741-065-0072 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) Causal and contributing factors identified during an investigation that are determined by the RTA or SSOA to require corrective action(s); or (b) Hazards or deficiencies identified through internal or external safety and security audits, observations or reviews, accidents, incidents, occurrences, or through the hazard management process. (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 shall submit the CAP to the SSOA for review and approval as soon as the need and the corrective action have been identified, but before the corrective action has been carried out, 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 immediate safety of the system, the RTA shall notify the SSOA immediately of the need for the CAP, and thereafter 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 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 30 days from the date the SSOA issues such notice to request that the SSOA reconsider its decision or for permission 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 to the SSOA status reports every quarter regarding individual corrective action plans and a quarterly update to its corrective action monitoring log. (12) The corrective action monitoring log that is to be delivered quarterly to the SSOA must include a list of all corrective actions arising from any source. The corrective action log 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) 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. Statutory/Other Authority: ORS 184.619, 192.502, 823.011, 824.045, 824.990, 49 CFR 15 & 49 CFR 1520 Statutes/Other Implemented: ORS 183.745 & 824.045 History: RD 2-2021, adopt filed 07/19/2021, effective 07/19/2021