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The Oregon Administrative Rules contain OARs filed through June 15, 2014
 
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DEPARTMENT OF TRANSPORTATION,
RAIL DIVISION

 

DIVISION 60

STATE SAFETY OVERSIGHT OF RAIL FIXED
GUIDEWAY SYSTEMS

741-060-0010

General Provisions

(1) OAR 741-060-0010 through 741-060-0110 establish the system safety and system security program standards for rail transit agencies in the State of Oregon.

(2) Federal Transit Administration standards and requirements, 49 U.S.C. 5330 and Title 49 of the Code of Federal Regulations, Part 659, Rail Fixed Guideway Systems, State Safety Oversight, effective May 31, 2005, are hereby adopted by reference as the minimum acceptable program standards for state oversight of rail transit agencies that are included, or have filed to be included, in the FTA’s calculation of fixed guideway route miles or receive funding under FTA’s formula program for urbanized areas (49 U.S.C. 5336). These federal regulations are available for review from the Oregon Department of Transportation Rail Division and from the Federal Transit Administration.

(3) OAR 741-060-0010 through 741-060-0110 apply to all rail transit agencies operating rail fixed guideway systems in the State of Oregon. Non-compliance with these rules is subject to a penalty under ORS 824.990(1)(a). Rail transit agencies shall provide written certification of compliance with these rules to the Rail Division prior to beginning new passenger operations or passenger operations on an expanded rail fixed guideway system.

(4) The Rail Division shall monitor compliance with the system safety and system security and emergency preparedness program standards.

(5) All materials containing sensitive security information as defined in OAR 741-060-0020(24), must be identified as follows:

(a) In the case of paper records containing sensitive security information, a covered person must mark the record by placing the protective marking conspicuously on the top, and the distribution limitation statement on the bottom, of

(A) The outside of any front and back cover, including a binder cover or folder, if the document has a front and back cover;

(B) Any title page; and

(C) Each page of the document.

(b) The protective marking is: SENSITIVE SECURITY INFORMATION.

(c) The distribution limitation statement is: WARNING: This record contains Sensitive Security Information that is controlled under 49 CFR parts 15 and 1520. No part of this record may be disclosed to persons without a “need to know,’’ as defined in 49 CFR parts 15 and 1520, except with the written permission of the Administrator of the Transportation Security Administration or the Secretary of Transportation. Unauthorized release may result in civil penalty or other action. For U.S. government agencies, public disclosure is governed by 5 U.S.C. 552 and 49 CFR parts 15 and 1520.

(d) In the case of non-paper records that contain sensitive security information, including motion picture films, videotape recordings, audio recording, and electronic and magnetic records, a covered person must clearly and conspicuously mark the records with the protective marking and the distribution limitation statement such that the viewer or listener is reasonably likely to see or hear them when obtaining access to the contents of the record.

[Publications: Publications referenced are available from the agency.]

Stat. Auth.: ORS 184.616, 184.619, 823.011, 824.045
Stats. Implemented: ORS 824.045
Hist.: 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

741-060-0020

Definitions

As used in OAR 741-060-0010 through 741-060-0110, the following definitions apply:

(1) “24-hour day” means a period of time that begins at the time an employee reports to work, after concluding at least the required minimum number of consecutive hours off.

(2) “Accident” means any event involving a rail transit vehicle or occurring on a rail transit-controlled property, involving one or more of the following:

(a) A fatality, either at the scene or resulting from injuries sustained at the scene when the injured person dies within 30 days of the incident;

(b) Injuries requiring immediate medical attention away from the scene;

(c) Property damage to rail transit vehicles, non-rail transit vehicles, other rail transit property or facilities, or non-transit property equal to or exceeding $25,000;

(d) An evacuation due to life safety or security reasons;

(e) A collision at a rail-grade crossing;

(f) A mainline derailment;

(g) A collision between a rail transit vehicle and another rail transit vehicle or a rail transit non-revenue vehicle; or

(h) A collision with an individual on a rail right of way.

(3) “Contractor” means an entity that performs tasks or services on behalf of the Rail Division or rail transit agency. The rail transit agency may not be a contractor for the Rail Division.

(4) “Corrective action plan” means a plan developed by the rail transit agency that describes the actions the rail transit agency will take to minimize, control, correct, or eliminate hazards, and the schedule and responsibility for implementing those actions.  

(5) “Covered Person” is any person

(a) Who has access to Sensitive Security Information;

(b) Who is employed by, contracted to, or acting for a covered person, including a grantee of the federal Department of Homeland Security (DHS) or Department of Transportation (DOT), and persons formerly in such a position;

(c) For whom a vulnerability assessment has been directed, created, held, funded, or approved by the DOT, DHS, or who has prepared a vulnerability assessment that will be provided to either agency in support of a Federal security program; or

(d) Who receives Sensitive Security Information.

(6) “Derailment” means an instance when the wheel of a rail transit vehicle comes off the head of the rail. It does not include vehicles equipped with rubber tires designed for highway use.

(7) “FTA” means the Federal Transit Administration, an agency within the U.S. Department of Transportation.

(8) “Hazard” means any real or potential condition (as defined in the rail transit agency’s hazard management process) that may cause injury, illness, death, damage to or loss of a system, equipment or property, or damage to the environment.

(9) “Individual” means a passenger, employee, contractor, other rail transit facility worker, pedestrian, trespasser, or any person on rail transit-controlled property.

(10) “Investigation” means a process to determine the causal and contributing factors of an accident or hazard, so that actions can be identified to prevent recurrence.

(11) “NTSB” means the National Transportation Safety Board, an independent federal agency responsible for investigation of civil transportation accidents.

(12) “On-duty time” means a period of time beginning when a safety sensitive employee reports for work at a designated point or at a designated time, and continues until such time as that employee is released or relieved from all responsibility for performing work. On-duty time shall begin only after the safety sensitive employee has completed at least the minimum number of continuous hours off duty.

(13) ”Passenger” means a person who is on board, boarding, or alighting from a rail transit vehicle for the purpose of travel.

(14) “Passenger operations” means the period of time when any aspect of rail transit agency operations is initiated with the intent to carry passengers.

(15) “Program standard” means a written document developed and adopted by the Rail Division that describes the rules and procedures used to provide rail transit agency safety and security oversight.

(16) “Rail Division” means the Rail Division of the Oregon Department of Transportation, an agency of the State of Oregon designated to provide safety and security oversight to rail transit agencies that operate in Oregon.

(17) “Rail fixed guideway system” means any light, heavy or rapid rail system, monorail, inclined plane, funicular, trolley, streetcar or automated guideway used primarily for carrying passengers that is not regulated by the Federal Railroad Administration, and:

(a) Is included, or has filed to be included, in the FTA’s calculation of fixed guideway route miles or receives funding under FTA’s formula program for urbanized areas (49 U.S.C. 5336); or

(b) Is owned or operated by a municipal corporation, as defined in ORS 824.045(2), and does not fall within the definition in (17)(a) above.

(18) “Rail transit agency” means an entity that operates a rail fixed guideway system in the State of Oregon.

(19) “Rail transit-controlled property” means property that is used by the rail transit agency and may be owned, leased, or maintained by the rail transit agency.

(20) “Rail transit vehicle” means the rail transit agency’s rolling stock, including but not limited to passenger and maintenance vehicles.

(21) “Safety” means freedom from harm resulting from unintentional acts or circumstances.

(22) “Safety sensitive employee” means an individual employed by, contracted by, or a volunteer of, the rail transit agency who operates a light rail vehicle, trolley, streetcar, or other vehicle used for carrying passengers, or who dispatches or controls the movement of such vehicles, or who reports, transmits, receives or delivers orders pertaining to the movement of such vehicles, or who is engaged in the installation or maintenance of the on-track vehicles, train control, train protection, or signaling system.

(23) “Security” means freedom from harm resulting from intentional acts or circumstances.

(24) “Security breach” means an event, occurrence or threat that may endanger life or property, or may result in the loss of services or system equipment. For reporting purposes, security breach includes, but may not be limited to:

(a) Homicide;

(b) Forcible rape;

(c) Robbery;

(d) Aggravated assault;

(e) Bomb threat, or potential bomb threat;

(f) Hijack of a rail transit vehicle; or

(g) Evacuation due to any security reason or potential threat.

(25)”Sensitive security information” means any information that is exempt from public disclosure pursuant to ORS 192.502, and 49 CFR ¦¦ 15 and 1520, effective November 26, 2008.

(26) “System safety program plan” means a document developed and adopted by the rail transit agency describing its safety policies, objectives, responsibilities and procedures.

(27) “System security and emergency preparedness plan” means a document developed and adopted by the rail transit agency describing its security policies, objectives, responsibilities and procedures to assure rapid, controlled, and predictable responses to various types of emergencies.

(28) “System Security and Emergency Preparedness Planning Guide” means the guidelines available from the FTA for the development of system security and emergency preparedness plans.

(29) “Train” means one or more rail transit vehicles coupled together and propelled as a single operating unit.

Stat. Auth.: ORS 184.616, 184.619, 823.011 & 824.045
Stats. Implemented: ORS 824.045
Hist.: 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

741-060-0025

Corrective Action Plan Requirements

(1) Each rail transit agency that operates a rail fixed guideway system meeting the definition in OAR 741-060-0020(17)(a) shall prepare a corrective action plan as required by this rule and in compliance with 49 CFR Part 659, effective May 31, 2005. Each rail transit agency that operates a rail fixed guideway system meeting the definition in OAR 741-060-0020(17)(b) shall prepare a corrective action plan in compliance with this rule.

(2) Each rail transit agency must develop a corrective action plan for the following:

(a) Results from investigations in which identified causal and contributing factors are determined by the rail transit agency or Rail Division as requiring corrective action(s); or

(b) Hazards or deficiencies identified through internal or external safety and security audits or reviews, or from the hazard management process.

(3) The corrective action plan must identify the hazard or deficiency, the planned activity or actions to resolve the hazard or deficiency, the individual or department(s) responsible for implementing the corrective action, and a schedule of dates for implementation of corrective action(s).

(4) The rail transit agency must submit the corrective action plan to the Rail Division for review and approval within 30 days after the need for the corrective action plan has been identified. The Rail Division will review the plan and issue written notice approving it, approving it with conditions, or rejecting it.

(5) If the Rail Division approves the rail transit agency’s corrective action plan with conditions, or rejects it, the rail transit agency shall have 15 days from the date the Rail Division issued such notice to request that the Rail Division reconsider its decision or to submit a new plan for approval.

(6) The rail transit agency shall submit verification that the corrective actions within the approved corrective action plan have been implemented.

(7) Each rail transit agency shall maintain a corrective action monitoring log and provide the Rail Division monthly status reports regarding individual corrective action plans or a monthly update to its corrective action monitoring log.

Stat. Auth.: ORS 184.616, 184.619, 823.011, 824.045
Stats. Implemented: ORS 824.045
Hist.: RD 1-2007, f. & cert. ef. 3-7-07; RD 1-2010, f. & cert. ef. 10-25-10

741-060-0030

System Safety Program Plan Requirements

(1) Each rail transit agency with a rail fixed guideway system meeting the definition in OAR 741-060-0020(17)(a) shall prepare a system safety program plan conforming to the requirements of 49 CFR Part 659, effective May 31, 2005, and OAR 741-060-0010 through 741-060-0110. Each rail transit agency that operates a rail fixed guideway system meeting the definition in OAR 741-060-0020(17)(b) shall prepare a system safety program plan conforming to OAR 741-060-0010 through 741-060-0110.

(2) The rail transit agency shall review its system safety program plan a minimum of once a year. After each review, and upon a date agreed to by the rail transit agency and the Rail Division, the rail transit agency shall submit the plan, along with written documentation and any checklists used for the review, to the Rail Division for review and approval. When the rail transit agency submits the plan and review materials to the Rail Division, the rail transit agency shall include a cover letter identifying any changes made to the plan. If the Rail Division [rail transit agency] determines that [no] additional changes to the plan are necessary, the Rail Division shall advise the rail transit agency in writing of the changes required. The rail transit agency shall have 30 days to revise its plan to comply with modifications required by the Rail Division.

(3) The system safety program plan shall describe the method used to maintain effective communications and coordination with Rail Division staff, and shall contain:

(a) An organization chart of the rail transit agency;

(b) A description of employee training and certification on the System Safety Program Plan process for employees in safety-related positions;

(c) Identification of the facilities and equipment subject to regular safety-related inspection and testing;

(d) A description of the process for developing and managing corrective action plans as described in OAR 741-060-0025;

(e) A description of the process used by the rail transit agency to ensure that planned and scheduled internal safety reviews are performed to evaluate compliance with the system safety program plan, pursuant to OAR 741-060-0070;

(f) The method and schedule for annual submission of the system safety program plan to the Rail Division;

(g) The process for facilitating on-site safety reviews by the Rail Division;

(h) A description of the safety program for employees and contractors that incorporates the applicable state and local requirements, including:

(A) Safety requirements that employees and contractors must follow when working on, or in close proximity to, rail transit agency property; and

(B) Processes for ensuring the employees and contractors know and follow the requirements.

(i) A description of the hazard management process used by the rail transit agency, pursuant to OAR 741-060-0035;

(j) A description of the process used by the rail transit agency to perform accident notification, investigation and reporting, pursuant to OAR 741-060-0080 and OAR 741-060-0090;

(k) A description of the process used by the rail transit agency to ensure that safety concerns are addressed in modifications to existing systems, vehicles, and equipment, including any system extensions, rehabilitations or new starts, if applicable; and

(L) A description or reference to the hours of service policy pursuant to OAR 741-060-0100.

(4) The system safety program plan for rail transit agencies that operate a rail fixed guideway system meeting the definition in OAR 741-060-0020(17)(b) shall include a drug and alcohol-testing program, or reference to an existing program, that pertains to its safety sensitive employees. The program, if contained in a separate document from the plan, shall be submitted to the Rail Division for review.

(5) The rail transit agency shall implement and comply with the system safety program plan for all aspects of its rail fixed guideway system.

Stat. Auth.: ORS 184.616, 184.619, 823.011 & 824.045
Stats. Implemented: ORS 824.045
Hist.: 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

741-060-0035

Hazard Management Process

(1) The rail transit agency must develop and document as a part of its system safety program plan a process to identify and resolve hazards during its operation, including any hazards resulting from subsequent system extensions or modifications, operational changes, or other changes.

(2) The hazard management process must, at a minimum:

(a) Define the rail transit agency's approach to hazard management and the implementation of an integrated system-wide hazard resolution process;

(b) Specify the sources of, and the mechanisms to support, the on-going identification of hazards;

(c) Define the process by which the identified hazard(s) will be evaluated and prioritized for elimination or control;

(d) Identify the mechanism used to track through to resolution the identified hazard(s);

(e) Define minimum thresholds for the notification and reporting of hazard(s) to the Rail Division; and

(f) Specify the process by which the rail transit agency will provide on-going reporting of hazard resolution activities to the Rail Division.

Stat. Auth.: ORS 184.616, 184.619, 823.011, RS 824.045
Stats. Implemented: ORS 824.045
Hist.: RD 1-2007, f. & cert. ef. 3-7-07

741-060-0040

Monitoring the System Safety Program Plan

(1) The Rail Division or its contractor may inspect, investigate and review the operation and maintenance of each rail transit agency to assess whether the actual safety and practices comply with its system safety program plan.

(2) At least once every three years, the Rail Division or its contractor shall conduct an on-site review of the implementation of each rail transit agency's system safety program plan to verify compliance with, and evaluate the effectiveness of, the plan.

(3) Following each on-site review, the Rail Division or its contractor shall prepare a written report of its findings and recommendations, and the need, if any, for updating the system safety program plan or revising implementation of the plan. If the report identifies deficiencies for which a corrective action plan is required, the rail transit agency shall submit a corrective action plan to the Rail Division within 30 days after receiving the report, or within a different time period if specified by the Rail Division. The corrective action plan must comply with the requirements in OAR 741-060-0025.

Stat. Auth.: ORS 184.616, 184.619, 823.011 & 824.045
Stats. Implemented: ORS 824.045
Hist.: 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

741-060-0050

System Security and Emergency Preparedness Plan Requirements

(1) Each rail transit agency with a rail fixed guideway system meeting the definition in OAR 741-060-0020(17)(a) shall prepare a system security and emergency preparedness plan conforming to 49 CFR part 659, effective May 31, 2005, the FTA’s Transit Agency System Security and Emergency Preparedness Planning Guide, and OAR 741-060-0010 through 741-060-0110. Each rail transit agency with a rail fixed guideway system meeting the definition in OAR 741-060-0020(17)(b) shall prepare a system security and emergency preparedness plan conforming to OAR 741-060-0010 through 741-060-0110.

(2) The system security and emergency preparedness plan shall be developed and maintained in a separate document and not as part of the system safety program plan.

(3) The rail transit agency shall review its system security and emergency preparedness plan a minimum of once a year. After each review, and upon a date agreed to by the rail transit agency and Rail Division, the rail transit agency shall submit the plan, along with written documentation and any checklists used for the review, to the Rail Division for review and approval. When the rail transit agency submits the plan and review materials to the

Rail Division, it shall include a cover letter identifying any changes made to the plan. If the Rail Division determines that additional changes to the plan are necessary, the Rail Division shall advise the rail transit agency in writing of the changes required. The rail transit agency shall have 30 days to revise its plan to comply with any modifications required by the Rail Division.

(4) The rail transit agency shall implement and comply with the system security and emergency preparedness plan for all operations of its rail fixed guideway system. The rail transit agency shall document within the plan its process for managing threats and vulnerabilities during operations and for major projects, extensions, new vehicles and equipment, including integration with the safety certification process.

(5) The rail transit agency shall not make its system security and emergency preparedness plan available to the public.

(6) The system security and emergency preparedness plan shall include the process the rail transit agency used to develop the plan.

(7) The system security and emergency preparedness plan shall include measures to control and track all access to the plan and any of its contents. At a minimum, the rail transit agency must number each page, place a unique identifying mark on each copy of the plan and maintain a log showing the whereabouts of each copy of the plan. The plan shall include the process the rail transit agency uses to make the plan available for Rail Division review and approval. Any information contained therein determined to be sensitive security information, as defined in OAR 741-060-0020(25), shall be marked as specified in OAR 741-060-0010(5).

(8) The system security and emergency preparedness plan must:

(a) Identify the policies, goals, and objectives for the security program endorsed by the rail transit agency’s chief executive; and

(b) Identify controls in place that address the personal security of passengers and employees.

[Publications: Publications referenced are available from the agency.]

Stat. Auth.: ORS 184.616, 184.619, 823.011 & 824.045
Stats. Implemented: ORS 824.045
Hist.: 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

741-060-0060

Monitoring the System Security and Emergency Preparedness Plan

(1) The Rail Division or its contractor may investigate and review the operation[al phase] of each rail transit agency to determine whether the rail transit agency’s actual security practices comply with its system security and emergency preparedness plan.

(2) At least once every three years, the Rail Division or its contractor shall conduct an on-site review of the implementation of each rail transit agency’s system security and emergency preparedness plan to verify compliance with, and evaluate the effectiveness of, the plan.

(3) Following each on-site review, the Rail Division or its contractor shall prepare a written report of its findings and recommendations, and the need, if any, for updating the system security and emergency preparedness plan or revising implementation of the plan. If the report identifies deficiencies for which a corrective action plan is required, the rail transit agency shall submit a corrective action plan to the Rail Division within 30 days after receiving the report, or within a different time period if specified by the Rail Division. The corrective action plan must comply with the requirements in OAR 741-060-0025.

(4) Sensitive security information, as defined in OAR 741-060-0020(25), may not be disseminated or publicly disclosed.

Stat. Auth.: ORS 184.616, 184.619, 823.011 & 824.045
Stats. Implemented: ORS 824.045
Hist.: 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

741-060-0070

Requirements for Internal Reviews

(1) Over a three-year period, each rail transit agency that operates a rail fixed guideway system meeting the definition:

(a) In OAR 741-060-0020(17)(a) shall conduct on-going internal reviews that cover all elements of 49 CFR ¦¦ 659.19 and 659.23, effective May 15, 2005, and all elements of OAR 741-060-0030 and OAR 741-060-0050;

(b) In OAR 741-060-0020(17)(b) shall conduct on-going internal reviews that cover all the elements of OAR 741-060-0030 and OAR 741-060-0050.

(2) Internal reviews shall be performed by each rail transit agency to evaluate compliance and measure the effectiveness of its system safety program plan and system security and emergency preparedness plan.

(3) The internal reviews referenced in the system safety program plan and the security and emergency preparedness plan must describe the process used by the rail transit agency to ensure that planned and scheduled internal reviews are performed to evaluate compliance with the plans. The description 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.

(4) The rail transit agency shall notify the Rail Division at least 30 days prior to any planned internal reviews. The rail transit agency shall submit to the Rail Division copies of the checklists and procedures it will use for the review.

(5) Each internal review shall be performed in accordance with the written checklist by personnel technically qualified to verify compliance and assess the effectiveness of the system safety program plan or the system security and emergency preparedness 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.

(6) Internal reviews shall 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 system safety program plan and system security and emergency preparedness plan. The annual report for the internal reviews performed during the preceding year shall be submitted to the Rail Division prior to the 15th of February of each year, pursuant to OAR 741-060-0095.

Stat. Auth.:
Stats. Implemented: ORS 824.045
Hist.: 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

741-060-0080

Requirements for Reporting Accidents, Security Breaches and Hazards

(1) Each rail transit agency shall notify the Rail Division of any accident or security breach no later than two hours after its occurrence.

(2) Each rail transit agency that shares track with a general railroad system, and is subject to Federal Railroad Administration reporting requirements, shall notify the Rail Division within two hours of any incident for which they are required to report to the Federal Railroad Administration.

(3) Each rail transit agency shall notify the Rail Division of any hazard that meets the threshold for notification and reporting of such hazards no later than 24 hours after identification.

(4) Notice required under sections (1), (2) and (3) of this section shall be made by electronic mail or telephone and, at a minimum, shall contain the following information:

(a) Name of reporting party;

(b) Date and time of the report;

(c) Date and time of the accident or security breach and probable cause;

(d) Location and brief description of the accident, security breach or identified hazard; and

(e) Action taken to insure the safety and security of employees, passengers and public from the effects of the accident, security breach or identified hazard.

(5) Each rail transit agency shall submit to the Rail Division a summary report for each month of the year:

(a) Summarizing the number of accidents, security breaches and identified hazards that occurred that month, as well as any other incident involving a fire or other event that requires fire suppression activities.

(b) With a detailed report attached for each accident, security breach, identified hazard, and incident in the report; and

(c) With the final report of any investigation completed that month.

(6) The summary report must be submitted within 30 days following the end of the month being reported.

Stat. Auth.: ORS 184.616, 184.619, 823.011 & 824.045
Stats. Implemented: ORS 824.045
Hist.: 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

741-060-0090

Requirements for Investigating Accidents, Security Breaches and Hazards

(1) Each rail transit agency shall investigate accidents and [,] security breaches that meet the notification threshold. Unless formally advised otherwise, the rail transit agency shall conduct these investigations on behalf of the Rail Division. The rail transit agency may use its own staff or a contractor to conduct investigations.

(2) Within 24 hours of the accident or security breach, the rail transit agency shall submit to the Rail Division a 24-hour status report documenting investigation activities and findings. The rail transit agency shall also submit additional status reports if requested by the Rail Division.

(3) In addition to the 24-hour status report and any other reports requested by the Rail Division pursuant to section (2) of this rule, the rail transit agency shall submit to the Rail Division a draft investigation report that includes a description of the investigation activities, findings, identified causal and contributing factors, and a corrective action plan in compliance with OAR 741-060-0025.

(4) The Rail Division will review the draft report submitted under section (3) of this rule. If the Rail Division concurs with the findings of the draft report it will be deemed a final report and the Rail Division will formally adopt it in writing. If the Rail Division does not concur with the findings of the draft report it may conduct its own investigation or transmit its dissent to the findings and negotiate with the rail transit agency until a resolution on the findings is reached.

(5) The rail transit agency shall submit to the Rail Division for review and approval a copy of its investigation procedures. Any subsequent modifications and revisions to the procedures must also be submitted to the Rail Division for review and approval.

(6) Each rail transit agency shall oversee investigations undertaken on behalf of the Rail Division pursuant to section (1) of this rule, and shall retain responsibility for the results of such investigations.

(7) The rail transit agency shall cooperate fully during any investigation conducted by the Rail Division or the NTSB. All NTSB findings or recommendations that are adopted by the Rail Division shall be implemented by the rail transit agency.

(8) Investigation reports and corrective action plans resulting from rail transit agency or Rail Division activities shall not be admissible evidence in any proceeding or civil action for damages that may result from the matters investigated.

Stat. Auth.: ORS 184.616, 184.619, 823.011 & 824.045
Stats. Implemented: ORS 824.045
Hist.: 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

741-060-0095

Annual Report Requirements

By February 15 of each year, each rail transit agency shall submit to the Rail Division a written report for review and approval, certifying that it has complied with the provisions of OAR 741-060-0010 through 741-060-0110 for the preceding year. The report shall include:

(1) A formal letter of certification signed by the rail transit agency’s chief executive indicating:

(a) That the rail transit agency is in compliance with its system safety program plan and its system security and emergency preparedness plan; or

(b) Noncompliance findings from its internal safety and security audits and reviews, with documentation of corrective actions that will be or have been taken to achieve compliance.

(2) A compilation summarizing all the reportable accidents, security breaches, and identified hazards, and all investigations and hazard analyses conducted. It shall include findings, identified causal and contributing factors, and updated corrective action plans, if any;

(3) A summary of the hazard management process activities and all internal safety and security reviews conducted, with findings and updated corrective action plans, if any; and

(4) A summary of the required annual review and the modifications, if any, to its system safety program plan and system security and emergency preparedness plan.

(5) The security portion of the annual report must comply with the sensitive security information management requirements of the rail transit agency’s security and emergency preparedness plan.

Stat. Auth.: ORS 184.616, 184.619, 823.011, 824.045
Stats. Implemented: ORS 824.045
Hist.: RD 1-2007, f. & cert. ef. 3-7-07; RD 1-2010, f. & cert. ef. 10-25-10

741-060-0100

Hours of Service

(1) Each rail transit agency shall establish, implement and enforce an hours-of-service policy for its safety sensitive employees. The policy and any subsequent changes shall be reviewed and approved by the Rail Division.

(2) The policy must prohibit a safety sensitive employee from:

(a) Performing work in excess of the maximum hours of on-duty time during a 24-hour day or a seven-day period;

(b) Performing work in excess of the maximum consecutive days without a rest day; or

(c) Going on duty until the employee has had the minimum required number of consecutive hours off.

(3) Hours of service limitations may be waived under situations of emergencies, as declared by the rail transit agency’s Chief Executive Officer of Operations, or his or her designee. When an emergency situation requiring the extended service of a safety sensitive employee occurs which is both unforeseeable and beyond the control of the rail transit agency, the employee may be on duty in excess of the allotted hours. These emergency situations may include, but are not limited to, winter storms, public emergencies like an earthquake or fire, and accidents or security breaches. During emergency situations, hours of service must be limited to the extent practical and monitored by the rail transit agency.

(4) The rail transit agency shall maintain hours of service records for safety sensitive employees for a period of two years, and upon request, make such records available to the Rail Division for review.

(5) The rail transit agency shall notify the Rail Division whenever a safety sensitive employee is not in compliance with the hours-of-service policy. The rail transit agency shall notify the Rail Division of the non-compliance by telephone or electronic mail, and shall do so within 48 hours of its occurrence. The notification required under this section shall contain:

(a) The employee’s name;

(b) The employee’s identification number;

(c) The employee’s work title;

(d) The type of violation;

(e) The schedule of work and rest for the period of 72 hours prior to the infraction; and

(f) A brief description of the circumstances of the violation.

Stat. Auth.: ORS 184.616, 184.619, 823.011 & 824.045
Stats. Implemented: ORS 824.045
Hist.: 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

741-060-0110

Annual Fee for State Oversight Activities

(1) On or before July 15 of each year, the Rail Division shall provide to municipal corporations operating a rail fixed guideway system, as defined in ORS 824.045(2), an estimate of costs for the state oversight program described in OAR 741-060-0010 through 741-060-0110 for the next fiscal year. The estimate shall indicate the total excess fees collected, if any, for the prior fiscal year. Costs shall be apportioned among each rail fixed guideway system, based on time and expenses associated with the state oversight of each system.

(2) The Rail Division may also require reimbursement for expenses directly attributable to a single rail transit agency, such as federally required audits.

(3) By August 31 of each year, the rail transit agency must pay the entire amount, minus the excess fees from the prior fiscal year, or pay the entire amount and request the excess fees be refunded.

Stat. Auth.: ORS 184.616, 184.619, 823.011 & 824.045
Stats. Implemented: ORS 824.045
Hist.: 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

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