Section 151.10 - Management and Oversight Process(1)Review and Approval. The Department shall review and approve initial and revised PTASPs and annual reports on the internal safety audit process.(a) The Department will review only final documents bearing the required signatures of the Transportation Authority's management. After approval, the Department will issue a formal letter of approval to the Transportation Authority, which will include the checklist used to conduct the review.(b) Upon receipt of the final document from the Transportation Authority, the Department has 15 days in which to review and approve it in writing. If the Department rejects the document, the Transportation Authority has 20 days from notice of rejection to submit a revised document to the Department for approval. The Department may grant an extension beyond the 20 days for good cause shown.(c) If the Department is unable to approve a final document, or to resolve a dispute with the Transportation Authority resulting from the development of the document, the Department must either: 1. Report the areas of disagreement in writing to, and negotiate with, the Transportation Authority until the dispute is resolved;2. Develop its own document according to the requirements of the relevant section, and submit it to the Transportation Authority for implementation; or3. Issue any Order that it deems necessary.(2)Triennial Audit. The Department shall create an ongoing audit program specific to the Transportation Authority's implementation of its SSPP or PTASP. All sections of the SSPP or PTASP shall be reviewed at least once every three years. (a) The ongoing audit program will include, but will not be limited to, the following on-site announced and unannounced activities: observations, inspections, investigations, audits, examinations, interviews, and testing.(b) As part of the ongoing audit program the Department shall prepare and issue a report containing findings and recommendations, including an analysis of the effectiveness of the SSPP or PTASP, and a determination of whether it should be updated. Further, the Transportation Authority will be given the opportunity to comment on any Department finding and/or recommendation offered in an audit report.(c) In conducting on-site audit, the Department may request additional information, clarifications or revisions specific to the Transportation Authority's SSPP or PTASP. The Department may also perform inspections, investigations and reviews of the operation and maintenance of the Transportation Authority's rail fixed guideway system to determine whether its safety procedures comply with the SSPP or PTASP. In the event the Transportation Authority objects to such a request, the Department and the Transportation Authority shall agree to an appropriate course of action to address outstanding issues within 15 days of the objection.(d) The Department will update the Transportation Authority of the on-site audit results either at a regularly scheduled Department and Transportation Authority meeting or by sending a formal notification.(e) At the conclusion of the three-year audit cycle, the Department will issue a final report that will include, findings and recommendations identified as a result of ongoing audit activities.(3)Reporting Requirements to FTA.(a)Annual Submission. Before March 15th of each year, the Department must submit the following material to the FTA: 1. The Department program standard, and supporting procedures, approved in accordance with 49 CFR Part 674.27, with an indication of any changes to the Department program standard during the preceding 12 months;2. Evidence that each of its employees and contractors has completed the requirements of the Public Transportation Safety Certification Training Program, or, if in progress, the anticipated completion date of the training;3. A publicly available report that summarizes its oversight activities for the preceding 12 months, describes the causal factors of accidents identified through investigation, and identifies the status of corrective actions, changes to PTASPs, and the level of effort by the Department in carrying out its oversight activities;4. A summary of the triennial audits completed during the preceding 12 months, and the Transportation Authority's progress in carrying out CAPs arising from triennial audits conducted in accordance with 49 CFR Part 674.31;5. Evidence that the Department has reviewed and approved any changes to the PTASPs during the preceding 12 months; and6. A certification that the Department is in compliance with the requirements of 49 CFR Part 674.39.(b) The Department must make periodic submissions to the FTA upon its request.(c) The Department must submit all filings to the FTA electronically using a reporting system specified by FTA.(d) The Department must maintain a signed copy of each annual certification to FTA, subject to audit by FTA.(4)Conflict of Interest. In its oversight of the Transportation Authority's PTASP, the Department shall prohibit a party or entity from providing services to both the Department and the Transportation Authority concerning the PTASP so as to avoid conflicts of interest.(5)Department Access to Information. The Transportation Authority shall grant the Department access to information necessary to discharge the requirements set forth in the Program Standard including, but not limited to: (a) Reports generated and databases utilized to monitor the status and performance of the Transportation Authority's rail transit system;(b) All approved policies, procedures, directives, system element descriptions (general and technical), or documents that support the SSPP or PTASP;(c) The Transportation All-page System;(d) The Operations Control Center Log; and(e) Maintenance Databases.Amended by Mass Register Issue 1354, eff. 12/15/2017.