Internal Safety Audit Criteria MASTER LIST OF PROGRAM ELEMENTS

1.POLICY STATEMENT & AUTHORITY

1.1 Plan approved and policy statement signed by current

CEO/President/GM/Board 1.2 Authority and responsibility established and identified for implementing the

system safety program 1.3 Authorizing and implementing legislation cited and compliance stated 1.4 Safety Policy clearly stated and disseminated to all employees

2. DESCRIPTION OF PURPOSE

2.1 Appropriate System Safety terms defined 3. GOALS

3.1 Goals are clearly stated and relate specifically to the transit agency 3.2 Goals are long-term, meaningful and attainable

4. OBJECTIVES

4.1Transit agency’s safety objectives are quantifiable and achievable 4.2 Policies are in place for implementing the objectives 4.3 Objectives are long-term and endorsed by management

5. SYSTEM DESCRIPTION/ORGANIZATIONAL STRUCTURE

5.1 System description: 5.1.1 History and scope of service included in Plan

5.1.1.1 Service area (Routes & Lines) 5.1.1.2 Equipment (Trains/cars/buses/maintenance) 5.1.1.3 Energy Sources (Power/fuels) 5.1.1.4 Public Facilities (Stations, stops and shelters) 5.1.1.5 Maintenance facilities 5.1.1.6 Command and Control Systems (Train

Protection/Emergency Provisions/communication & dispatch)

5.1.2 Organizational structure is specified with titles of key staff and their responsibilities. Safety department personnel identified.

5.1.3 Safety department relationship to other departments clearly outlined and its authority recognized

6. PLAN CONTROL & MODIFICATION

6.1 Policy for regular reviews of Safety Plan established and implemented 6.2 SOPs established for updates, changes and modifications to Plan 6.3 SOPs for sign-offs on updates, changes and modifications, to include top

management, established 6.4 Safety Critical Support Documents reviewed and changes, modifications

and updates established and controlled 7. HAZARD IDENTIFICATION & RESOLUTION

7.1 SOPs established for identification, analysis and resolution of hazards 7.2 Data collected from Hazard Identification & Resolution Process 7.3 Method established to track and resolve open hazard issues 7.4 Coordination with Accident investigation established, including post-

accident hazard assessments and root cause analysis. 8. ACCIDENT/INCIDENT REPORTING & INVESTIGATION

8.1 Accident prevention training program and ongoing activities established 8.2 SOPs established for Accident/Incident Process 8.3 Criteria clearly established for conducting investigation 8.4 SOPs for different types of accident investigations established 8.5 Internal and external notification procedures established 8.6 Reports generated, prepared and signed off 8.7 SOPs for corrective actions established, where applicable 8.8 Documentation of corrective actions to closure 8.9 Coordination with risk management for generation of statistical records

9. INTERNAL AUDIT PROGRAM

9.1 Responsibility assigned for regularly scheduled audits of all departments’ safety compliance with all elements of the SSPP as applicable

9.2 SOPs established for audit procedures and audits scheduled and performed in a timely manner

9.3 Checklists generated for each department/audit 9.4 Audit program explained and checklist disseminated to all departments and

employee input established for internal audit program 9.5 Document control established for internal audit program, to include

recommendations and follow-ups 9.6 Internal audit program coordination with System Safety Program Plan

review

10. FACILITIES INSPECTIONS & MAINTENANCE

10.1 Facilities inspections conducted on a regularly scheduled basis 10.2 Maintenance Facilities Inspection Reports generated and tracked,

including work orders and recommendations 10.3 Checklist established for facilities inspections

10.3.1 Security Equipment, to include Emergency Phones/Communications & Video Surveillance

10.3.2 Elevators – work orders include items; safety-critical equipment; track failure

10.3.3 Escalators – work orders include items; safety-critical equipment; track failure

10.3.4 Evacuation Procedures – plan for each facility; evacuation procedures posted

10.3.5 Emergency generators and storage batteries 10.3.6 Ventilation/exhaust fans 10.3.7 Fire Equipment

10.3.7.1 Standpipe and hose system 10.3.7.2 Sprinkler system 10.3.7.3 Pumps 10.3.7.4 Deluge system test 10.3.7.5 Hydrants 10.3.7.6 Halon systems 10.3.7.7 Extinguishers 10.3.7.8 Emergency lighting and signage 10.3.7.9 Emergency exits/fire doors and door alarms 10.3.7.10 Stairways and walkways 10.3.7.11 Fire detection and alarm system 10.3.7.12 Fire cabinets 10.3.7.13 Ventilation/exhaust fans 10.3.7.14 Alarm testing procedure and frequency

10.4 Participation in safety certification process 10.5 Deficiency reporting procedures/training 10.6 Safety-critical deficiencies identified 10.7 Facilities inspection reports generated and tracked, including work orders

and recommendations 11. MAINTENANCE INSPECTIONS

11.1 Inspections of maintenance shops and equipment performed on a regularly scheduled basis

11.2 Equipment Inspection Reports and work orders generated and tracked

11.3 Equipment, part and procedure failure trend analysis 11.4 Maintenance rules and procedures established and available at all

times to maintenance personnel 11.5 SOPs and standards established:

11.5.1 Testing of repaired equipment; QA, QI 11.5.2 SOPs established for work –arounds 11.5.3 SOPs for equipment failure on the mainline (equipment recovery) 11.5.4 SOPs established for prioritization of critical repairs – PM deferment

11.6 Supervisor spot checks performed and documented 11.7 Car/rail equipment shops

11.7.1 Rail vehicles 11.7.1.1 Wheels 11.7.1.2 Brakes 11.7.1.3 Safety Equipment 11.7.1.4 Emergency Exits 11.7.1.5 Emergency Procedures/Fire Equipment 11.7.1.6 Doors 11.7.1.7 Electrical 11.7.1.8 Public Address/Communications Equipment 11.7.1.9 Propulsion 11.7.1.10 Train/Wayside Control 11.7.1.11 Hotel power

11.7.2 Hy-rail Vehicles 11.8 Repair shops 11.9 Wayside shops 11.10Paint and Body Shops 11.11Forklift, cranes and other non-rail vehicles 11.12OSHA compliance 11.13Electrical Equipment 11.14Welding 11.15Fire Safety Equipment 11.16Hazardous materials 11.17Evacuation Procedures 11.18Housekeeping 11.19Yard control SOPs established and verified 11.20Computerized Maintenance systems and document control, scheduling/tracking 11.21Inventory control – shelf life and safety-critical items list 11.22Checklist for all Equipment Inspections established and preventive maintenance procedures/SOPs 11.23Tracks

11.23.1Track geometry and condition 11.23.2 Rail Profiling/Special trackwork 11.23.3 Track fasteners 11.23.4 Track/ROW cleanliness

11.24Signals

11.25Power 11.25.1High voltage power & OCS system 11.25.2Substation Protection 11.25.3Substation Emergency Trip & Alarms 11.26 Engineering support and coordination established 11.27 Coordination with Safety Department and Procurement established

12 OPERATION RULES & PROCEDURES 12.1Operations/Transportation rules and procedures current 12.1SOPs established for distribution of bulletins and updates 12.2Transportation rules and procedures available at all times to operators,

dispatchers, supervisors 12.3Controller rules and procedures established and available to dispatchers,

supervisors 12.4 Rules reviews, changes and updates 12.5Management trained in operational and safety rules and procedures 12.6Equipment modification safety rules and procedures established 12.7Inspection, trouble shooting procedures for Vehicles and Equipment 12.8Non-revenue vehicle testing SOPs established and implemented 12.9Rule of the day/week 12.10 Efficiency Testing or Field inspections/spot checks 12.11 SOPs for communications failures, partial or total 12.12 Contingency plan established for system-wide communications failure 12.13 On-time performance checks and trend analysis 12.14 Employee training, qualification and requalification on rules and procedures 12.15 Dispatcher training, qualification/requalification 12.16 Supervisor training, qualification/requalification 12.17 Records and signoffs 12.18 Interdepartmental coordination for training program review 12.19 Other railroad/bus operations 13 TRAINING & CERTIFICATION 13.1Safety rules and procedures

13.1.1Safety requirements established, reviewed on a regular basis and updated when necessary 13.1.2 Safety handbook/Accident Prevention 13.1.3 Blue flag 13.1.4 Car wash

13.1.5 High voltage 13.1.6 ROW/Track 13.1.7 Yard control 13.1.8 Scaffolding 13.1.9 Forklifts 13.1.10 Crane/Rigging/Strapping 13.1.11 OSHA/PPE/Confined spaces 13.1.12 PM Criticality/Deferment 13.1.13 Vital Relays-Wayside 13.1.14 Vital Relays-Carborne 13.1.15 Close Clearances Structures/Facilities 13.1.16 Bridges/Tunnels 13.1.17 Hand Tools 13.1.18 Power Tools 13.1.19 Non-revenue vehicles 13.1.20 Motor vehicle safety 13.1.21 Stations 13.1.22 Hazmat 13.1.23 Bloodborne pathogens 13.1.24 Noise 13.1.25 Personal Protective Equipment 13.1.26 Specialized Equipment - Wheel press/true/bore 13.1.27 First Aid Responder

13.2 Pass/fail criteria for testing established, reviewed on a regular basis and updated when necessary

13.3 Training/retraining standards established, reviewed on a regular basis and updated when necessary

13.3.1 Training programs established with lesson plans, learning objectives, and outline

13.4 Training evaluated on an ongoing basis for effectiveness, relevance and Comprehensiveness

13.5 OJT documented 13.6 Documentation maintained for external/contractor/vendor safety training 13.7 Safety training records current and maintained 13.8 Coordination with area emergency responders 13.9 Initial and refresher training programs developed, with lesson plans 13.10 Safety testing for rules and procedures 13.11 Certification training pass/fail criteria developed 13.12 Safety reviews of transportation safety training and certification

conducted on a regularly scheduled basis and SOPs implemented for lesson plan review sign-off process

13.13 Safety reviews of maintenance safety training and certification conducted on a regularly scheduled basis and SOPs implemented for lesson plan review sign-off process

13.14 Coordination with maintenance management, engineering, transportation and procurement

14 EMERGENCY RESPONSE PLANNING, COORDINATION, & TRAINING

14.1 Emergency drills scheduled on a regular basis 14.2 Coordination with security/transit police 14.3 Coordination with outside agencies

14.3.1 Fire/rescue units 14.3.2 Hospitals 14.3.3 Police

14.3.4 Hazmat/Environmental Agencies 14.4 Media relations/information control 14.5 Documentation of drills, critiques and recommendations maintained. 14.6 Emergency procedures reviewed by Safety on a regular basis 14.7 Procedure revisions and updates incorporated into evacuation procedures and SOPs developed for sign-offs and distribution

15 SYSTEM MODIFICATION REVIEW/APPROVAL 15.1 SOPs and certification program in place to determine operational

readiness of new systems, extensions, equipment and facilities 15.2 Document coordination between engineering, procurement, and

operations (transportation and maintenance) 15.3 SOPs or design criteria established with sign-offs and document control

15.3.1 Safety-Critical Engineering standards established for: 15.3.1.1 Elimination of hazards 15.3.1.2 Safety analysis 15.3.1.3 Control of design changes 15.3.1.4 Part replacement 15.3.1.5 Design and specification reviews 15.3.1.6 Equipment testing and work-arounds 15.3.1.7 Monitoring work-arounds and change orders in place 15.3.1.8 Corrosion control/electrolysis 15.3.1.9 Vendor training program and user manuals qualification

15.4 Safety and configuration control review for safety-critical engineering 16 SAFETY DATA & REPORTING

16.3 Accident/Incident data collection 16.3.1 Passengers 16.3.2 Employees 16.3.3 Contractors 16.3.4 Public

16.4 Safety statistics, internal and external 16.5 Failure trends/analysis

16.6 Regulatory reports 16.7 Safety hazard reports 16.8 Documentation of recommendations/corrective actions from data

analysis from all departments 17 INTERDEPARTMENT/INTERAGENCY COORDINATION

17.1 Establishment of communication interface between management and Staff

17.2 Safety committees, boards and task forces established as necessary 17.3 Emergency and hazard control planning 17.4 Fire Life Safety coordinating committee established

18 CONFIGURATION MANAGEMENT

18.1 SOPs for design modification review and approval established and implemented

18.2 SOPs for rail equipment configuration change reviews and approval established and implemented

18.3 As-built drawings complete and available to staff, to include contractors, and updated when necessary

18.4 Change control established 18.5 Design control established 18.6 Implementation schedules developed and implemented 18.7 Safety spot checks of equipment to verify configuration control 18.8 Safety coordination with configuration control 18.9 Document control and records management established 18.10Coordination with transportation department on updates and changes

19 EMPLOYEE SAFETY PROGRAMS

19.1 Right-to-know program in place and training program developed and implemented for RTK

19.2 Employee accident information, reporting and analysis process in place 19.3 Industrial hygiene survey program developed and implemented, and

workplace hazard analysis program in place 19.4 Environmental protection program in place, and regular inspections

scheduled 19.5 Programs to prevent occupational hazards in place 19.6 Hazard communications program in place, to include High Tension/

Equipment safety awareness training – “Employee Safety Clearance” Program

19.7 Proper protective equipment available, training provided and spot checks performed to ensure quality control

19.8 Safe entry into confined spaces 19.9 Programs in place to ensure employee communication of safety concerns

19.10Employee safety document control established 19.11Employee safety incident data analysis, including cost of incidents

20 HAZARDOUS MATERIALS PROGRAMS

20.1 MSDS on file and available for all materials on property 20.2 Safety department involved in selection, approval and procurement of

hazmats 20.3 Proper storage of hazmats ensured 20.4 Hazmat safety training provided; safety involvement in training programs

documented 20.5 Safety involved in waste management program 20.6 Hazmat spill equipment and training provided 20.7 Coordination with outside agencies 20.8 Ergonomics/human factors 20.9 Protective equipment training provided 20.10Emergency programs established 20.11Hazmat transportation issues addressed 20.12Supervisor spot checks conducted to ensure quality control 20.13Workplace environmental/air quality analysis performed to establish

hazard potential 21 DRUG, ALCOHOL OR FIT FOR DUTY PROGRAMS

21.1 EAP established 21.2 D & A policy clearly stated and disseminated 21.3 Safety-sensitive positions clearly identified 21.4 D & A testing SOPs established as required

21.4.1 Pre-employment 21.4.2 Post-accident 21.4.3 Reasonable Suspicion 21.4.4 Discretionary 21.4.5 Random

21.5 Notification SOPs established and supervisory personnel trained 21.6 Testing and training records control established 21.7 Sanctions 21.8 Programs in place to address employee concerns regarding substance

abuse concerns 21.9 Fatigue Awareness program 21.10 Medical qualifications

21.10.1 Regulatory 21.10.2 Staff required to receive physicals 21.10.3 Recordkeeping 21.10.4 Medical facilities 21.10.5 Referrals/counseling

21.11Contractor/Vendor D&A survellance program in place 21.11.1 Contract documents identify D&A requirements

21.11.2 Program audits established 21.11.3 Documentation of audits complete and comprehensive

22 CONTRACTOR SAFETY

22.1 Safety coordination in contractor process from RFP to notice to proceed 22.1.1 Contractor submits safety policies for review 22.1.2 Railroad safety procedures developed for contractor operations 22.1.3 Construction safety manual available for contractors 22.1.4 Safety coordination with Contractor safety officer established for

training and awareness 22.1.5 Hazmat/environmental policies included in procedures 22.1.6 Work-around procedures included 22.1.7 Emergency procedures and training included

22.2 Safety department conducts both scheduled site assessment and spot checks for contractor compliance with safety programs and regulations

22.3 Documentation maintained for audits and inspections 23 PROCUREMENT

23.1 First Article inspections and acceptance checklists for vehicles, facilities and equipment 23.2 Procurement control SOPs established – QA checks done 23.3 QA checks of in-house overhauls and repairs 23.4 QA checks of contracted overhauls, maintenance and repair 23.5 On-site inspections conducted

23.5.1 Construction sites 23.5.2 Vendors and contractors

23.6 Schedules and SOPs established for inspections 23.7 QA reports generated and document control established, including sign-

offs 23.8 Corrective actions documented 23.9 Safety involvement with purchases of hazmats, personal protective

equipment 23.10 Safety involvement with waste management contracts from RFP to

notice to proceed 23.11 End user safety evaluation and approval process 23.12 OEM/aftermarket/equipment fabrication SOP requires safety review 23.13 Safety department monitoring of suppliers’ quality/safety

compliance 23.14 Shelf life/safety-critical items list 23.15 QA

24 SECURITY

24.1 Security plan established

24.2 Personal safety awareness/education programs for passengers and employees

24.3 Security committee and task force established as needed 24.4 System security responsibilities and duties established 24.5 Facility security equipment regularly inspected and maintained, including

personal equipment issued to security personnel 24.6 Track safety/trespasser programs established

24.6.1 Security equipment installed, inspected and maintained to monitor trespass activities

24.6.2 Safety and security coordination on trespass issues 24.6.3 SOPs for trespass violations 24.6.4 Sanctions and follow-up by transit agency 24.6.5 Trespass awareness programs, including education and signage 24.6.6 Data collection established for trespass incidents, analysis performed

and recommendations made, document control established, including follow-ups

24.7 Contingency SOPs developed and drills conducted for extraordinary circumstances

24.7.1 Terrorism 24.7.2 Riot/Domestic Unrest 24.7.3 Catastrophic natural events 24.7.4 System-wide communications failure

24.8 Coordination of safety department with security 24.9 Interface with external agencies, including state and local police and

federal agencies, mutual aid, MOUs or interagency agreements 24.10Coordination with engineering for facilities construction/redesign and for security enhancement projects 24.11Transportation coordination with security; communications established and joint procedures and SOPs established 24.12Security reports, incidents and data collected, reports generated with recommendations and follow-ups documented 24.13Security SOPs reviewed on a regular basis and updates made as needed to security plan 24.14Threat Vulnerability analysis conducted and periodically reviewed 24.15Internal process for security screening of new hire and transfer personnel 24.16Process for security screening and training of security sensitive personnel 24.17Security training for designated employee groups 24.18Security programs established for community outreach

25 SHARED CORRIDOR OPERATIONS

25.1 Coordination and communications SOPs established for joint freight operations

25.2 Audits and field checks scheduled and completed as necessary 25.3 Passenger safety awareness established for freight operators

26 GRADE CROSSINGS & PEDESTRIAN SAFETY

26.1 Signal/equipment compliance 26.2 Signal/equipment inspections and maintenance

26.2.1 Checklists established 26.2.2 Inspections and maintenance scheduled regularly 26.2.3 Document control established for inspection and maintenance records

26.3 Grade crossing task force established as needed 26.4 Safety and security coordination on grade crossing issues 26.5 Interface with state and local agencies on roadway issues 26.6 Grade crossing accident/incident data collected and analyzed, reports

generated and recommendations made, and document control established, including follow-ups.

26.7 Grade crossing awareness program established for public 26.8 Conduct on-site audits of grade crossings