Or. Admin. Code § 741-060-0072

Current through Register Vol. 63, No. 10, October 1, 2024

Section 741-060-0072 - Corrective Action Plan (CAP) Requirements

(1) Each RTA that operates a RFGPTS shall prepare a CAP as required by this rule.

(2) Each RTA must develop a CAP for the following:

(a) Hazards identified by the RTA or SSOA as Unacceptable or Undesirable using a Hazard Risk Index of the RTA's choice, as long as SSOA has approved the Risk Index's use.

(b) New and previously unknown hazards that rank as Unacceptable or Undesirable, using an approved Hazard Risk Index, that are identified during an investigation and which cannot be rectified immediately, and any action that will either take additional time or require a change.

(c) Hazards or deficiencies identified through inspections, internal or external safety audits, and reviews, emergency drills or exercises, or reviews of events that the safety risk management process identifies as Unacceptable or Undesirable using a Hazard Risk Index.

(d) Causal and contributing factors identified during an investigation that are determined by the RTA or SSOA to require corrective action(s).

(3) The CAP must describe, specifically, the actions the RTA will take to minimize, control, correct, or eliminate the risks and hazards identified by the CAP, the schedule for taking those actions, and the individuals or departments responsible for taking those actions.

(4) The RTA, within 30 days, shall submit the CAP to the SSOA for initial review and approval as soon as the need and the corrective action have been identified. The SSOA must review and approve all CAPs before implementation, except in cases where immediate or emergency corrective actions must be taken to ensure immediate safety.

(5) In cases where immediate or emergency corrective actions must be taken to ensure safety of the system, the RTA shall notify the SSOA immediately of the need for the CAP, and submit the CAP to the SSOA for review and approval as soon as practicable.

(6) The SSOA will review the CAP and issue written notice approving it, approving it with conditions, or rejecting it, as soon as practicable but not later than 15 days after receipt of the plan. The SSOA may provide verbal approval in certain circumstances, at the SSOA's discretion, but all decisions will be formalized by written notice.

(7) If the SSOA approves the RTA's CAP with conditions, or rejects it, the RTA shall have 15 days from the date the SSOA issues notice of the conditions or rejection to the RTA to submit a new plan for approval.

(8) The SSOA may monitor the RTA's progress in carrying out the CAP through unannounced, on-site inspections, or by any other means the SSOA deems necessary or appropriate.

(9) Upon completion the RTA shall submit verification that the corrective actions within the approved CAP have been implemented.

(10) The SSOA shall verify implementation and approve closure of the corrective action before the RTA may consider the action closed.

(11) Each RTA shall maintain a corrective action monitoring log and provide this log to the SSOA on a monthly basis with all updates, comments, new timetables and edits notated and explained.

(12) The corrective action monitoring log that is to be delivered each month to SSOA must include all corrective actions identified through the provisions under OAR 741-060-0072 and must contain, at a minimum:

(a) The source of the corrective action, with identifying information;

(b) The classification and risk ranking of the issue needing corrective action;

(c) The date the corrective action was determined;

(d) A detailed description of the corrective action itself;

(e) An estimate of the date upon which the corrective action will be completed;

(f) A section for the SSOA initial approval date;

(g) The person or department responsible for implementing the corrective action;

(h) A section for the SSOA to verify completion of the corrective action;

(i) A section for showing the CAP is closed following SSOA verification; and

(j) All corrective actions, open or closed.

(13) Closed corrective actions are to remain on the log after closure and must not drop off the log without agreement and approval from the SSOA, or following the end of the calendar year that follows the year in which the CAP was completed. Without SSOA approval or without the required time limit having occurred, a CAP shall not be removed from the log.

(14) In any instance in which a safety event on the RTA's RFGPTS is the subject of an investigation by the FTA or NTSB, the SSOA will evaluate whether the findings or recommendations by the FTA require a CAP by the RTA, and if so, the SSOA will order the RTA to develop and carry out a CAP, as above. In the event the FTA orders the RTA to develop a CAP, that CAP shall be developed and carried out as above.

(15) An SSOA required CAP must be developed within 30 days of notification to the RTA, and submitted to SSOA for approval before carrying out the CAP.

Or. Admin. Code § 741-060-0072

RD 1-2017, adopt 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