|(a) The department will conduct an audit of the rail
transit agency at least once every three years. The audit will evaluate
whether the rail transit agency has implemented a system safety program
plan that meets the requirements of 49 C.F.R. Part 659, 49 C.F.R.
Part 674.27, the department's program standards, and the National
Public Transportation Safety Plan and whether the rail transit agency
complies with the plan.
(b) The department will provide an audit checklist
based on the required elements of the system safety program plan.
(c) The department will verify the required elements
(2) document review;
(3) field observations;
(6) spot checks; and
(7) demonstrations provided by the rail transit agency
(d) To determine compliance with the system safety
program plan, the department will sample accident reports, internal
review reports, and the agency's hazard management program.
(e) The audit may be conducted as a single on-site
assessment or in an ongoing manner over a three-year cycle.
(f) In planning the audit the department will:
(1) develop the audit schedule in coordination with
the rail transit agency;
(2) designate the audit team and an audit team lead;
(3) prepare an audit plan that includes all elements
identified in the rail transit agency's system safety program plan;
(4) prepare audit checklists and templates;
(5) identify methods of verification for each checklist
(6) request and review the rail transit agency's safety
(g) In conducting the audit, the department will:
(1) conduct an entrance meeting with the rail transit
(2) conduct interviews with appropriate rail transit
(3) observe on-site operations;
(4) evaluate documents and data maintained on-site;
(5) take measurements and conduct spot checks;
(6) review all checklist items for compliance; and
(7) inform the rail transit agency of initial findings
(h) The rail transit agency shall cooperate with the
department during the audit review and provide access to all documents,
records, equipment, and property necessary to complete the audit.
(i) The department will issue a draft report to the
rail transit agency within 60 days after the date of the completion
of the audit.
(j) The rail transit agency may submit written comments
on the draft audit report. The department will include in the final
audit report any comments received within 30 days after the date that
the draft report was issued.
(k) The department will prepare a final audit report
and deliver a copy to the rail transit agency.
(l) Within 45 days after the date of its receipt of
the final audit report, the rail transit agency shall provide to the
department all corrective action plans necessary to address the findings
in the report.
(m) The department will notify the rail transit agency
when all findings have been addressed and the audit is closed.