2023 Triennial Audit - Grouping 10. Safety Assurance – Continuous Improvement

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

• Tracking the three-year cycle of internal safety reviews/audits
• Assessment of Safety Performance Measures compared to the Targets for Improvement
• Assuring integration of the Safety Division in policy and procedure development and changes

Positive Observations

• The Internal Safety Review/Audit program is generally performed and completed within a three-year cycle.
• The MBTA generally notifies the DPU of its intent to perform internal audits.
• Outside auditors are being leveraged to audit sections of the Safety Department that could be perceived as a conflict of interest.
• The MBTA established the Quality, Compliance, and Oversight office (“QCO”) to coordinate and ensure implementation of FTA’s SDs.
• Some of MBTA’s Internal Safety Reviews/Audit topics focus on the MBTA Safety functions/activities. To ensure a neutral process and meaningful results, the MBTA used a third-party contractor in 2022 when it last conducted such a review of MBTA Safety. MBTA should continue to use a separate MBTA office or third-party contractor for such audits/reviews of MBTA Safety functions and activities.

Opportunities for Continual Improvement

• The MBTA should be more proactive in ensuring the DPU Rail Transit Safety Division has been properly notified of MBTA’s intent to audit a department, including making personal contact.
• The MBTA Safety should consider onboarding a contractor to assist them in developing a revised approach to the Internal Safety Reviews/Audits that is satisfactory for all stakeholders, including DPU and FTA.
• MBTA could determine the future scope of QCO including its underlying responsibilities for compliance with state and federal requirements.

Recommendations

• The MBTA should consider changing the format of its own audit program to better reflect the Groupings that DPU audits in this Triennial Audit program, or at least perform a gap analysis to ensure that all components of the ASP/SMS are being met.
• The MBTA should analyze the findings and recommendations from each of its audits and evaluate whether they are acceptable or if more attention is required in certain areas, for example, record keeping.
• The MBTA should explain how they interact with MassDOT Shared Services and whether the results and actions satisfy the requirements of the Internal Safety Review/Audit program.
• MBTA Safety has not always communicated the Internal Safety Review/Audit schedule and activities in a timely manner.
  • The MBTA must provide advance notice in writing to DPU of all Internal Safety Review/Audit schedules as they get updated through the year.

Findings

• None.

1. DPU is currently reviewing MBTA’s Safety Certification Plan that it revised in winter 2024. MBTA can postpone development of a CAP for this Finding until the DPU completes its review, provides comments, and identifies whether a CAP will be needed.