State Safety Oversight

ADOT is required to develop, implement, update and maintain a Program Standard, which is a written document developed and adopted by the oversight agency that describes the policies, objectives, responsibilities and procedures used to provide safety and security oversight to the Rail Transit Agency within the state of Arizona.

ADOT SSO Requires that each Rail Transit Agency must develop, implement, and maintain a written Public Transportation Agency Safety Plan that complies with the Program Requirements as specified in § 674.29, § 673.11, § 673.21.

Require each Rail Transit Agency to report the occurrence of accidents and unacceptable hazardous conditions specified by the oversight agency in the System Safety Program Standard, including reporting time, methods of notification and the information to be submitted by the rail transit agency with notification. ADOT SSO will review and approve (or require revisions to) Rail Transit Agency initial report, status and final hazard investigation, as well as review and approve (or require revisions to) Rail Transit Agency Hazard Log.

Quarterly and annually, the ADOT SSO will review, comment, approve (or require revisions to) Rail Transit Agency quarterly Corrective Action Plan Monitoring Log, and provide technical assistance and advice to the Rail Transit Agency to facilitate the closure of corrective action plans that may arise from the implementation of other program areas, including hazard management, accident/incident investigations, internal safety and security audits, and three-year on-site safety and security reviews.

Every three years the ADOT SSO will prepare a schedule, procedures and a checklist to guide the review process; establish criteria to evaluate the rail transit agency's implementation of its PTASP, SSEP; and other governing documents to conduct site reviews. At the conclusion of the review, the ADOT SSO will prepare and issue a Draft Report and a Final Report containing findings and recommendations resulting from the review, which will analyze the effectiveness of the agency governing documents and whether either should be updated. The ADOT SSO will prepare corrective actions required as a result of this review.

Require the Rail Transit System to conduct safety audits according to the Internal Safety Audit Process detailed in the ADOT System Safety Program Standard. Annually, the ADOT SSO will review, comment and approve (or require revisions to) the Rail Transit Agency proposed internal safety/security audit schedule for the current fiscal year. The ADOT SSO will review, comment and approve (or require revisions to) the Rail Transit Agency annual internal safety/security audit reports conducted to date; and review, comment and approve (or require revisions to) the Rail Transit Agency internal safety/security audit materials (e.g., preaudit checklists, post-audit findings and follow-up).

On or before March 15, the ADOT SSO is required to prepare the annual submission to FTA summarizing its oversight activities for the preceding 12 months, including a description of the causal factors of investigated accidents, status of corrective actions, updates and modifications to rail agency program documentation, and the level of effort used by ADOT SSO to carry out its oversight activities. The ADOT SSO will report documenting and tracking findings from three-year safety review activities and whether a three-year safety review has been completed since the last annual report was submitted. The ADOT SSO will report the program standard and supporting procedures that have changed during the preceding year and certify that any changes or modifications to the Rail Transit Agency PTASP and/or SSEP have been reviewed and approved by ADOT. With its annual submission, the ADOT SSO will certify to the FTA that it has complied with the requirements of 49 CFR part 674. ADOT SSO will submit this certification electronically to the FTA using a reporting mechanism specified by the FTA. The ADOT SSO will maintain a signed copy of each annual certification submitted to the FTA, subject to audit by the FTA.