FTAState Safety Oversight Program
Pre-audit Questionnaire

Program Management

What date was your agency designated to provide rail safety and security oversight?
Approximately how many full-time equivalents are responsible for oversight activities?
Please identify the individuals (by title) that participate in the carrying out of oversight activities and approximate hours worked per year in the spaces below:
Title/Department / Hours
How long has the current SSO Program Manager been in his/her position?
Does your agency use a contractor(s) to carry out oversight activities? If yes, please identify the program area supported and the approximate cost associated with the identified activities.
Program Area / Funds
How many RFGS are under your jurisdiction?
Are any of the RFGS under your jurisdiction in receipt of an FRA waiver for shared track?
Does your agency track RFGS compliance with FRA waiver criteria? If yes, please identify your agency’s approximate hours and cost associated with this task.
Hours
Cost
Does your agency have qualified personnel on staff to review FRA waiver compliance? If yes, please identify by title in the space below.
Has your agency’s SSO Program Manager received training for his/her position? If yes, please list the training and approximate cost associated with the training below.
Training / Cost
Is the SSO Program Manager reviewed periodically for his/her performance of SSO duties? If yes, please indicate how often.

Program Standard

What is the current date of your Program Standard?
Does the Program Standard contain procedures for the conduct of your oversight duties?
Please identify the procedures your agency has developed to carry out its oversight duties. (Please list in the space below.)
Does the rail transit agency(ies) under your jurisdiction have the most current version of your agency’s Program Standard and procedures?
Has your agency established criteria to evaluate its own Program Standard and procedures?
How often does your agency review its Program Standard and procedures to determine if modifications are necessary?
How many revisions has your Program Standard/procedures undergone?
Do requirements in your Program Standard and procedures extend beyond 49 CFR Part 659? If yes, please identify in the space below.

Monitoring of RFGS Development and Implementation of its System Safety Program Plan

How many FTEs are currently staffed in each RFGS’s safety department?
Does each RFGS under your jurisdiction provide safety training to employees?
Are RFGS employees (operators and maintenance) evaluated for job proficiency or efficiency?
If yes, how often does the RFGS perform this evaluation?
How often does your agency review the SSPP of each RFGS under your jurisdiction?
Has your agency reviewed and approved each RFGS SSPP under your jurisdiction?
Is the SSPP of each RFGS under your jurisdiction in compliance with your Program Standard and procedures?
Does your agency have established criteria for the evaluation of each RFGS SSPP?
Does your agency review its SSPP evaluation criteria to determine whether or not modifications to the criteria should be made?
During your review(s) of an RFGS SSPP, has your agency identified deficiencies or made recommendations to be addressed by the RFGS?
If yes, does your agency track the implementation of recommendations or corrections of deficiencies?
What is the average timeframe for an RFGS to correct its SSPP based on your recommendations or deficiency findings?
Does your agency have a method to prioritize its findings?
Historically, which areas of an RFGS SSPP have required the most modifications? (Please identify below.)
SSPP Area / Corrections
Does each RFGS under your jurisdiction conduct annual internal safety audits as required?
Has each RFGS audited each element of its SSPP at least once every three years?
On average, how many elements of the SSPP are audited by each RFGS per year?
Does your agency track RFGS internal safety audit findings?
Does each RFGS track resolution of internal safety audit findings?
Does our agency review and approve the RFGS Annual Report on its internal safety audit activities?
Does your agency review each RFGS’s Annual Report to ensure that all accidents and UHCs have been properly reported?

Monitoring of RFGS Development and Implementation of its System Security Plan

Does each RFGS under your jurisdiction have a security department? Please list answers by agency
How many FTEs are currently staffed in each RFGS’s security department?
Do and of your RFGS contract for security services? If yes, please list answers by agency.
If an RFGS contracts for security services, approximately what is the value of the contract per year?
Does each RFGS under your jurisdiction provide security training to employees?
If yes, how often does the RFGS evaluate the training provided?
How often does your agency review the Security Plan of each RFGS under your jurisdiction?
Has your agency reviewed and approved each RFGS Security Plan under your jurisdiction?
Does your agency have established criteria for the evaluation of each RFGS Security Plan?
Does your agency review its Security Plan evaluation criteria to determine whether or not modifications to the criteria should be made?
During your review(s) of an RFGS Security Plan, has your agency identified deficiencies or made recommendations to be addressed by the RFGS?
If yes, does your agency track the implementation of recommendations or corrections of deficiencies?
What is the average timeframe for an RFGS to correct its Security Plan based on your recommendations or deficiency findings?
Does your agency have a method to prioritize its findings?
Historically, which areas of an RFGS Security Plan have required the most modifications? (Please identify below.)
Security Plan Area / Corrections
Does each RFGS under your jurisdiction conduct annual internal safety audits as required?
Has each RFGS audited each element of its Security Plan at least once every three years?
On average, how many elements of the Security Plan are audited by each RFGS per year?
Does your agency track RFGS internal security audit findings?
Does each RFGS track resolution of internal security audit findings?

Accident and Unacceptable Hazardous Condition (UHC) Notification, Reporting and Investigation

Does your agency have accident and UHC investigation procedures?
Does your agency evaluate its own accident and UHC investigation procedures?
How often does your agency evaluate its own accident and UHC investigation procedures?
Has your agency ensured that SSO personnel are trained in accident investigation?
Has your agency conducted or participated in an accident or UHC investigation at an RFGS?
Does your agency have criteria to support the determination of which accident or UHC it would investigate or participate in the investigation? (Please identify.)
What is your agency’s notification timeframe for accidents? UHC?
Does your agency’s notification threshold exceed Part 659 requirements? (If so, please identify.)
Please indicate the number of UHCs identified through the following activities:
SSPP Review
Procedures Review
Accident Investigation
Internal Safety or Security Audit
Three-year Safety Review
Does your agency provide its SSO personnel training in hazard management or analysis?
Does your agency review RFGS categorization of identified hazards?
Has your agency categorized identified hazards?
In the last year, how many hazards at each RFGS have been categorized as UHCs?
Does your agency track identified UHCs to resolution
What is the average time between investigation initiation and the discovery of causal findings?
What is the average length of time between the identification of investigation findings and the development of corrective actions?
What is the average length of time between the development of corrective actions to address investigation findings and the implementation of corrective actions?
Does your agency review causal factors as determined from accident or UHC investigation?
Does your agency conduct causal factor trend analysis?
Does each RFGS under your jurisdiction conduct causal factor trend analysis?

Corrective Action Plans (CAP)

Does your agency require CAPs for the following: (By area listed above, please also provide the number of CAP developed for the last full calendar year.)
Accidents
UHCs
Internal safety audit findings
Three-year review findings
Other (please specify)
Does your agency review and approve all developed CAPs?
Does your agency track CAP implementation?
If a CAP is not fully implemented, what is the primary reason given to your agency by the RFGS?
Please identify any cases where an implemented CAP has not resulted in complete resolution of the issue.

Three-Year Safety Review

How often does your agency carry out three-year safety and security review requirements?
Has your agency developed both safety and security criteria for the conduct of its three-year review?
How many hours are allocated for your agency’s three-year safety and security review at each RFGS?
Does your agency issue a final report documenting findings from its three-year safety and security review?
Does your agency require a CAP for each three-year safety and security review finding?
Does your agency track each RFGS’s mitigation of three-year safety and security findings?
On average, how many findings are generated from your three-year safety and security review?
On average, how long do three-year safety and security review findings remain open?
How many three-year safety and security review findings are currently open?

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