Internal Safety Audit Criteria MASTER LIST OF PROGRAM ELEMENTS

Transcription

1 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: History and scope of service included in Plan Service area (Routes & Lines) Equipment (Trains/cars/buses/maintenance) Energy Sources (Power/fuels) Public Facilities (Stations, stops and shelters) Maintenance facilities Command and Control Systems (Train Protection/Emergency Provisions/communication & dispatch) Organizational structure is specified with titles of key staff and their responsibilities. Safety department personnel identified.

2 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 postaccident 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

3 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 Security Equipment, to include Emergency Phones/Communications & Video Surveillance Elevators work orders include items; safety-critical equipment; track failure Escalators work orders include items; safety-critical equipment; track failure Evacuation Procedures plan for each facility; evacuation procedures posted Emergency generators and storage batteries Ventilation/exhaust fans Fire Equipment Standpipe and hose system Sprinkler system Pumps Deluge system test Hydrants Halon systems Extinguishers Emergency lighting and signage Emergency exits/fire doors and door alarms Stairways and walkways Fire detection and alarm system Fire cabinets Ventilation/exhaust fans 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

4 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: Testing of repaired equipment; QA, QI SOPs established for work arounds SOPs for equipment failure on the mainline (equipment recovery) SOPs established for prioritization of critical repairs PM deferment 11.6 Supervisor spot checks performed and documented 11.7 Car/rail equipment shops Rail vehicles Wheels Brakes Safety Equipment Emergency Exits Emergency Procedures/Fire Equipment Doors Electrical Public Address/Communications Equipment Propulsion Train/Wayside Control Hotel power 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 Track geometry and condition Rail Profiling/Special trackwork Track fasteners Track/ROW cleanliness 11.24Signals

5 11.25Power High voltage power & OCS system Substation Protection Substation Emergency Trip & Alarms Engineering support and coordination established 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 Efficiency Testing or Field inspections/spot checks SOPs for communications failures, partial or total Contingency plan established for system-wide communications failure On-time performance checks and trend analysis Employee training, qualification and requalification on rules and procedures Dispatcher training, qualification/requalification Supervisor training, qualification/requalification Records and signoffs Interdepartmental coordination for training program review Other railroad/bus operations 13 TRAINING & CERTIFICATION 13.1Safety rules and procedures Safety requirements established, reviewed on a regular basis and updated when necessary Safety handbook/accident Prevention Blue flag Car wash

6 High voltage ROW/Track Yard control Scaffolding Forklifts Crane/Rigging/Strapping OSHA/PPE/Confined spaces PM Criticality/Deferment Vital Relays-Wayside Vital Relays-Carborne Close Clearances Structures/Facilities Bridges/Tunnels Hand Tools Power Tools Non-revenue vehicles Motor vehicle safety Stations Hazmat Bloodborne pathogens Noise Personal Protective Equipment Specialized Equipment - Wheel press/true/bore 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 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 Safety testing for rules and procedures Certification training pass/fail criteria developed Safety reviews of transportation safety training and certification conducted on a regularly scheduled basis and SOPs implemented for lesson plan review sign-off process Safety reviews of maintenance safety training and certification conducted on a regularly scheduled basis and SOPs implemented for lesson plan review sign-off process Coordination with maintenance management, engineering, transportation and procurement

7 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 Fire/rescue units Hospitals Police Hazmat/Environmental Agencies 14.4 Media relations/information control 14.5 Documentation of drills, critiques and recommendations maintained 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 Safety-Critical Engineering standards established for: Elimination of hazards Safety analysis Control of design changes Part replacement Design and specification reviews Equipment testing and work-arounds Monitoring work-arounds and change orders in place Corrosion control/electrolysis 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 Passengers Employees Contractors Public 16.4 Safety statistics, internal and external 16.5 Failure trends/analysis

8 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

9 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 Pre-employment Post-accident Reasonable Suspicion Discretionary 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 Medical qualifications Regulatory Staff required to receive physicals Recordkeeping Medical facilities Referrals/counseling 21.11Contractor/Vendor D&A survellance program in place Contract documents identify D&A requirements

10 Program audits established Documentation of audits complete and comprehensive 22 CONTRACTOR SAFETY 22.1 Safety coordination in contractor process from RFP to notice to proceed Contractor submits safety policies for review Railroad safety procedures developed for contractor operations Construction safety manual available for contractors Safety coordination with Contractor safety officer established for training and awareness Hazmat/environmental policies included in procedures Work-around procedures included 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 Construction sites Vendors and contractors 23.6 Schedules and SOPs established for inspections 23.7 QA reports generated and document control established, including signoffs 23.8 Corrective actions documented 23.9 Safety involvement with purchases of hazmats, personal protective equipment Safety involvement with waste management contracts from RFP to notice to proceed End user safety evaluation and approval process OEM/aftermarket/equipment fabrication SOP requires safety review Safety department monitoring of suppliers quality/safety compliance Shelf life/safety-critical items list QA 24 SECURITY 24.1 Security plan established

11 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 Security equipment installed, inspected and maintained to monitor trespass activities Safety and security coordination on trespass issues SOPs for trespass violations Sanctions and follow-up by transit agency Trespass awareness programs, including education and signage 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 Terrorism Riot/Domestic Unrest Catastrophic natural events 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

12 26 GRADE CROSSINGS & PEDESTRIAN SAFETY 26.1 Signal/equipment compliance 26.2 Signal/equipment inspections and maintenance Checklists established Inspections and maintenance scheduled regularly 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 Grade crossing awareness program established for public 26.8 Conduct on-site audits of grade crossings