2023 Triennial Audit - Grouping 1. ASP Updates and Safety Management System (“SMS”) Implementation

The Department of Public Utilities (“DPU”), as the State Safety Oversight Agency for rail transit (subway lines) in Massachusetts, has completed a Triennial Audit of the Massachusetts Bay Transportation Authority’s (“MBTA”) Public Transportation Agency Safety Plan and its implementation. The Triennial Audit is a requirement of 49 C.F.R. § 674.31 and 220 CMR 151.10(2).

Scope

• Review records and recordkeeping for the SMS and its implementation.
  • Also use the results of the remaining audit groups to assess the SMS implementation.
  • Annual Safety Plan Review and Update, Certification of Compliance
  • Documentation and Tracking of Minimum Standards for Safety
  • Integration with Public Safety and Emergency Management
    • Security Emergency Preparedness Plan All Elements/Topics
    • Emergency Operations/Management Plan(s) and Related Training for RTA staff and Emergency Responders
    • Drills and Exercises Program
    • Most Recent Transportation Security Administration Baseline Assessment for Security Enhancement Review
  • Assuring Integration of the Safety Department in Policy and Procedure Development and Changes
  • [Safety Performance Criteria, Thresholds, and Targets for Improvement are covered in Safety Assurance]

The DPU SSO Program is responsible for the MBTA’s ASP requirements pursuant to 49 C.F.R. Part 674.29 (Public Transportation Agency Safety Plans: General Requirements), including updates of the ASP. This includes all of 49 CFR Part 673 (Public Transportation Agency Safety Plans) and the implementation of a SMS at the MBTA.

Positive Observations

• The MBTA completes the ASP update by the required deadlines.
• The MBTA has been consistent with its roll out of the new PPE policy and organizational compliance.

Opportunities for Continual Improvement

• The MBTA should use components of the SMS system, such as workshops, to generate more employee engagement on proposed changes to the ASP.

Recommendations

• The MBTA should provide DPU with a draft of ASP updates, for DPU to have sufficient time for an informal review of the document and provide conditional approval before the MBTA presents the document to its Board of Directors for approval.
• The MBTA should perform a formal SMS Implementation Audit to establish where it has made progress with the ASP.
• The MBTA should document the shared services between MBTA and MassDOT concerning rail transit and include an outline of each entity’s formal responsibilities.
• The SEMP and COOP should be evaluated to determine if an update is required.
• The Safety Certification Plan and Configuration Management Plan have not been updated since 2015. These plans are being updated pursuant to SD 22-9 and should continue to be updated to also reflect the relevant Recommendations and Findings in Grouping 9 of this audit.

Findings

• The DPU reviewed several documents considered Minimum Standards for Safety (“MSS”) that have been updated but not shared previously with the DPU. Examples include Employee-In-Charge (Roadway Worker Protection) and the Rulebook for Operations Employees. As part of FTA’s SMI activities, MBTA developed many documents for its SMS and overall Safety Program.
  • DPU shall be notified at least 30 days prior to any changes to Safety Critical documents, including MSS, and given the opportunity to comment prior to implementation.
• The MBTA completed drills and exercises without formal sharing of Corrective Actions developed in response to those drills and exercises.
  • The MBTA must notify the DPU of all Corrective Actions regarding the subway equipment and operations, including those initiated by MBTA and/or required by other agencies, that arise from the After-Action Reports after completing live drills or tabletop exercises. DPU will track these Corrective Actions until closed. MBTA shall track all CAPs assigned to or initiated by it in a single data repository.