Or. Admin. Code § 741-060-0070 - Requirements for Internal Reviews

(1) Annually, the RTA must conduct a minimum of five internal reviews that cover any aspect of the safety of its rail fixed guideway public transportation system to evaluate the implementation, execution, compliance with and effectiveness of its PTASP and its Emergency Preparedness and Response Plan;

(2) The RTA is required to include an internal review of rules compliance activities as outlined in an RTA Competency Management System or Rules Compliance Program. Additionally, the RTA is required to include an internal review of its configuration management activities as outlined in an RTA Configuration Management Plan. The description of these reviews must include:

(a) Identification of departments and functions subject to review;

(b) Responsibility for scheduling reviews;

(c) The process for conducting reviews, including the development of checklists and the issuing of reports and findings resulting from the reviews; and

(d) Tracking the status of findings.

(3) In conjunction with this rule, the RTA may determine the remainder of internal review topics to evaluate the execution, implementation and effectiveness of its PTASP and Emergency Preparedness and Response Plan.

(4) The SSOA may change the number of required annual internal reviews or the SSOA selected topics required for internal reviews. The SSOA will notify the RTA of changes by December 1st for the following year.

(5) The RTA shall notify the SSOA at least 30 days prior to any internal review. The RTA shall submit to the SSOA copies of the checklists and procedures it will use for the review, along with identification and explanation, if needed, of the area being reviewed at the time of notification.

(6) Each internal review must be performed in accordance with the written checklist by personnel technically qualified to verify compliance and assess the effectiveness of the plan components being reviewed. The reviewers may be organizationally assigned to the unit responsible for the activity being reviewed, but they must be independent from the first line of supervision responsible for performing the activity being reviewed, i.e., the person responsible for the activity being reviewed is not permitted to conduct the internal review nor is their supervisor. It must be someone without primary responsibility for the task. Within 30 days of completion of each internal review the RTA must produce and submit a written report to SSOA detailing the results of the internal review.

(7) Internal reviews must be documented in an annual report that covers the reviews performed and the results of each review in terms of the adequacy and effectiveness of the plans. The annual report for the internal reviews performed during the preceding year must be submitted to the SSOA prior to the 15th of February of each year, pursuant to OAR 741-060-0078(3).

Notes

Or. Admin. Code § 741-060-0070

RS 1-1998, f. & cert. ef. 6-19-98; RD 2-2003, f. & cert. ef. 7-17-03; RD 1-2007, f. & cert. ef. 3-7-07; RD 1-2010, f. & cert. ef. 10-25-10; RD 1-2017, amend filed 09/27/2017, effective 9/27/2017; RD 1-2021, amend filed 07/19/2021, effective 7/19/2021

Statutory/Other Authority: ORS 184.619, 192.502, 823.011, 824.045, 824.990, 49 CFR 670, 49 CFR 671, 49 CFR 672, 49 CFR 673, 49 CFR 674 & 49 USC 5329

Statutes/Other Implemented: ORS 183.745 & 824.045