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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
11.23.2Rail Profiling/Special trackwork
11.23.3Track fasteners
11.23.4Track/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

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