DEPARTMENT OF TRANSPORTATION
[Filed July 8, 1998, 8:38 a.m.]
Date of Adoption: July 8, 1998.
Purpose: Comply with 49 CFR Part 659, which requires the state of Washington to oversee the safety and security of rail fixed guideway systems (RFGS) not regulated by the Federal Railroad Administration.
Statutory Authority for Adoption: RCW 43.06.120.
Under RCW 34.05.350 the agency for good cause finds that state or federal law or federal rule or a federal deadline for state receipt of federal funds requires immediate adoption of a rule.
Reasons for this Finding: The federal regulations called for compliance of system safety oversight by January 1, 1997, and system security by January 1, 1998. We have received an extension until September 1, 1998, with a threat to withhold federal funds if we are not in full compliance by that date.
Number of Sections Adopted in Order to Comply with Federal Statute: New 7, amended 0, repealed 0; Federal Rules or Standards: New 7, amended 0, repealed 0; or Recently Enacted State Statutes: New 0, amended 0, repealed 0.
Number of Sections Adopted at Request of a Nongovernmental Entity: New 0, amended 0, repealed 0.
Number of Sections Adopted on the Agency's Own Initiative: New 0, amended 0, repealed 0.
Number of Sections Adopted in Order to Clarify, Streamline, or Reform Agency Procedures: New 0, amended 0, repealed 0.
Number of Sections Adopted Using Negotiated Rule Making: New 7, amended 0, repealed 0; Pilot Rule Making: New 0, amended 0, repealed 0; or Other Alternative Rule Making: New 0, amended 0, repealed 0.
Effective Date of Rule: Immediately.
July 6, 1998
W. L. Conrad
for Gerald E. Smith
Chapter 468-550 WAC
SAFETY OVERSIGHT OF RAIL FIXED GUIDEWAY SYSTEMS RULES
WAC 468-550-010 Purpose. This chapter is adopted to comply with 49 CFR Part 659 which requires the state of Washington to oversee the safety and security plans of rail fixed guideway systems (RFGS) not regulated by the Federal Railroad Administration. These rules prescribe the system safety and security criteria to be met by RFGS and is intended to improve the safety and security of RFGS in Washington state.
WAC 468-550-020 Applicability. These rules are applicable to all Washington state entities, public or private, which own, operate, or maintain RFGS that are not regulated by the Federal Railroad Administration.
WAC 468-550-030 Definitions. For the purposes of this chapter, the following definitions of terms shall apply unless the context clearly indicates otherwise:
(1) Accident, reportable means any event involving the operation of a RFGS, if as a result:
(a) An individual dies; or
(b) An individual suffers bodily injury and immediately receives medical treatment away from the scene of the accident; or
(c) A collision, derailment, or fire causes property damage in excess of $50,000.
(2) APTA Guidelines means the American Public Transit Association's "Manual for the Development of Rail Transit System Safety Program Plans."
(3) Chief executive officer means, but is not limited to, the mayor, county executive, or chair of the municipality, or corporate president of the public or private entity that owns, operates, or maintains a RFGS.
(4) Contractor means an entity that performs tasks required by this chapter on behalf of the department or a RFGS.
(5) Department means the Washington state department of transportation which has been designated as the state safety oversight agency.
(6) Emergency means a situation which is life threatening to passengers, employees, or others or which causes damage to any rail fixed guideway vehicle or facility or results in a significant theft of services which reduces the ability of the system to fulfill its mission.
(7) FTA means the Federal Transit Administration, or its successors, an agency within the U.S. Department of Transportation.
(8) Hazardous condition means a set of circumstances that if not identified and corrected has or will result in personal injury or property damage.
(9) Investigation means a procedure that the department or a RFGS utilizes to determine the cause of a reportable accident, hazardous condition, or security breach.
(10) Plan means the system safety and security program plan which is adopted by the RFGS detailing its safety and security policies, objectives, responsibilities and procedures.
(11) Procedure means an established and documented method to perform a task.
(12) Rail fixed guideway system or "RFGS" means any light, heavy, or rapid rail system, monorail, inclined plane, funicular, trolley, or automated guideway that is:
(a) Included in the Federal Transit Administration's (FTA) calculation of fixed guideway route miles or receives funding under FTA's formula program for urbanized areas (49 U.S.C. 5336); and
(b) Not regulated by the Federal Railroad Administration.
(13) Risk means the probability that a security breach will occur.
(14) Safety means freedom from danger.
(15) Security means freedom from intentional danger.
(16) Security breach means an unforeseen event or occurrence that endangers life or property and may result in the loss of services or system equipment.
(17) Security incident means an unforeseen event or occurrence that does not necessarily result in death, injury, or significant RFGS property damage, but may result in a minor loss of revenue.
(18) Standard means the system safety and security program standard which is the standard developed and adopted by the department which complies with the APTA Manual for the Development of Rail Transit System Safety Program Plans, the Federal Transit Administration's Transit System Security Program Planning Guide (FTA-MA-90-7001-94-1), The Federal Transit Administration's Implementation Guidelines for State Safety Oversight of Rail Fixed Guideway Systems, and the State Safety Oversight Security Handbook.
(19) System means a composite of people, property, environment, and procedures which are integrated to perform a specific operational function in a specific environment.
(20) Three-year review means a formal, comprehensive, on-site examination by the department of a RFGS's safety and security procedures to determine whether it complies with the RFGS's policies and procedures as outlined in the RFGS's plan.
(21) Threat means any real, potential, or perceived condition that can result in a security-related incident.
(22) Unsafe condition or act means any condition or act which endangers life or RFGS property.
WAC 468-550-040 Requirements for system safety and security plans. (1) Each RFGS shall prepare a system safety and security program plan. Such Plan shall describe the RFGS's procedures for:
(a) Reporting and investigating reportable accidents, hazardous conditions, and security breaches;
(b) Submitting corrective action plans and annual safety and security audit reports;
(c) Facilitating department on-site safety and security reviews; and
(d) Addressing passenger and employee security.
The plan and any revisions thereto shall, at a minimum, conform to the standard, be approved by the RFGS's chief executive officer and submitted for departmental review by September 1, 1998, or within three months prior to beginning operations or instituting revisions to the plan.
(2) Each RFGS shall implement and comply with the provisions of its plan and any revisions thereto. Further, should the RFGS change ownership or operating or maintenance providers, the RFGS shall require its successors, assigns, and contractors to continue to comply with the RFGS's established plan and shall notify the department of any change of ownership or operating or maintenance providers within thirty days of the effective date of transfer or contract.
(3) Each RFGS and the department are prohibited from publicly disclosing or communicating in any way, to unauthorized persons, the security portions of the plan.
WAC 468-550-050 Department procedures for reviewing, approving, and filing rail fixed guideway system safety and security plans and inspections. The department shall review each RFGS plan, and all subsequent revisions, for compliance with these rules and the standard, using the APTA system safety checklist which includes:
Policy statement and authority for the plan
Description of purpose for the plan
Clearly stated goals for plan
Identifiable and attainable objectives
System description and organizational structure
The plan control and update procedures
Hazard identification and resolution process
Accidents, hazardous conditions and reporting and investigation procedures
Internal safety audit process
Facilities inspections (includes system equipment and rolling stock)
Maintenance audits and inspections (all systems and facilities)
Rules and procedures review
Training and certification reviews and audits
Emergency response planning, coordination and training
System modification review and concurrence process
Safety data acquisition and analysis
Interdepartmental and interagency coordination
Employee safety program
Hazardous materials program
Drug abuse and alcohol misuse programs
Contractor safety coordination
The department shall provide written concurrence with the RFGS's plan or provide written comments to the RFGS specifying required changes. The RFGS shall revise its plan to incorporate the department's review comments, if any, within sixty days after receipt thereof, and resubmit its revised plan for review. After resolving issues arising in the review process, the department shall notify the RFGS of its concurrence with the plan. The plan and the department's concurrence shall be maintained by the department in a permanent file.
WAC 468-550-060 Annual and triennial safety and security audits and reports. (1)(a) Each RFGS shall perform scheduled internal safety and security audits to evaluate compliance with the standard, identify hazardous and risk conditions, and measure the effectiveness of its plan. The RFGS shall submit to the department its internal safety and security audit schedule for the next year no later than December 15 of the preceding year. These audits shall include, but are not limited to:
(i) Observing work practices and employee performance during system operations;
(ii) Sampling and inspecting selected system components to verify proper maintenance; and
(iii) Reviewing RFGS records for all phases of system operations, maintenance, and security.
The RFGS shall select a qualified person(s) or contractor to perform its internal audits and shall notify the department not later than ten days prior to performing the internal audits. The notification shall include date(s) of audit, what is to be audited, and the qualifications of those selected to perform the audit, such qualifications are subject to departmental concurrence. Each RFGS internal audit shall be conducted in accordance with a department approved written checklist designed to verify compliance with and assess the effectiveness of its plan. The department may assess the effectiveness of each RFGS audit program; however, any departmental review or concurrence shall not substitute for the RFGS's own safety and security inspection audit programs, nor relieve the RFGS from its sole liability for the safety and security of its system.
(b) Each RFGS, as a basis for its audit process, shall prepare, maintain, and make available for departmental review records that document the results of all tests, inspections, and audits conducted by the RFGS or its contractor in compliance with the plan. These records shall include, but are not limited to:
(i) Start-up test records;
(ii) Drug and alcohol test records;
(iii) Training and certification records;
(iv) Operation performance evaluation records;
(v) Facility inspections;
(vi) Maintenance audits and inspections (all systems and facilities);
(vii) Rules and procedures review;
(viii) Emergency response planning, coordination, and training;
(ix) System modification review and approval process;
(x) Safety and security data acquisition and analysis;
(xi) Interdepartmental and interagency coordination;
(xii) Employee safety and security program;
(xiii) Hazardous materials program;
(xiv) Contractor safety coordination; and
(xv) Procurement records.
These records shall be maintained by the RFGS for a minimum of three years.
(2) Internal safety and security audits shall be documented in an annual report that includes the dates the audits were conducted, the scope of the audit activity, the audit findings and recommendations, the status of any corrective actions taken as a result of the audit activity and the results of each audit in terms of the adequacy and effectiveness of the plan. This annual report for the internal safety and security audits performed during the preceding year shall be submitted to the department prior to February 15 of each year.
(3) The department shall audit each RFGS plan at least once every three years. The RFGS shall be given written notification at least thirty days in advance of the department's audit. The notification shall include a proposed schedule, planned scope, and list of activities to be reviewed for the audit. Each audit shall be preceded by an on-site, preaudit conference attended by the department's audit team, the RFGS's owner, and the RFGS staff in charge of the activities subject to audit. Each audit shall be conducted in accordance with an audit checklist. Checklists shall not restrict the department from performing additional investigations as it deems appropriate. The department shall use as a basis for its checklist the RFGS's plan and records which shall include, but are not limited to:
(a) The RFGS operating rule book, bulletins, and procedures;
(b) The RFGS maintenance manuals and procedures for vehicles, track and signals;
(c) The RFGS procedures for identifying, documenting, evaluating, and correcting hazards;
(d) The RFGS system design criteria and project engineering procedures for system modifications;
(e) The RFGS annual internal audit reports for the previous three years;
(f) The RFGS corrective action plans for reportable accidents, hazardous conditions, and security breaches reported to the department during the previous three years;
(g) APTA audit reports;
(h) National Transportation Safety Board accident investigation reports, and any other agency peer review reports, if any, prepared during the previous three years and previously prepared department audit reports.
(4) Upon the department's completion of the triennial on-site audit, the audit team leader shall prepare a draft final audit report and submit it to the RFGS. The RFGS shall respond, in writing to the recommendations made in the draft final audit report, with a plan and schedule of corrective actions within thirty days of receipt thereof. An on-site, post audit conference shall be held following each departmental audit to review the results of the audit. Audit results that identify a deficiency that is not corrected before the post audit conference is held shall be documented in the final audit report. The final audit report shall contain the department audit team's findings and recommendations and the RFGS plan and schedule for corrective action. The final audit report shall also include the department audit team's evaluation of the effectiveness of the RFGS plan and a determination of whether the plan should be updated.
(5) The department shall summarize oversight activities for all RFGS performed during the preceding twelve months in a publicly available annual report and submit it to the FTA before March 15 of each year.
WAC 468-550-070 Notifying, investigating, and reporting accidents, hazardous conditions, and security breaches. (1) Each RFGS shall notify the department and the National Transportation Safety Board by telephone or facsimile within twenty-four hours of an occurrence of the types of accidents, hazardous conditions, or security breaches following:
(a) Any event which results in a fatality;
(b) Any event in which an individual suffers bodily injury and receives immediate medical treatment away from the scene;
(c) A collision, derailment, or fire which causes property damage in excess of $50,000;
(d) Any fire or other hazardous event that requires the evacuation of passengers or requires the fire suppression activities conducted by a fire department;
(e) Any collision between a rail fixed guideway vehicle and a motor vehicle at a gated grade crossing;
(f) Any collision between rail fixed guideway vehicles, or between rail fixed guideway vehicles and other on-track equipment;
(g) Any mainline derailment;
(h) Any hazardous condition which has been identified by the RFGS and which could cause death or serious injury to passengers or employees if not immediately corrected; and
(i) Any security breach that has been identified by the RFGS and which could cause death or serious injury to passengers or employees or may result in the loss of services or equipment if not immediately corrected.
(2) Each RFGS shall investigate all reportable accidents, hazardous conditions, and security breaches. The RFGS may use its own staff or a contractor to conduct its investigation and shall designate a staff person to be responsible for submitting written investigation reports and findings to the department, on a department form, within forty-five days after the reportable accident, hazardous condition, or security breach was discovered. This report shall identify the causal factors contributing to the occurrence and contain a corrective action plan with an implementation schedule to prevent a recurrence of the accident or breach, or to mitigate the hazardous condition. The department shall review the RFGS investigation report, corrective action plan, and accompanying implementation schedule to ensure that it meets the goal of preventing and mitigating a recurrence of the reportable accident, hazardous condition, or security breach. The department has authority to perform separate, independent investigations of reportable accidents, hazardous conditions, or security breaches at its own discretion. In the event that the department does not concur with the findings of the RFGS investigation, the department shall notify the RFGS, in writing, of its review findings. The RFGS shall submit its response to the department's findings within forty-five days of receipt thereof. Should the department and the RFGS disagree, the department will notify the FTA. Each RFGS shall also submit a monthly summary report to the department covering all reportable occurrences. The monthly summary report shall be submitted whether any reportable event occurred or any hazardous condition or security breach was identified during the month.