring the risk to an acceptable level or otherwise fails to 
meet safety objectives, then staff resubmit the safety risk/hazard to the risk management process. The 
CSO then works with staff, the Contractor, and subject matter experts, to identify and implement 
additional mitigation measures.  
Contractors 
Each Contractor develops their own individual procedures for monitoring the effectiveness of safety 
hazard mitigation measures. The Contractors closely manage their safety performance data and conduct 
audits to ensure they are effectively addressing safety risks within their organization.  
Safety Performance 
Data 
Incident & Safety 
Reports 
Safety Observations 
Operations Meeting 
Contractor 
Department

System: 
City of Phoenix Public Transit Department 
Document No: 
PTASP 
Revision # 
1 
Issue Date: 
11/2/2022 
 
7-21 
For specific safety monitoring procedures, see:  
• 
First Transit – Appendix B Section 7 (Safety Performance Monitoring and Measurement) and 
SOP #700-Accident & Safety Data Acquisition 
• 
Transdev – Appendix C.6 (Performance Monitoring and Measurement) 
• 
MV Transportation – Appendix D.6 (Safety Performance Monitoring and Measurement) 
7.8.1.3 
Safety Event Investigation  
PTD 
PTD employees follow the Department’s operational safety procedures as outlined in AR 2.31 (Appendix 
F). These operational procedures help identify initial information that may be utilized in a safety event 
investigation and include the following: 
 
• 
Establish and maintain a system for reporting accidents.  
• 
Analyze accidents to learn cause and prevention. 
• 
Solicit suggestions from employees and promptly adopt good ideas that will promote better 
safety.  
• 
Solicit the advice of the safety committees where applicable. 
 
For example, at the scene of a collision, PTD employees follow the Action at Scene of Collison steps that 
are outlined in AR 2.31 (Appendix F.3). Steps to be taken are categorized by severity and include 
drivable vehicles, non-drivable vehicles, injury accidents, non-injury accidents, and vary in their 
prescribed actions.  
 
If an event meets the criteria as an accident, employees would then take steps to first contact the 
appropriate emergency services and then their supervisor.  
 
Contractors 
Contractors conduct their own investigations of safety events and notify PTD staff for tracking and NTD 
reporting. The PTD CSO may assign internal Department staff to the event investigation and request a 
debrief of the safety event investigation, as well as review all related investigation documentation. The 
objective of the review of the Contractor safety event investigation is to determine whether the event is 
considered preventable and if there were any policy violations. Additionally, assigned CSO 
representatives may develop strategies that the Contractor and staff can employ to address the 
identifiable root cause of any organizational, technical, or environmental hazards.  
Each Contractor has created their own procedures and subject matter experts for investigating safety 
events, and their company practice include using data and statements from the involved parties to 
determine the cause of the incident, and mitigation measures that need to be taken to ensure the safety 
event does not reoccur.  
For specific details about the Contractors’ safety event investigation procedures, see:  
• 
First Transit – Appendix B.7 (Safety Performance Monitoring and Measurement) 
• 
Transdev – Appendix C.6 (Performance Monitoring and Measurement) 
• 
MV Transportation – Appendix D.6 (Safety Performance Monitoring and Measurement) 
7.8.1.4 
Monitoring Internal Safety Reporting Programs  
PTD 
PTD employees are encouraged to report any safety-related issues and incidents to their supervisor or 
using the department’s escalation ladder. However, when an employee wishes to remain anonymous, the

System: 
City of Phoenix Public Transit Department 
Document No: 
PTASP 
Revision # 
1 
Issue Date: 
11/2/2022 
 
7-22 
city of Phoenix’s City Auditor operates the “Integrity Line,” as outlined in Administrative Regulation 1.2 
(Fraud Prevention and Reporting Policy [Integrity Line]) (Appendix G).  
Safety reports that are directly communicated to a supervisor for evaluation, and management is informed 
as prescribed, or when the issue is out of the supervisor’s control. When a report is submitted to the city’s 
Integrity Line, it is initially reviewed by the Integrity Line Committee, which is comprised of representatives 
from offices of the City Auditor, the City Attorney, and the City Manager. The committee then refers the 
issue(s) to PTD’s Director and CSO for review and possible investigation.  
Contractors 
Through their respective agreements with the city, each Contractor is tasked to identify safety hazards 
and monitor performance metrics and prepare investigation reports on safety incidents for the city’s 
review. All the Contractors use the data to identify trends of reoccurring safety events that need to be 
mitigated.  
For the specific procedures for monitoring internal safety reporting programs for each individual 
Contractor, see:  
• 
First Transit – Appendix B.6 (Safety Performance Monitoring and Measurement) 
• 
Transdev – Appendix C.5.1 (Performance Monitoring and Measurement) 
• 
MV Transportation – Appendix D.6 (Safety Performance Monitoring and Measurement)  
7.8.2 
Management of Change  
7.8.2.1 
PTD 
Proposed or future changes in the public transit system may introduce new hazards and safety risk into 
transit operations. Therefore, staff are charged with identifying system changes and determining when a 
change must be evaluated through the safety risk management process.  
To accomplish this, staff proactively monitor planned changes and utilize PTD and Contractor field 
monitoring personnel to identify any changes in the transit system. Following the identification of a 
change, the change is submitted to the risk management process to assess the change and determine 
whether mitigation measures for newly identified hazards, if any, are appropriate. 
7.8.2.2 
Contractors 
Each Contractor has developed procedures to assess how changes may create new hazards and impact 
safety performance. The Contractors all have a process to review the proposed change and assess how 
the change could impact safety. Depending on the level of impact the proposed change is anticipated to 
have on safety, the Contractors takes actions to minimize and/or eliminate the safety risk associated with 
the proposed change.  
For specific details about each Contractor’s process for reviewing proposed changes, see:  
• 
First Transit – Appendix B.7 (Management of Change) 
7.8.3 
Continuous Improvement  
7.8.3.1 
PTD 
Evaluation of the SMS is necessary to ensure that allows PTD to meet safety objectives and performance 
targets. As a result, PTD reviews the system safety plan during annual self-certification.  
PTD also uses this data to assess identified deficiencies in SMS organizational structures, processes and 
resources. If deficiencies are found as part of the safety performance assessment, staff then develops 
and implements a plan to address any identified deficiencies.

System: 
City of Phoenix Public Transit Department 
Document No: 
PTASP 
Revision # 
1 
Issue Date: 
11/2/2022 
 
7-23 
7.8.3.2 
Contractors 
Each Contractor has their own procedures to ensure their organizations are constantly striving to improve 
safety. The Contractors have committed to regularly reviewing and updating their safety policies and 
procedures, both through the annual review process and other review processes and audits that are 
specific to each company.  
For more detailed information on each Contractor’s process for continuous improvement, see:  
• 
First Transit – Appendix B.7 (Continuous Improvement) 
• 
Transdev – Appendix C.6 (Continuous Improvement) 
7.9 
Safety Promotion 
Management support is essential for developing and implementing SMS. Safety promotion includes all 
aspects of “who, what, when, where, why, and how” PTD and its Contractors communicate safety related 
topics. 
7.9.1 
Safety Communication  
7.9.1.1 
PTD 
PTD regularly communicates safety information regarding hazards and safety risks relevant to employee 
roles and responsibilities and informs employees of safety actions taken in response to all reports 
submitted. Methods of communication include: 
 
• 
The Employee Critical & Emergency Incident Communication Map (Appendix G.2) 
• 
Safety updates incorporated in quarterly PTD meetings 
• 
Safety information uploaded to PTD’s employee accessible SharePoint site 
• 
On-site management and inspections 
 
PTD collects, catalogs and, where appropriate, analyzes and reports safety and performance information 
to all staff. Staff answer the following questions to help facilitate accurate safety reporting: 
• 
What information does this individual need to do their job? 
• 
How can we ensure the individual understands what is communicated? 
• 
How can we ensure the individual understands what action must be taken because of the 
information? 
• 
How can we ensure the information is accurate and kept up to date? 
• 
Are there any privacy or security concerns to consider when sharing information? If so, what 
should we do to address these concerns? 
 
In addition, staff routinely reviews existing communication strategies to determine if additional measures 
are needed to effectively reach staff and Contractors. As part of this effort, PTD uses a “safety culture 
survey” to understand how safety is perceived in the workplace and what areas should be addressed to 
fully implement a culture of safety. The CSO and relevant PTD staff are responsible for preparing and 
distributing all related safety materials and communications.  
7.9.1.2 
Contractors 
Each Contractor has adopted a comprehensive safety communication program to communicate safety 
information to their employees. This includes monthly safety meetings to brief staff in safety sensitive 
positions about safety trends and other safety related topics. The Contractors also have programs where 
they use various means to promote safety within the company, including having a safety bulletin board 
and sending out emails about safety.

System: 
City of Phoenix Public Transit Department 
Document No: 
PTASP 
Revision # 
1 
Issue Date: 
11/2/2022 
 
7-24 
For specific details about how each Contractor disseminates safety information to its employees, see:  
• 
First Transit – Appendix B.7 (Safety Communication) 
• 
Transdev – Appendix C.6.2 (Safety Communication) 
• 
MV Transportation – Appendix D.7 (Safety Communication) 
7.9.2 
Safety Training  
7.9.2.1 
PTD 
PTD has a safety training program aimed at informing employees who are directly responsible for safety 
of potential hazards and understand safety policies. The city’s Human Resources Department is 
responsible for assigning the appropriate training to PTD staff as outlined in the city of Phoenix 
Administrative Regulation 2.31 (Safety Program) (Appendix G). 
PTD has developed and provides safety training for all staff who are directly responsible for safety and/or 
have safety risks associated with their responsibilities, per 49 U.S.C. 5329(d)(1)(H). To develop a safety 
training program compliant with FTA requirements, PTD: 
• 
Reviewed general staff categories (e.g., administrative, driving position, supervisor, maintenance) 
and respective safety related responsibilities. 
• 
Assessed the training requirements of 49 CFR 672 and 49 U.S.C. 5329 and the courses required 
for different positions. 
• 
Assessed the training material available on the FTA PTASP Technical Assistance Center 
website. 
• 
Reviewed other training material available from industry sources such as the Community 
Transportation Association of America and the American Public Transportation Association 
websites. 
• 
Developed a set of competencies and trainings required to meet the safety related activities for 
each general staff category. 
o 
Per 49 USC 5329, the PTD and Contractor personnel responsible for operations and 
maintenance of facilities and buses will also begin to receive all necessary safety training 
under the training program and will receive de-escalation training.  
• 
Developed expectations for ongoing safety training and safety meeting attendance. 
• 
Adjusted job notices associated with general staff categories to ensure that new personnel 
understand the safety related competencies and training needs, and the safety related 
responsibilities of the job. 
 
The following training programs are implemented by PTD: 
• 
New hire and orientation safety training 
• 
Initial safety training program for operations and maintenance personnel 
• 
Annual training to include new hazards and refresher courses 
• 
De-escalation training for operations and maintenance personnel 
• 
Safety meetings 
7.9.2.2 
Contractors 
PTD contract monitors actively monitor each Contractor, which in turn provide their staff with appropriate 
safety training. Contractors are required to administer the appropriate safety training to their employees, 
including transit system administrative, operators, mechanics, fuelers, cleaners, and other staff 
responsible for safety within their organization. Each Contractor has developed comprehensive training 
programs for these employees that include new hire training, as well as ongoing training for their 
employees.

System: 
City of Phoenix Public Transit Department 
Document No: 
PTASP 
Revision # 
1 
Issue Date: 
11/2/2022 
 
7-25 
For details about each Contractor’s training programs, see:  
• 
First Transit – Appendix B.8 (Competencies and Training)  
• 
Transdev – Appendix C.7 (Competency & Training Program) 
• 
MV Transportation – Appendix D.7 (Competencies and Training)

System: 
City of Phoenix Public Transit Department 
Document No: 
PTASP 
Revision # 
1 
Issue Date: 
11/2/2022 
 
1 
Appendix A. 
 
 
City Council Minutes or Resolution 
To be added

System: 
City of Phoenix Public Transit Department 
Document No: 
PTASP 
Revision # 
1 
Issue Date: 
11/2/2022 
 
2 
Appendix B. 
 
First Transit Abbreviated Safety Plan (see attachment)

System: 
City of Phoenix Public Transit Department 
Document No: 
PTASP 
Revision # 
1 
Issue Date: 
11/2/2022 
 
 
 
Appendix C. 
 
Transdev Abbreviated Safety Plan (see attachment)

System: 
City of Phoenix Public Transit Department 
Document No: 
PTASP 
Revision # 
1 
Issue Date: 
11/2/2022 
 
 
Appendix D. 
 
MV Transportation Abbreviated Safety Plan  (see 
attachment)

System: 
City of Phoenix Public Transit Department 
Document No: 
PTASP 
Revision # 
1 
Issue Date: 
11/2/2022 
 
 
Appendix E 
 
PTASP Performance Target Log  
 
MB  (per 100,000 VRM) 
Mode - 
MB 
Fatalities 
Rate* of 
Fatalities 
Injuries 
Rate* of 
Injuries 
Safety 
Events 
Rate* of 
Safety 
Events 
Mean Distance 
Between Mechanical 
Failure 
2019 
Actual 
0 
0.00 
39 
0.18 
71 
0.32 
19,810 
2020 
Actual 
0 
0.00 
35 
0.17 
105 
0.51 
15,241 
2021 
Actual 
5 
0.02 
51 
0.25 
157 
0.78 
18,365 
Average 
1.67 
0.01 
42 
0.20 
111 
0.54 
17,805 
2023 
SPT 
(MB) 
1.67 
0.01 
42 
0.20 
111.00 
0.54 
17,805 
 
 
DR (per 100,000 VRM) 
Mode - 
DR 
Fatalities 
Rate* of 
Fatalities 
Injuries 
Rate* of 
Injuries 
Safety 
Events 
Rate* of 
Safety Events 
System 
Reliability 
2019 
Actual 
0 
0.00 
1 
0.03 
1 
0.03 
18,989 
2020 
Actual 
0 
0.00 
0 
0.00 
2 
0.07 
22,554 
2021 
Actual 
0 
0.00 
1 
0.03 
2 
0.06 
19,036 
Average 
0 
0 
0.67 
0.02 
1.67 
0.06 
20,193 
2023 SPT 
(DR) 
0 
0 
0.67 
0.02 
1.67 
0.06 
20,193

System: 
City of Phoenix Public Transit Department 
Document No: 
PTASP 
Revision # 
1 
Issue Date: 
11/2/2022 
 
 
Appendix F. PTASP Supporting Documents  
1. PTD’s Critical & Emergency Incident Communication Map  
2. Employee Critical Incident Training  
3. City of Phoenix Administrative Regulations  
4. Public Transit Department Facility Inspection Report

System: 
City of Phoenix Public Transit Department 
Document No: 
PTASP 
Revision # 
1 
Issue Date: 
11/2/2022 
 
 
F-1. PTD’s Critical & Emergency Incident Communication Map

System: 
City of Phoenix Public Transit Department 
Document No: 
PTASP 
Revision # 
1 
Issue Date: 
11/2/2022 
 
 
F-2. Employee Critical Incident Training

System: 
City of Phoenix Public Transit Department 
Document No: 
PTASP 
Revision # 
1 
Issue Date: 
11/2/2022 
 
 
F-3. City of Phoenix Administrative Regulations

System: 
City of Phoenix Public Transit Department 
Document No: 
PTASP 
Revision # 
1 
Issue Date: 
11/2/2022

System: 
City of Phoenix Public Transit Department 
Document No: 
PTASP 
Revision # 
1 
Issue Date: 
11/2/2022

System: 
City of Phoenix Public Transit Department 
Document No: 
PTASP 
Revision # 
1 
Issue Date: 
11/2/2022

System: 
City of Phoenix Public Transit Department 
Document No: 
PTASP 
Revision # 
1 
Issue Date: 
11/2/2022

System: 
City of Phoenix Public Transit Department 
Document No: 
PTASP 
Revision # 
1 
Issue Date: 
11/2/2022

System: 
City of Phoenix Public Transit Department 
Document No: 
PTASP 
Revision # 
1 
Issue Date: 
11/2/2022

System: 
City of Phoenix Public Transit Department 
Document No: 
PTASP 
Revision # 
1 
Issue Date: 
11/2/2022

System: 
City of Phoenix Public Transit Department 
Document No: 
PTASP 
Revision # 
1 
Issue Date: 
11/2/2022

System: 
City of Phoenix Public Transit Department 
Document No: 
PTASP 
Revision # 
1 
Issue Date: 
11/2/2022

System: 
City of Phoenix Public Transit Department 
Document No: 
PTASP 
Revision # 
1 
Issue Date: 
11/2/2022

System: 
City of Phoenix Public Transit Department 
Document No: 
PTASP 
Revision # 
1 
Issue Date: 
11/2/2022

System: 
City of Phoenix Public Transit Department 
Document No: 
PTASP 
Revision # 
1 
Issue Date: 
11/2/2022

System: 
City of Phoenix Public Transit Department 
Document No: 
PTASP 
Revision # 
1 
Issue Date: 
11/2/2022

System: 
City of Phoenix Public Transit Department 
Document No: 
PTASP 
Revision # 
1 
Issue Date: 
11/2/2022

System: 
City of Phoenix Public Transit Department 
Document No: 
PTASP 
Revision # 
1 
Issue Date: 
11/2/2022 
 
 
F-4. Public Transit Department Facility Inspection Report