Header:
TEXAS ADMINISTRATIVE CODE
TITLE 43. TRANSPORTATION
PART 1. TEXAS DEPARTMENT OF TRANSPORTATION
CHAPTER 31. PUBLIC TRANSPORTATION
SUBCHAPTER F. RAIL FIXED GUIDEWAY SYSTEM STATE SAFETY OVERSIGHT PROGRAM
Date:
08/31/2009
Document:
43 TAC § 31.61 (2011)
§ 31.61. Rail Transit Agency Responsibilities
(a) System safety program plan. The rail transit agency shall develop and implement a written system safety program plan that complies with the requirements of this section. The system safety plan shall include, at a minimum, the following documents.
(1) A policy statement signed by the agency's chief executive that endorses the safety program and describes the authority that establishes the system safety program plan.
(2) A clear definition of the goals and objectives for the safety program and stated management responsibilities to ensure they are achieved.
(3) An overview of the management structure of the rail transit agency, including:
(A) an organization chart;
(B) a description of how the safety function is integrated into the rest of the rail transit organization; and
(C) clear identification of the lines of authority used by the rail transit agency to manage safety issues.
(4) The process used to control changes to the system safety program plan, including:
(A) specifying an annual assessment of whether the system safety program plan should be updated; and
(B) required coordination with the department, including timeframes for submission, revision, and approval.
(5) A description of the specific activities required to implement the system safety program, including:
(A) tasks to be performed by the rail transit safety function, by position and management accountability, specified in matrices and/or narrative format; and
(B) safety-related tasks to be performed by other rail transit departments, by position and management accountability, specified in matrices and/or narrative format.
(6) A description of the process used by the rail transit agency to implement its hazard management program, including activities for:
(A) hazard identification;
(B) hazard investigation, evaluation and analysis;
(C) hazard control and elimination;
(D) hazard tracking; and
(E) requirements for on-going reporting to the department relating to hazard management activities and status.
(7) A description of the process used by the rail transit agency to ensure that safety concerns are addressed in modifications to existing systems, vehicles, and equipment, which do not require formal safety certification but which may have safety impacts.
(8) A description of the safety certification process required by the rail transit agency to ensure that safety concerns and hazards are adequately addressed prior to the initiation of passenger operations for new starts and subsequent major projects to extend, rehabilitate, or modify an existing system, or to replace vehicles and equipment.
(9) A description of the process used to collect, maintain, analyze, and distribute safety data, to ensure that the safety function within the rail transit organization receives the necessary information to support implementation of the system safety program.
(10) A description of the process used by the rail transit agency to perform accident notification, investigation and reporting, including:
(A) notification thresholds for internal and external organizations;
(B) accident investigation process and references to procedures;
(C) the process used to develop, implement, and track corrective actions that address investigation findings;
(D) reporting to internal and external organizations; and
(E) coordination with the department.
(11) A description of the process used by the rail transit agency to develop an approved, coordinated schedule for all emergency management program activities, which include:
(A) meetings with external agencies;
(B) emergency planning responsibilities and requirements;
(C) process used to evaluate emergency preparedness, such as annual emergency field exercises;
(D) after action reports and implementation of findings;
(E) revision and distribution of emergency response procedures;
(F) familiarization training for public safety organizations; and
(G) employee training.
(12) A description of the process used by the rail transit agency to ensure that planned and scheduled internal safety reviews are performed to evaluate compliance with the system safety program plan, including:
(A) identification of departments and functions subject to review;
(B) responsibility for scheduling reviews;
(C) process for conducting reviews, including the development of checklists and procedures and the issuing of findings;
(D) review of reporting requirements;
(E) tracking the status of implemented recommendations; and
(F) coordination with the department.
(13) A description of the process used by the rail transit agency to develop, maintain, and ensure compliance with rules and procedures having a safety impact, including:
(A) identification of operating and maintenance rules and procedures subject to review;
(B) techniques used to assess the implementation of operating and maintenance rules and procedures by employees, such as performance testing;
(C) techniques used to assess the effectiveness of supervision relating to the implementation of operating and maintenance rules; and
(D) process for documenting results and incorporating them into the hazard management program.
(14) A description of the process used for facilities and equipment safety inspections, including:
(A) identification of the facilities and equipment subject to regular safety related inspection and testing;
(B) techniques used to conduct inspections and testing;
(C) inspection schedules and procedures; and
(D) description of how results are entered into the hazard management process.
(15) A description of the maintenance audits and inspections program, including identification of the affected facilities and equipment, maintenance cycles, documentation required, and the process for integrating identified problems into the hazard management process.
(16) A description of the training and certification program for employees and contractors, including:
(A) categories of safety-related work requiring training and certification;
(B) a description of the training and certification program for employees and contractors in safety-related positions;
(C) process used to maintain and access employee and contractor training records; and
(D) process used to assess compliance with training and certification requirements.
(17) A description of the configuration management control process, including:
(A) the authority to make configuration changes;
(B) process for making changes; and
(C) assurances necessary for formally notifying all involved departments.
(18) A description of the safety program for employees and contractors that incorporates the applicable local, state, and federal requirements, including:
(A) safety requirements that employees and contractors must follow when working on, or in close proximity to, rail transit agency property; and
(B) processes for ensuring the employees and contractors know and follow the requirements.
(19) A description of the hazardous materials program, including the process used to ensure knowledge of and compliance with program requirements.
(20) A description of the drug and alcohol program and the process used to ensure knowledge of and compliance with program requirements; and
(21) A description of the measures, controls, and assurances in place to ensure that safety principles, requirements, and representatives are included in the rail transit agency's procurement process.
(b) System security plan.
(1) The rail transit agency shall implement a system security plan that, at a minimum, complies with requirements in this subsection. The system security plan must be developed and maintained as a separate document and may not be part of the rail transit agency's system safety program plan.
(2) The system security plan must, at a minimum address the following:
(A) identify the policies, goals, and objectives for the security program endorsed by the agency's chief executive;
(B) document the rail transit agency's process for managing threats and vulnerabilities during operations, and for major projects, extensions, new vehicles and equipment, including integration with the safety certification process;
(C) identify controls in place that address the personal security of passengers and employees;
(D) document the rail transit agency's process for conducting internal security reviews to evaluate compliance and measure the effectiveness of the system security plan; and
(E) document the rail transit agency's process for making its system security plan and accompanying procedures available to the department for review and approval.
(c) Annual reviews.
(1) The rail transit agency shall conduct an annual review of its system safety program plan and system security plan.
(2) In the event the rail transit agency's system safety program plan is modified, the rail transit agency must submit the modified plan and any subsequently modified procedures to the department for review and approval.
(3) In the event the rail transit agency's system security plan is modified, the rail transit agency must make the modified system security plan and accompanying procedures available to the department for review.
(d) Internal safety and security reviews.
(1) The rail transit agency shall develop and document a process for the performance of on-going internal safety and security reviews in its system safety program plan.
(2) The internal safety and security review process must, at a minimum:
(A) describe the process used by the rail transit agency to determine if all identified elements of its system safety program plan and system security plan are performing as intended;
(B) ensure that all elements of the system safety program plan and system security plan are reviewed in an ongoing manner and completed over a three-year cycle;
(C) the rail transit agency must notify the department at least thirty (30) days before the conduct of scheduled internal safety and security reviews;
(D) the rail transit agency shall submit to the department any checklists or procedures it will use during the safety portion of its review;
(E) the rail transit agency shall make available to the department any checklists or procedures subject to the security portion of its review;
(F) the rail transit agency shall submit an annual report documenting internal safety and security review activities and the status of subsequent findings and corrective actions. The security part of this report must be made available for department review;
(G) the annual report must be accompanied by a formal letter of certification signed by the rail transit agency's chief executive, indicating that the rail transit agency is in compliance with its system safety program plan and system security plan; and
(H) if the rail transit agency determines that findings from its internal safety and security reviews indicate that the rail transit agency is not in compliance with its system safety program plan or system security plan, the chief executive must identify the activities the rail transit agency will take to achieve compliance.
(e) Hazard management process.
(1) The rail transit agency shall develop and document in its system safety program plan a process to identify and resolve hazards during its operation, including any hazards resulting from subsequent system extensions or modifications, operational changes, or other changes within the rail transit environment.
(2) The hazard management process must, at a minimum:
(A) define the rail transit agency's approach to hazard management and the implementation of an integrated systemwide hazard resolution process;
(B) specify the sources of, and the mechanisms to support, the on-going identification of hazards;
(C) define the process by which identified hazards will be evaluated and prioritized for elimination or control;
(D) identify the mechanism used to track through resolution the identified hazards;
(E) define minimum thresholds for the notification and reporting of hazards to the department; and
(F) specify the process by which the rail transit agency will provide on-going reporting of hazard resolution activities to the department.
(f) Accident notification.
(1) The rail transit agency shall notify the department within two (2) hours of any incident involving a rail transit vehicle or taking place on rail transit controlled property where one or more of the following occurs:
(A) a fatality at the scene; or where an individual is confirmed dead within thirty (30) days of a rail transit-related incident;
(B) injuries requiring immediate medical attention away from the scene for two or more individuals;
(C) property damage to rail transit vehicles, non-rail transit vehicles, other rail transit property or facilities and non-transit property that equals or exceeds $ 25,000;
(D) an evacuation due to life safety reasons;
(E) a collision at a grade crossing;
(F) a main-line derailment;
(G) a collision with an individual on a rail right of way; or
(H) a collision between a rail transit vehicle and a second rail transit vehicle, or a rail transit non-revenue vehicle.
(2) The rail transit agencies that share track with the general railroad system and are subject to the Federal Railroad Administration notification requirements, shall notify the department within two (2) hours of an incident for which the rail transit agency must also notify the Federal Railroad Administration.
(g) Corrective action plans.
(1) The rail transit agency must, at a minimum, develop a corrective action plan for the following:
(A) results from investigations, in which identified causal and contributing factors are determined by the rail transit agency, or the department, as requiring corrective actions; and
(B) findings from safety and security reviews performed by the department.
(2) Each corrective action plan should identify the action to be taken by the rail transit agency, an implementation schedule, and the individual or department responsible for the implementation.
(3) The corrective action plan must be reviewed and formally approved by the department.
(4) The rail transit agency must provide the department:
(A) verification that the corrective action(s) has been implemented as described in the corrective action plan, or that a proposed alternate action has been implemented subject to department review and approval; and
(B) periodic reports requested by the department, describing the status of each corrective action not completely implemented, as described in the corrective action plan.
(5) In the event of a dispute concerning the department's decision related to a corrective action plan, a rail transit agency shall submit an application for administrative review to the following address: Director, Public Transportation Division, Texas Department of Transportation, 125 E. 11th Street, Austin, Texas 78701-2483. The application for administrative review shall be submitted no later than 30 days after receipt of the written decision.
(A) Application. The application for administrative review shall, at a minimum:
(i) state and explain the relief requested;
(ii) state and explain all relevant facts; and
(iii) state and explain the legal basis for the relief sought.
(B) Decision. The division director shall decide whether to grant, grant in part, or deny the application. If an applicant does not provide information sufficient to evaluate the application, the application shall be denied. The applicant is not entitled to a contested case hearing, and there is no right to appeal the decision of the division director.
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