M-1 RAIL SAFETY AND SECURITY MANAGEMENT PLAN. Version 4, November 2014

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M-1 RAIL SAFETY AND SECURITY

MANAGEMENT PLAN

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DOCUMENT REVISION LOG

M-1 RAIL Safety and Security Management Plan

Each revision to the Safety and Security Management Plan shall be issued with a revision log requiring an authorized signature and date of revision.

Version No.

Revision Date Remarks Authorized

Signature 1 November 2013 Initial Draft

1 February 2014 Address PMOC Comments 3

May 2014 Address PMOC comments; removed references to M-2

4 November 2014 Incorporated 10-21-14 PMOC Cephas comments; remove vehicle maintenance contractor; rename VSMF; document formatting

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FIGURES

Figure 2-1: Safety and Security Activities Matrix ... 17

Figure 2-2: M-1 RAIL Streetcar Project Organization ... 25

Figure 2-3: M-1 RAIL Streetcar Operations Organization ... 26

Figure 3-1: M-1 RAIL Committee Structure ... 40

Figure 3-2: Safety and Security Responsibilities Matrix ... 46

Figure 4-1: Project Methodology for Identifying and Resolving Hazards, Threats, and Vulnerabilities ... 48

Figure 4-2: Hazard Categorization and Assessment ... 49

Figure 4-3: Hazard Risk Index and Categories ... 51

Figure 4-4: Vulnerability Categorization and Assessment ... 52

Figure 6-1: M-1 RAIL Operations Roles and Responsibilities ... 57

Figure 6-2: Operations Plans and Manuals Development Schedule ... 58

Figure 9-1: Activity Schedule ... 69

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ACRONYMS

The following acronyms are used within this document or in documents referenced within this Safety and Security Management Plan.

APTA American Public Transportation Association BOD Basis of Design

CAP Corrective Action Plan CCTV Closed Circuit Television CEL Certifiable Elements List CFR Code of Federal Regulations CII Critical Infrastructure Information

CM/GC Construction Manager/General Contractor COTR Contracting Offices Technical Representative CPM Capital Program Management

CPTED Crime Prevention Through Environmental Design CTR Contractors and their sub-contractors

DBM Department of Budget and Management DCM Design Criteria Manual

DEIS Draft Environmental Impact Statement DHS Department of Homeland Security DMS Document Management System DOT U.S. Department of Transportation EOP Emergency Operating Procedure FEIS Final Environmental Impact Statement FLSSC Fire/Life Safety and Security Committee FMEA Failure Modes and Effects Analysis

FMECA Failure Mode, Effects and Criticality Analysis FMIS Financial Management Information System FRA Federal Railroad Administration

FTA Federal Transit Administration IEI Interactive Elements, Incorporated MP Maintenance Procedure

MDOT Michigan Department of Transportation NEPA National Environmental Policy Act NFPA National Fire Protection Association NTP Notice to Proceed

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O & M Operations and Maintenance OCC Operations Control Center

OEC Office of Engineering and Construction

OSHA Occupational Safety and Health Administration PA/VMS Public Address/Variable Message Signs

PD Project Development

PHA Preliminary Hazard Analysis

PMOC Project Management Oversight Contractor PMP Project Management Plan

QA/QC Quality Assurance/Quality Control QMP Quality Management Plan

RE Resident Engineer

SCADA Supervisory Control and Data Acquisition SOP Standard Operating Procedure

SSCC Safety and Security Certification Committee SSCP Safety and Security Certification Plan

SSEPP System Security and Emergency Preparedness Plan SSI Sensitive Security Information

SSPP System Safety Program Plan

SSMP Safety and Security Management Plan SSOC Safety and Security Operations Committee TDD Transit Development and Delivery

TSA Transportation Security Administration TUN Temporary Use Notice

TVA Threat and Vulnerability Assessment UL Underwriter’s Laboratories

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INTRODUCTION

The Federal Transit Administration (FTA) requires the development and implementation of a Safety and Security Management Plan (SSMP) for major capital projects as defined in 49 CFR Part 633, Project Management Oversight. Additionally, FTA Circular 5800.1 – Safety and Security Management Guidance for Major Capital Projects, dated August 1, 2007, identifies specific safety and security activities that must be performed and documented in the SSMP. The SSMP is developed as part of the recipient’s Project Management Plan (PMP) and must be updated if required whenever the PMP is revised. This document, the M-1 RAIL SSMP, has been developed to meet the above requirements and all known safety and security-based codes, regulations and guidelines. The M-1 RAIL Streetcar System will be constructed and operated by M-1 RAIL.

1.0 MANAGEMENT COMMITMENT AND PHILOSOPHY 1.1 Safety and Security Policy Statement

M-1 RAIL Streetcar Project

The mission of M-1 RAIL is to be an effective participant in the continuing development of a high-quality, livable environment in the City of Detroit by supporting streetcar development, serving high-density areas and by delivering safe, reliable, clean, cost-effective transit service. Safety and security are paramount and a core value in all M-1 RAIL operations, including project development, engineering, construction, testing, commissioning, and acceptance of the streetcar system.

M-1 RAIL is committed to a goal, which is to strive for safety results above industry norm. To meet this goal, three key objectives have been established:

1. Avoid loss of life, reduce injury and minimize damage or loss of property.

2. Install an awareness of safety and security in all M-1 RAIL employees and contractor personnel.

3. Provide for the identification and elimination or control of hazards, threats and vulnerabilities through a systematic approach of auditing and analyzing the operational system.

Roy Bryans, the M-1 RAIL Safety and Security Officer, is directed and empowered to develop, implement and administer a comprehensive, integrated and coordinated System Safety and Security Program. All M-1 RAIL staff members, including consultants and construction personnel, are directed to comply with the provisions of this SSMP. The Program is to emphasize preventative activities and responsibilities of each department in an effort to identify, control and resolve threats, vulnerabilities and hazards during design, construction and operational phases of transit service. Accordingly, the M-1 RAIL Safety and Security Officer is empowered to order the cessation of activities or operations, which are evaluated as presenting an immediate and serious hazard, threat or vulnerability within the transit system.

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Accountability for safety and security rests with each employee, supervisor, and manager. All are responsible for meeting the safety and security requirements inherent to their position. Individual employees must comply with the safety rules and procedures applicable to their work duties. Supervisors and managers must comply with safety policies and standards applicable to their departments. Managers are responsible for fostering support through the commitment of resources to eliminate safety, security or health hazards.

Matt Cullen Paul Childs

Chairman Chief Executive Officer, Project Director

M-1 RAIL, Board of Directors M-1 RAIL

________________________________ ________________________________

Signature Signature

________________________________ ________________________________

Date Date

Roy Bryans

Safety and Security Officer M-1 RAIL

________________________________ Signature

________________________________ Date

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1.2 Purpose of the SSMP

The purpose of this SSMP is to define requirements and responsibilities for the implementation of the Safety and Security Policy during the project development, engineering, construction, testing, commissioning, and acceptance of the M-1 RAIL Streetcar Project. It defines the process, activities, and methods for identifying, evaluating, and resolving potential safety hazards and security vulnerabilities of the streetcar system. It establishes responsibility and accountability for safety and security during the project development, engineering, procurement, construction, testing, and start-up phase of the M-1 RAIL Streetcar Project.

The SSMP:

 States M-1 RAIL’s commitment and philosophy to achieve the highest practical level of safety and security for M-1 RAIL customers, employees, and the public that comes in contact with M-1 RAIL’s operations and systems.

 Establishes and manages safety and security analyses and activities intended to minimize risk of injury and property damage, and to maximize the safety and security of M-1 RAIL employees, customers, and the public.

 Integrates safety and security functions and activities throughout M-1 RAIL’s organizational structure and activities.

 Defines the safety and security responsibilities, communication, integration, and interface among M-1 RAIL personnel, including those of consultants and contractors for overall coordination.

 Establishes the mechanisms for documenting and verifying project safety and security activities.

 Establishes the mechanisms for the management and process of the Safety and Security Certification/Verification activities.

 Establishes mechanisms for evaluating project activities to ensure continued development and advancement of safety and security.

 Establishes the framework for construction safety and security. 1.3 Applicability and Scope

This SSMP is applicable to all organizational units, employees, and contractors affecting, or affected by M-1 RAIL operations and services throughout all project development, engineering, construction, start-up testing, pre-revenue operations, and operational phases. The SSMP also:

•

charges each manager with responsibility and accountability for the implementation, enforcement, and success of the System Safety and Security Programs during the project

•

mandates coordination, integration, communication, and cooperation among all personnel and departments relative to matters of safety and security

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•

encompasses all fixed facilities, vehicles, and employee activities; and applies to all who come in contact with the M-1 RAIL Streetcar Project and the systems implemented

•

identifies the relationships and responsibilities with local, state, and Federal agencies and any other organizations that have an impact on operations, (e.g. DHS, FTA, MDOT and TSA)

A portion of the costs of the system will be financed through New Markets Tax Credits and a TIGER I grant. M-1 RAIL will construct and own the Project including all contracts with project vendors including a future Operations Contractor. M-1 RAIL will enter into a lease with the Michigan Department of Transportation (“MDOT”) for the capital assets and operation of the entire system. M-1 RAIL will operate the system during the period necessary to accommodate the New Markets Tax Credit transaction (seven years from the issuance of the New Markets Tax Credits, which is anticipated to occur in 2013). Upon the expiration of such period, the lease arrangement will terminate and the assets of the entire system are intended to be donated (i.e., transfer without consideration) to the recently established Regional Transit Authority (RTA) or another federally recognized transit agency.

This SSMP applies to project activities during Project Development (PD), Engineering, procurement and construction, inspection and testing, and integration testing and start-up. M-1 RAIL systems must be designed and constructed in accordance with M-1 RAIL safety and security requirements defined in the System Safety Program Plan (SSPP) and certified as specified by the M-1 RAIL’s Safety and Security Certification Plan (SSCP).

This SSMP encompasses the following equipment, facilities, plans, and procedures as they relate to the M-1 RAIL system. Projects under this SSMP may include:

•

System-wide elements and sub-elements including:

- Traction electrification such as traction power substations and overhead contact system

- Train control systems - Vehicles

- Fare collection

- Communication backbone systems - Radio communications systems

- Data and voice communications systems - Closed circuit television (CCTV)

- Variable Message Signs (VMS) - Digital image recorders

- Trackwork

- Supervisory control and data acquisition (SCADA) (If added in the future) - Fire protection systems, including alarm and suppression systems

•

Fixed Facilities including: the Central Control Center (CCC) at the Tech Center, stations, parking facilities, and bridges, structures, traction power substations and rail yards and shops.

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•

Safety and Security Plans, and Procedures including: the M-1 RAIL Safety and Security Certification Plan (SSCP), the M-1 RAIL System Safety Program Plan (SSPP), the M-1 RAIL Streetcar Project Management Plan (PMP), the Environmental Compliance Plans, Contractor’s Project Safety and Security Plans and Quality Assurance Plans.

•

Procedures and Instructions including: Operations and Maintenance Plans, training programs, drills, exercises, standard operating procedures (SOPs), the hazard identification and resolution procedures, threat and vulnerability identification and resolution procedures, maintenance procedures (MPs), emergency preparedness procedures, safety and security design criteria and standards, accident investigation procedures and administrative procedures, as applicable, requirements and procedures which comply with 49 CFR 659, such as the Michigan Department of Transportation (MDOT) Office of Rail, the State Oversight Agency (SOA), and the US Department of Homeland Security (DHS).

1.4 SSMP Goal

The goal for implementing the SSMP is to achieve an acceptable level of risk through a systematic approach to hazard and threat vulnerabilities management for the M-1 RAIL Streetcar Project ensuring that when accepted into revenue service it will be safe and secure for passengers, employees, public safety personnel, and the general public. It is also the goal of the SSMP to support the establishment of a proactive Construction Safety and Security Program that achieves zero accidents and security breaches during all project work activities.

1.4.1 Objectives

The objectives of the SSMP are to ensure:

 Development of an outline for an effective management process that applies to system safety and security disciplines throughout the life cycle of the project,

 Safety hazards and security vulnerabilities are identified, evaluated, resolved, and documented at the earliest possible phase of the project,

 Resolutions of restrictions to full safety and security certification,  Verify operational readiness

 Verify establishment of safety and security committees

 Appropriate codes, guidelines, standards, and industry practices are applied to the M-1 RAIL Streetcar Project and form the basis for safety and security considerations in the design criteria, drawings, specifications, and associated project documents through the safety and security certification and verification process,

 Project designs conform to safety and security design principles,

 Facilities, systems, and equipment are supplied, constructed, inspected, and tested in compliance with the design criteria and specifications,

 Implementation of construction safety and security programs in compliance with the M-1 RAIL Construction Safety Procedures and Standards and construction security

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requirements,

 Compliance with US Occupational Safety and Health Standards and State Programs as applicable, and

 Emergency preparedness and readiness for the start of revenue service is in compliance with FTA and MDOT Office of Rail requirements and Emergency Preparedness Plan.

1.4.2 Reviews and Updates

The M-1 RAIL SSMP will be reviewed at least annually, whenever the PMP or other reference documents are modified or following SSMP audits, so as to ensure safety and security aspects remain current and applicable. The SSMP will be updated to reflect changes to these documents or changes to the safety and security program when applicable during all phases of the project; and re-issued to all Plan recipients. The development, review and update process for the SSMP is the responsibility of M-1 RAIL and its Owner’s Representative (HNTB) with the oversight of the M-1 RAIL Safety and Security Officer, Roy Bryans.

2.0 INTEGRATION OF SAFETY AND SECURITY INTO PROJECT DEVELOPMENT PROCESS

2.1 Safety and Security Activities

M-1 RAIL’s Project Team consists of M-1 RAIL personnel, M-1 RAIL’s Management Team and Board of Directors, Owner’s Representative, Final Designer, Contractors and their sub-contractors (CTR).

With the participation of the Project Team and safety and security committees, the integration of safety and security into project development is effectively accomplished. Figure 2-1 illustrates how the key activities are integrated into all phases of project development.

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Figure 2·1: Safety and Security Activities Matrix SSMP Paragraph Activity Project Phase Project Develop ment Engineer ing Construc-tion

Testing & Start-up Test & Verifica tion Pre-Revenue Operations 2.1.1.1 Develop Safety and Security Policy 

2.1.1.2 Identify Existing Safety & Security Requirements for the

Acquisition Process     

2.1.1.3 Develop Safety & Security Management Plan & Update

as applicable    

2.1.1.4 Assign Safety & Security Certification Responsibilities 

2.1.1.5 Establish Safety & Security Committees     2.1.1.6 Develop Safety & Security Certification Plan & Update as

applicable    

2.1.1.7 Identify Safety & Security Certifiable Elements & Items

(CEL)    

2.1.1.8 Initiate Project Safety & Security Documentation System     2.1.1.9 Perform Preliminary Hazard Analysis & Update and

Perform Additional Hazard Analyses as applicable     2.1.1.10

Perform Threat & Vulnerability Assessment & Update and perform Additional Threat & Vulnerability Assessments as applicable

   

2.1.1.11 Prepare Design Criteria Manual to include safety and

security & Update Analyses revised as applicable     2.1.1.12 Integrate Operations & Maintenance Requirements into

the design    

2.1.1.13 Develop and verify Design Criteria Conformance

Checklists    

2.1.2.1 Implement Hazard and Vulnerability Resolution &

Tracking    

2.1.2.2 Perform Safety & Security Design Reviews     2.1.2.3

Identify Safety & Security Requirements for Test Program Plans, Integrated Tests, and Operational Readiness Reviews

 

2.1.2.4 Develop and Complete Specification Conformance

Checklists    

2.1.2.5 Develop Construction Specification, including

Construction Phase Safety and Security Requirements  2.1.3.1 Verification of Safety and Security Requirements –

Procured, Constructed, and Installed – Update CEL   2.1.3.2 Construction Site Safety and Security Audits/Inspections 

2.1.3.3 Safety & Security Review of Engineering Change Orders

and Waivers  

2.1.3.4 Issue Permits & Certificates (as applicable)    2.1.3.5 Update Operations & Maintenance Manuals, Plans,

Procedures and Training   

2.1.4.1 Systems Integration Testing 

2.1.5.1 Pre-revenue Operations 

2.1.5.2 Complete Operational Readiness Review 

2.1.5.3 Issue Final Safety & Security Certification Verification

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2.1.1 Project Development

2.1.1.1 - Develop Safety and Security Policy. The safety and security policy of the project has been developed and is stated on page one of this document.

2.1.1.2 - Identify Existing Safety & Security requirements for the Acquisition

Process. The safety and security requirements for acquisition are being developed through the Design Criteria Manual and are inherent in the final design and the Certifiable Elements List (CEL).

2.1.1.3 - Develop the SSMP and Update as Applicable. M-1 RAIL has developed Version 4 of the SSMP.

2.1.1.4 - Assign Safety and Security Certification Responsibilities. Safety and Security certification responsibilities are assigned in the initial version of the SSCP. These responsibilities will be defined further as the project progresses through the engineering phase.

2.1.1.5 - Establish Safety and Security Committees. This includes Safety and Security Certification Committee (SSCC), Safety and Security Operations Committee (SSOC), and a Fire/Life Safety and Security Committee (FLSSC).

2.1.1.6 - All safety and security committees are chaired by the Safety and Security Officer Roy Bryans. The SSCC is responsible for assuring that the proper system requirements have been established, that systems safety reviews will be performed at each stage of the project, and that sufficient documentation supports the review and resolution of identified deficiencies.

The SSOC will ensure all safety requirements and regulations for operation of the M-1 RAIL Streetcar system are met and that policies and procedures are kept up to date in order to keep the system and passengers safe. The FLSSC will coordinate between M-1 RAIL and external emergency response agencies. The SSCC and the FLSSC have been established and are operational. The SSOC will be established when a private operator is retained.

2.1.1.6 - Develop the Safety and Security Certification Plan (SSCP) and update as applicable. The SSCP provides the formal basis of understanding and agreement among all members of the project team regarding how the SSCP will be executed. It describes safety and certification management, certification processes and procedures, hazard and vulnerability management, and the certification of conformance. Currently, a draft of the SSCP has been prepared and will be updated as applicable.

2.1.1.7 - Identify Safety and Security Certifiable Elements and Items. A list of safety and security certifiable elements, CEL, has been prepared and incorporated into the SSCP. The CEL will continue to be developed for use in certifying all M-1 RAIL systems. The CEL will include all project elements that can affect the safety and security of M-1 RAIL passengers, employees, contractors, emergency responders, or the general public.

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2.1.1.8 - Initiate Project Safety and Security Documentation system. A centralized document management system has been implemented for all M-1 RAIL activities to maintain basic project configuration management. This system will implement a coordination, approval, control, and distribution process for all policies, procedures, and documents developed for the program. M-1 RAIL has acquired and implemented SharePoint secure document management software to facilitate this activity. The Owner’s Representative has been issued M-1 RAIL licenses as needed and will use SharePoint on behalf of M-1 RAIL in support of all DMS activities.

2.1.1.9 - Perform Preliminary Hazard Analyses (PHA); update and perform additional hazard analyses as applicable. PHAs are conducted to identity potential hazards that could affect the M-1 RAIL system. M-1 RAIL defines a hazard as any condition or set of conditions, internal or external to the system or system operation which, when activated, can cause injury, illness, death, or damage including loss of equipment or property, or severe environmental damage. The results of the hazards analyses are evaluated for criticality and ranked according to severity and frequency of occurrence in order to establish an initial risk index. Mitigation measures are proposed to provide a residual risk index. All identified hazards will be tracked through Project closure.

The draft general project PHA is in progress and will address the following system elements:  Guideway  UPS  OCS  Train Control  Traffic Control  Electrical/Facility Power  Traction Power  Stations  Trackwork  Vehicles

2.1.1.10 - Perform Threat and Vulnerability Assessment (TVA); update and perform additional threat analyses as applicable. M-1 RAIL defines a threat as a real or potential condition that can cause injury or death to passengers or employees, or damage to or loss of transit equipment, property, and/or facilities. Vulnerability is a measure of the susceptibility of the transit system to specific threats. The TVA examines threats to and vulnerabilities of the transit system to evaluate the risk and consequences from security threats. M-1 RAIL’s TVA process generally follows the FTA’s System Security and Emergency Preparedness Planning Guide. This process is similar to the one used for evaluating hazards in PHAs. A matrix is constructed and threats are analyzed based on likelihood of occurrence and vulnerability. The matrix allows for a qualitative categorization of threats. The threat categorization allows M-1 RAIL to ascertain countermeasures, cost impacts of mitigation, and approval levels for accepting risk.

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2.1.1.11 - Prepare Safety and Security Design Criteria; update and revise as applicable. The Design Criteria Manual (DCM) was developed for Project Development and Engineering. The DCM provides a uniform basis and framework for defining the project based on established codes, standards, and criteria applicable to streetcar systems. The DCM is intended to define requirements to direct the project designers in the various project design disciplines and ensure safety and security requirements are incorporated throughout all project design phases. The DCM is a living document and will be revised as necessary throughout the design process.

2.1.1.12 - Integrate Operations & Maintenance Requirements into the Design. M-1 RAIL has consultant personnel with streetcar operational experience that are integrated into the design development and review process. M-1 RAIL consultants have participated in hazards assessment on similar modern streetcar projects and have provided perspective on design issues throughout the design process. The M-1 RAIL Streetcar Project will continue to integrate M-M-1 RAIL operational and maintenance experience into the development of the M-1 RAIL Streetcar Project.

2.1.1.13 - Develop and verify design criteria Conformance Checklists. Checklists will be created for each certifiable element to record requirements generated from safety and security design criteria. These checklists provide a format to verify compliance with identified safety and security requirements.

2.1.2 Engineering

2.1.2.1 - Implement Hazard and Vulnerability Resolution and Tracking. Hazards and vulnerabilities will be tracked in an integrated conformance checklist as outlined in section 4.2 of the M-1 RAIL SSCP including a Preliminary Hazard Analysis (PHA) and Threat and Vulnerability Assessment (TVA). The PHA is the initial safety analysis document prepared during final design. The PHA is provided to Project contractors and will support their development of additional hazard analyses that may be required. A TVA is developed during final design and will be updated as the Project progresses. M-1 RAIL will manage the identification and resolution or mitigation of hazards and vulnerabilities as described in the PHA and TVA documents that describe the tracking of safety hazards and security vulnerabilities to closure.

2.1.2.2 - Perform Safety and Security Design Reviews. Design reviews will be performed by M-1 RAIL and the Owner’s Representative for each design package prepared by the Final Designer. Design reviews have occurred at the Preliminary (30%), Semi-final Design (70%) stages and will occur at the Final Design (100%) stage of each package to verify the project is complying with the DCM.

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2.1.2.3 - Identify Safety & Security Requirements for Test Programs Plans, Integration Tests, and Operational Readiness Reviews. Contractor and integration testing requirements will be reviewed for safety and security considerations to determine if the testing will verify safety and security design and construction requirements. M-1 RAIL will identify a minimum level of safety and security conformance that should be met, as well as the criteria used to assess this conformance. Safety/security-related test results will be documented, as appropriate, in the Specification/Design Conformance Checklist. Examination of test plans and programs will commence during the Final Design phase.

2.1.2.4 - Develop and Complete Specification/Drawing Conformance Checklists.

The specification conformance checklists will verify that all safety and security- related specification and contract document requirements are satisfied during the construction, installation, and testing phases of the project. Each certifiable element will be listed to verify that the safety and security design requirements have been incorporated into the as-built facilities and systems.

Proposed deviations from project design criteria and standards will be evaluated for impact to the safety and security of the streetcar system through the project change control and configuration management process and approved by the SSCC and Safety and Security Officer as appropriate.

2.1.2.5 - Develop Construction Specifications, including Construction Phase Safety and Security Requirements. Construction specifications will include identification of tests and verification methods necessary to ensure that the as-built configuration contains the safety and security-related requirements identified in the design criteria and other contract documents. Construction specifications will facilitate the development of documentation that verifies the delivered project meets the established safety and security requirements.

2.1.3 Construction

2.1.3.1 - Verification of Safety and Security Requirements Procured, Constructed, and Installed – Update CEL. In the construction phase of the project the following safety and security activities will be implemented:

•

Verify and document that procurement, installation, and construction comply with the design and update of the CEL using safety and security construction/installation certification checklists developed from the design phase checklists,

•

Confirm items from the CEL conform to their intended requirements after being procured and installed during the construction process.

2.1.3.2 - Construction Site Safety and Security Audits/Inspections. Conduct site inspections to verify that safety and security requirements are being addressed during construction.

2.1.3.3 - Safety & Security review of Engineering Change Orders & Waivers. The SSCC will review deviations from the approved design, workarounds, change orders, and other temporary measures.

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2.1.3.4 - Issue permits & certificates (as applicable). Temporary permits and workarounds will be issued to facilitate construction, occupancy, and testing newly constructed/installed equipment. These permits and certificates will be reviewed for safety and security impacts. The process will continue into the testing and start-up phase.

2.1.3.5 - Update Operations and Maintenance (O&M) Manuals, Plans, Procedures, and Training. The Safety and Security Operations Committee will work with the Operations Contractor to review O&M manuals, plans, and procedures for compliance with safety and security requirements. Update and integrate M-1 RAIL system requirements into the documents.

The Operations Contractor will prepare qualifications and training programs for all personnel who will operate and maintain the project in revenue service and be responsible for ensuring that its O&M training programs address the safety and security elements of plans, rules, operating procedures, emergency procedures, and manuals for the project and trainees demonstrate their understanding of the course material that is presented.

2.1.4 Systems Integration Testing

In the testing and start-up phase of the project the following safety and security activities will be implemented:

2.1.4.1 - Systems Integration Testing. Integration testing verifies the functional interface between different equipment and/or systems of the streetcar system, including those systems related to safety and security.

Through the use of the CEL, verify, document, and confirm that integration test results demonstrate compliance with safety and security requirements and substantiates safety and security design/performance criteria. The system integration test results will ensure compatibility among components, vehicles, and system elements after being tested and operated in a simulated operations environment. Update the CEL accordingly.

2.1.5 Pre-revenue Operations

2.1.5.1 - Pre-revenue Operations. Pre-revenue operations tests are those tests that require acceptance of all systems and are designed to verify the functional capability and readiness of the system as a whole. The testing ensures that all systems are functioning safely and securely prior to the system being placed into operation.

2.1.5.2 - Complete Operational Readiness Review. The Operational Readiness Review will verify that emergency training for all streetcar and public safety personnel has been completed and that emergency drills have been conducted. It will also verify that operations, maintenance, and emergency rules, procedures, and plans have been developed, reviewed, and implemented.

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2.1.5.3 - Prepare and Issue Safety Certification Report and Certificate. A safety certification report will be issued detailing the certification process, project milestones, and certification program outcomes. The report and certificate verify through appropriate documentation that a certifiable level of operational system safety and security has been achieved.

2.2 Procedures and Resources

A Project Management Plan (PMP) for the M-1 RAIL Streetcar Project has been prepared. The PMP:

•

establishes the framework for managing and administering all activities related to the implementation of the Project

•

outlines the project management processes and the M-1 RAIL Streetcar Project Team organizational structure

•

provides guidance for the coordination of activities

M-1 RAIL has developed the Safety and Security Certification Plan (SSCP) which details all of the pertinent certification steps and methodologies.

M-1 RAIL’s involvement in the safety and security management process begins during design and continues through the construction, testing, and final verification phases of the project. Implementation of the SSCP document will assure M-1 RAIL that the requirements of the SSMP are executed by the M-1 RAIL Streetcar Project Team; including but not limited to the performance of safety analyses and security assessments, if required, at the appropriate phases of the project. The implementation of a Safety and Security Certification Program from the start of the project ensures that safety issues and security concerns are addressed and tracked to resolution. To ensure that SSCP safety and security activities are performed effectively and within the requirements of the SSMP, periodic audits are performed by the SSCC and/or M-1 RAIL staff.

The ultimate responsibility for the construction project safety and security programs always remains with the M-1 RAIL. Procedures are available to the M-1 RAIL Streetcar Project Team for the protection of project information that is considered and marked as Sensitive Security Information (SSI).

The following are two categories of security information that are relevant to the M-1 RAIL Streetcar Project Team during the safety and security certification phases of the Project: 1. Critical Infrastructure Information (CII): refers to the M-1 RAIL systems and assets,

physical or computer-based, that are vital to national or regional defense and/or national or regional security. For the purposes of this policy, examples of critical infrastructures include the streetcar stations, rolling stock, and Operations computers and equipment that support the operation of the rail system.

2. Sensitive Security Information (SSI): information defined in 49 C.F.R. §1520.5, including, but not limited to, vulnerability assessments, security programs, and contingency plans, that are generated by M-1 RAIL or by a covered person under 49 C.F.R. § 1520.7, which has been, or will be, submitted to the Transportation Security

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Administration or the Secretary of Transportation.

The M-1 RAIL Streetcar Project Team will manage these processes, with the assistance of the Detroit Police Department.

2.2.1 Safety and Security Contractors

M-1 RAIL has developed the Safety and Security Certification Plan to support the new streetcar alignment. The Safety and Security Certification Program encompasses construction programs and projects that have safety or security impacts on the system. Additionally, 49 CFR Part 659 – Rail Fixed Guideway Systems, the Federal Transit Administration Circular 5800.1 and the MDOT Office of Rail, (the authority responsible for providing rail safety oversight of the M-1 RAIL Streetcar System) all require the development and implementation of a Safety and Security Certification Program for construction of the M-1 RAIL Streetcar Project.

The M-1 RAIL Owner’s Representative will provide safety and security support services as needed to M-1 RAIL’s Safety Committees and management staff. The M-1 RAIL Owner’s Representative will also provide safety and security certification technical support to the M-1 RAIL Streetcar Project Team, as required and requested by the Contracting Offices Technical Representative (COTR).

The following are potential tasks that may be required from the M-1 RAIL Owner’s Representative for Safety and Security Certification Program Support:

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Review and comment on Preliminary Hazard Analysis (PHA) conducted by the Final Designer

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Review and comment on Threat and Vulnerability Assessment (TVA) conducted by the Final Designer

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Attend and support M-1 RAIL’s SSCC as requested by the COTR

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Review and comment on the checklists developed by the Final Designer to verify that contract documents comply with design criteria, specifications, test and operational conformance procedures related to safety and security

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Monitor, review, and audit verification activities

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Maintain safety and security Open Item Lists and prepare reports

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Development of the SSCP for the M-1 RAIL

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Such other tasks as required by the COTR. 2.3 Interfaces with Management

M-1 RAIL is led by Matthew Cullen, the Chairman of the M-1 RAIL Board of Directors. Reporting to the Chairman is the Project Director, also called the Chief Executive Officer, Paul Childs. Roy Bryans is the Safety and Security Officer. Virginia Fallis is the Chief Administrative Officer. M-1 RAIL utilizes a team of an Owner’s Representative and a Final Designer to manage, design, and build the M-1 RAIL Streetcar Project.

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reports to the Owner’s Representative. For the M-1 RAIL Streetcar Project, the Owner’s Representative is HNTB. The Owner’s Representative is responsible for overall program and design discipline management while the Final Designer is responsible for performing direct design and engineering functions. M-1 RAIL’s Final Design Consultant is URS. Together, the Owner’s Representative and the Final Designer are referred to as the M-1 RAIL Streetcar Project Team. Safety and security committee relationships are shown in Figure 3-1 later in this SSMP.

Figure 2-2: M-1 RAIL Streetcar Project Organization

The M-1 RAIL Safety and Security Officer, Roy Bryans, and the Owner’s Representative are assigned the task of overall development and administration of the SSMP. Once the system is running, independent contractors will be involved to handle day to day operations and report to M-1 RAIL staff as outlined in Figure 2-3 below. System Safety will be the responsibility of the Operations Contractor who has yet to be selected. System Security will be handled by the Security Contractor with input and coordination from the Operations Contractor. Electrical Maintenance will also be handled by an independent contractor.

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Figure 2-3: M-1 RAIL Streetcar Operations Organization

In the following discussion, the Chief Operating Officer, the Owner’s Representative and the Safety and Security Officer are referred to as the M-1 RAIL Management Team. The project managers, Safety Committees, and Detroit Police support the M-1 RAIL Management Team as required. The level of assistance is dependent on the particular needs of the Management Team. The M-1 RAIL Streetcar Project Team provides the resources/consultants for the execution and oversight of the project’s safety and security activities.

2.3.1 Hierarchy of Safety and Security Communication

Safety and security issues can be raised from project personnel and contractors to subsequent higher levels of management through the following communications structure. Issues should progress up the management chain from project discipline designers and engineers to their Final Designer discipline managers. If unresolved, the issue can be referred to Owner’s Representative discipline managers. At some point, most likely after the issue has been referred to the Final Designer discipline managers, the issue may be referred to the Safety and Security Officer for resolution.

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3.0 ASSIGNMENT OF SAFETY AND SECURITY RESPONSIBILITIES 3.1 Responsibility and Authority

The Safety and Security Officer is responsible for the development and implementation of the Safety and Security Management Plans that conform to the requirements of the FTA Circular 5800.1, Safety and Security Management Guidance for Major Capital Projects. The M-1 RAIL Streetcar Project Team and contractors are tasked with the implementation of those safety and security activities within their area of responsibility. M-1 RAIL’s executive management and the Safety and Security Committees are charged with the responsibility for overseeing the M-1 RAIL Construction Project safety and security activities with the assistance of the Detroit Police as needed. The following is a summary of positions and responsibilities relative to the Project.

3.1.1 Project Director/Chief Operating Officer

The M-1 RAIL Management Team has been organized to insure the successful completion of the M-1 RAIL Streetcar Project. This Team is under the leadership of the M-1 RAIL Streetcar Project Director, Paul Childs. Mr. Childs ensures that M-1 RAIL’s resources are allocated to meet the SSMP goals and objectives, and is ultimately responsible for execution of the Safety and Security Management Plan. The Project Director is supported with personnel from the Owner’s Representative, who will act as an extension of M-1 RAIL staff.

3.1.2 Project Engineering

M-1 RAIL will manage the planning, design, and construction of the M-1 RAIL Streetcar Project through a combination of in-house M-1 RAIL staff, an Owner’s Representative, and a Final Designer as noted in Figure 2-2. The Final Designer (URS) has assigned a Project Manager, Laura Aylsworth, who will oversee and manage all aspects of the project’s design.

The M-1 RAIL Streetcar Project Director and Owner’s Representative (HNTB) Project Manager, Matt Webb, are responsible for communicating with M-1 RAIL’s senior management and with the FTA, PMOC and other stakeholders, with respect to the overall project status and activities of the M-1 RAIL Streetcar Project. They are also responsible for supervising the overall M-1 RAIL Streetcar Project activities of M-1 RAIL’s staff, Owner’s Representative, Final Designer, contractors and others working on the project implementation.

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3.1.3 M-1 RAIL Staff and Key Project Personnel

M-1 RAIL’s staff will provide a high-level guidance and direction to the Owner’s Representative Program Manager and other key individuals on issues that require consideration in the context of statewide concerns and federal matters. Descriptions of the roles of various key personnel anticipated for planning, design and construction of the M-1 RAIL Streetcar Project are provided below.

M-1 RAIL Key Staff Qualifications

Paul A. Childs, Vice President and Chief Executive Officer, M-1 RAIL

Paul serves as the Chief Operating Officer of the Downtown Detroit Partnership (DDP) and is an independent consultant whose services are supported by DTE Energy. Prior to joining DDP and M-1 RAIL, he performed numerous consulting roles to a diverse array of industries, and has significant experience in developing and managing complex, high-profile projects spanning engineering design, construction and operations of major utility generation systems in both the fossil and nuclear industries. Additionally, Childs has significant experience in multimodal transportation network design and operations, and complex technology design and implementations on a global scale.

Roy Bryans, Security and Safety Officer, M-1 RAIL

Roy serves as the Security and Safety Officer for M-1 RAIL. He will chair the SSCC, FLSSC and SSOC committees through the construction and into the operations of the system. He is responsible for overseeing the compliance with the safety requirements as outlined for the project. Roy serves as a consultant to M-1 RAIL for Utility Coordination, and general Project Management Staff duties. Prior to joining M-1 RAIL he has performed several consulting roles to a special array of industries, with significant experience in developing and managing very high profile projects spanning engineering design, construction, testing, and operations for a major utility generation system encompassing both nuclear and fossil power plants. Additionally, Roy has been key in developing a state of art nuclear scheduling module that has been adapted worldwide.

Jeni Norman, Chief Financial Officer

Jeni has more than a decade of experience in accounting, auditing and financial reporting. She worked for the Rehmann Group from 2002-2006 and 2011-2013. Most recently, as senior manager, Jeni coordinated all stages of an audit, supervised staff, identified client business risks and managed relationships for clients in a variety of industries. Jeni also performed single audits in accordance with OMB Circular A-133 for not-for-profit and governmental entities. Jeni’s administrative responsibilities included serving on the firm’s not-for-profit committee. From 2006-2011, Jeni worked in the Department of Management and Budget of Wayne County. As the Director of Accounting and Financial Reporting, she was responsible for cash management, internal controls, policies, managing staff, meeting deadlines and general financial analysis.

Sommer N. Woods, Community/Government Relations Lead

Sommer is very experienced in marketing, project management, government relations, public relations and event planning, working with such events as the PGA TOUR and Super Bowl XL. With the Super Bowl, Sommer assumed responsibility for sponsorship activation of Host Committee contracts valued at $10 million. She also oversaw a $1 million plus budget for sponsorship and fulfillment, and managed sponsorship fulfillment for the $6 million Motown Winter Blast. In 2006, Sommer founded Sommer Solution LLC, a marketing, project and event management company that has provided consulting event management

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services to the Detroit Jazz Fest, United Negro College Fund –Michigan Area Office, Comcast and the NCAA.

Matthew P. Cullen, President & CEO

Matthew has extensive experience in revitalizing major cities, working as president and CEO of Rock Ventures LLC, which helps spark development within Detroit, and president and COO of Rock Gaming LLC, a gaming partnership developing first class casinos in Cincinnati and Cleveland and creating jobs. Matthew is also a 29 year veteran of General Motors (GM) and was chief architect of GM’s $500 million acquisition and development of the Renaissance Center. In addition, Cullen is also the chairmen of Invest Detroit and founding chairman of the Detroit RiverFront Conservancy, both organizations whose goal is to revive Detroit.

Owner’s Representative Key Staff Qualifications Matt Webb, AICP, Project Manager

Matt is a senior project manager with 16 years of experience in the transportation planning field. He has experience working at the state and local government levels and also the private sector. During that time, Matt managed and delivered more than $20 million worth of early preliminary engineering and transportation planning study work.

Rick Gustafson, Streetcar Delivery Advisor (SOJ)

Rick has extensive transportation project experience, including participation in initial streetcar feasibility studies as early as 1990. He has served as the chief operating officer for the Portland streetcar operation since its opening in 2001, and has also served as executive director since 2006. Rick has led numerous projects for streetcar development, including new expansions for the Portland system, vehicle manufacturing, feasibility studies, and operational plans for numerous cities. He was a key political leader in supporting the first light rail in Portland, which has proven to be very successful, and this experience has provided him with an understanding of how to best identify and minimize risks.

Roger Hendrickson, CCC, MRICS, PSP, Project Controls Lead

Roger understands every detailed facet of the M-1 RAIL Streetcar Project and has delivered accurate cost estimating on it and similar projects throughout the U.S. He has planned, directed and coordinated these activities for projects and made sure claims, goals and objectives were accomplished in accordance with outlined priorities, time limitations, and funding conditions. Additionally, Roger has been responsible for coordinating the successful, simultaneous development of several projects; negotiated and wrote contracts that met quality and standards; and reviewed project reports and schedule status at each phase.

Ashley Booth, Systems & Tech Center Design Oversight

Ashley brings experience from serving as the deputy project manager on the Milwaukee Streetcar project since 2007. With eleven years of experience, Ashley understands how proactive and effective transit and transportation stakeholder communication creates a smooth-running project. He will combine his planning expertise with his history on the Milwaukee Streetcar to develop ways to minimize impacts during construction while laying the foundation for strong ridership during startup and operations.

Matt Simon, PE, Civil Design Oversight

Matt has more than 22 years of experience completing complex urban design and design-build (DB) projects. His in-depth understanding of delivering projects is proven through his leadership role on the design of the Ambassador Gateway in Michigan and I-95 Express

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and I-495 HOT Lanes in Virginia. These projects required multi-agency coordination, multidiscipline design, and extensive public information on maintenance of traffic and access during construction.

Tony Migaldi, Utility Coordination Lead

Tony brings 20 years of experience at both the state and local levels in roadway design, DB procurement, and stakeholder engagements, as well as project coordination and management. Additionally, he has more than 10 years of experience working for MDOT in capacities such as lead design engineer, utility and drainage engineer, and project manager. As acting utility and drainage engineer for MDOT Jackson TSC, Tony was responsible for utility project coordination, subsurface utility engineering coordination and municipal coordination, including betterments and utility relocation. As a project manager, Tony is responsible for leading project coordination and management, including task leads and subconsultants.

Victor Frendo, Construction Oversight

Victor brings more than 28 years of experience in inspection management in southeast Michigan. He oversees the construction of major, high-impact highways, bridges and allied transportation facilities and manages and trains personnel. Victor has knowledge of AASHTO and MDOT standards and procedures and has successfully completed and passed NACE sessions I and II. Most of his experience comes directly from serving state and municipal clients on road, bridge, sewer and water main projects.

Peter Kinney, PE, Roadway QA Oversight

Peter brings 24 years of experience in the design and management of roadway engineering projects. He has managed projects ranging from urban arterial rehabilitations to major urban freeway reconstructions, all of which have involved coordinating the resolution of municipal and private utility impacts. Peter is the Michigan office operations manager and quality assurance manager.

James Brenden, PE, Track QA Oversight

With 40 years of experience in track, roadway and civil engineering design, Jim has been responsible for preliminary and final design and preparation of plans, specifications and cost estimates for a variety of projects. He has been involved in almost every BNSF commuter rail and capacity improvement project designed and constructed by HNTB for the past 13 years, bringing proven BNSF project successes, trusted relationships and extensive experience managing design while incorporating elements of construction management requirements. Jim also has experience with environmental impact assessments; horizontal and vertical alignments; geometric and safety designs; right-of-way identifications; grading, drainage and utility designs; and public involvement programs.

Curt Sohn, PSP, PMP, Budget Controls

Curt is a cost and scheduling project manager with 17 years of project management experience. He has developed engineer’s estimates, performed cost studies, and created/managed schedules for multiple transportation and public works projects. Curt was the lead estimator and project controls manager for the $959.9 million, 11-mile central corridor light-rail transit line in St. Paul, MN, who developed detailed (bottoms up) cost estimates for all levels from conceptual estimates through engineer’s estimates and change orders. He also performed quantity takeoffs and communicated with material suppliers and subcontractors to maintain current cost data, and worked with the owner’s staff to identify criteria for alternative analysis estimates. Curt was also the estimator who prepared a preliminary engineering estimate for the M-1 RAIL Streetcar Project in Detroit, MI, which

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included rail installation, utility modifications, overhead contact system, traction power, street restoration and a maintenance facility.

Dr. Audrey Andrews, Title VI/DBE Compliance

Dr. Audrey Andrews serves as the Director of Business Diversity and Development for HNTB, which oversees disadvantaged, minority and women-owned businesses partnering on HNTB contracts. In this position, she monitors D/M/WBE goal compliance, manages subconsultant training and development programs, and plans activities to engage and foster business relationships. With over 20 years of experience managing community, business-to-business (B2B) and transportation programs, Dr. Andrews’ background in business and project management, training, and leadership development provides a unique opportunity to support the cohesion, partnering and relationship building of HNTB’s teams.

Cindy Rood, CEP, Schedule Control

Cindy has 30 years of experience with proven results in contract management of federal, state, municipal and private projects, including scheduling, purchasing, estimating, negotiating and value analysis. She is experienced in developing and guiding estimating processes and preparing independent cost estimates and alternative construction cost studies, and understands how to garner change management and schedule adherence during the construction process. Cindy is also proficient in multiple software platforms such as Primavera and Microsoft Project, Niche Bid2win, HCSS, Viewpoint Accounting, Paydirt, Agtek, Timberline

and OST 3.

Paul Ashworth, AIA, NCARB, Tech Center Architectural Review Lead

Paul has more than 18 years of experience in building design, documentation, and construction. His expertise in design and project management provides the vision to anticipate potential challenges and implement preemptive corrective action that results in savings of time and money. Design-build projects have been a key point in his experience, enabling him to minimize the project risk for an owner and reduce the delivery schedule and overall costs. Paul was the architectural project manager for the design of the 84-mile high-speed rail project from Tampa to Orlando that included five stations totaling more than 850,000 square feet, as well as 300,000 square feet of maintenance shops and administration facilities.

Paul White, OCS Review Lead

Paul is a catenary engineer and systems designer with 32 years of experience in the transit industry. He has designed, built and maintained catenary, third rail, cable, conduit and related systems, as well as designed and patented devices related to overhead contact lines. His tenure at the Massachusetts Bay Transportation Authority (MBTA) included the responsibility of design, operation, and maintenance of the overhead and underground power system. This experience has provided Paul with a practical perspective for the design of OCS systems that are simple, reliable and maintainable. Paul was the OCS designer for the advanced preliminary engineering phase of the M-1 RAIL Streetcar Project, and in this role was responsible for laying out poles and overhead contact system. Paul also developed an ultralow clearance overhead system passing under Amtrak railroad bridges, allowing streetcar pantographs to operate under adverse conditions. He also assisted the design team with design of ornamental streetlight poles for suspending the overhead system.

Al Greig, PE, LEED®AP, TPSS (Traction Power Substation) Review

Al brings 40 years of experience in the planning, design, and construction of significant projects in both the public and private sector. His responsibilities include design of electric traction systems for both heavy and light rail projects. Al has worked in the area of traction

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power design and project management for 17 years, where he has been responsible for overall design of all aspects of the traction power system furnishing power for rapid transit operations, including substations, power conversion equipment, contact rail, duct lines, distribution cables, supervisory control and corrosion mitigation equipment.

Tim Keefe, Road & Track/Station & Platform Review Lead

Tim is a transportation design engineer with a background in the planning, design and construction of rural and urban transportation facilities. He has prepared plans, estimates, quantity computations and special provisions, and is experienced in PS&E delivery as well as in the use of MicroStation and InRoads software for automated design. Tim was the lead track design engineer responsible for developing 30% plans for the Milwaukee Streetcar project, where design efforts included track horizontal and vertical alignment and pavement structure and cross-section design, and urban civil and roadway design.

Mark Gentile, PE, Road & Track Review Lead

Mark has more than 15 years of experience in geometric design and preparation of roadway design and right-of way plans. He assists project team members with a variety of CAD tasks (overall plan production) and provides project team coordination. Mark has experience using MicroStation, InRoads, GEOPAK and SignCad, and is knowledgeable in both AASHTO and MDOT standards and procedures. .

Tony Shkurti, PhD, SE, PE, Structure Review Lead

Tony is a nationally recognized authority in structural engineering and provides senior-level technical expertise on projects with unique and complex problems. As an experienced problem solver, Tony provides solutions in many areas of functions that are beyond the scope of standard procedures. He has led design teams from conceptual design through final plan delivery on projects involving design of precast segmental and cast-in-place post-tensioned concrete bridges as well as steel plate girder bridges with unique/complex framing layout. Tony is one of the top modelers in the firm and has prepared some of the most complex and refined models. His research includes seismic retrofit of bridge substructures, redundancy of bridge superstructures, bracing systems, fatigue and fracture behavior of steel bridges, infrastructure security risk assessment and mitigation, and vehicular impact analysis.

Karianne Steffen, PE, PTOE, MOT Review Lead

Karianne has 10 years of transportation experience, including developing plans and specifications for signal optimizations, maintaining traffic, traffic signals, pavement markings, signing and ITS design. She has also prepared numerous traffic reports, including traffic operations, warrant analysis, traffic impact studies and geometric improvement studies. Karianne is proficient in MicroStation V8, Synchro 7.0, PC-Travel, HCS+ and AutoTurn.

Pat Johnson, PE, Signals Review Lead

Pat brings 18 years of experience as a project manager and project engineer for the development of plans and specifications for traffic maintenance, traffic signals, pavement markings and traffic signing projects. In addition designing more than 700 traffic signals, Pat has also investigated transportation systems, identified capacity deficiencies, trip distribution and traffic assignments, and performed circulation studies. Pat has strong technical skills in traffic signal design, ITS design, traffic operations, warrant analysis, signing and marking plans, maintenance of traffic plans, ADA ramp design and traffic impact studies. He is proficient in

M-1 RAIL SAFETY AND SECURITY MANAGEMENT PLAN. Version 4, November 2014