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 plans. The RFGS shall include its internal safety and security audit schedule for the next year with the annual report required in WAC 468-550-070(5). 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. 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 plans. 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 included with the annual report required in WAC 468-550-070(5).

     (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 and unacceptable hazardous conditions 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.

     (6) Each RFGS that operates seasonally shall be exempt from the provisions of this section.



[Statutory Authority: RCW 81.104.115. 08-15-078, § 468-550-060, filed 7/15/08, effective 8/15/08. Statutory Authority: RCW 81.104.115(5). 02-13-004, § 468-550-060, filed 6/6/02, effective 7/7/02. Statutory Authority: 1999 c 202 § 7. 99-18-059 (Order 193), § 468-550-060, filed 8/30/99, effective 9/30/99. Statutory Authority: RCW 43.06.120. 98-19-052, § 468-550-060, filed 9/15/98, effective 10/16/98.]