741-065-0078 Reporting Requirements (1) Quarterly Reporting Requirements. Within 15 days following the end of each quarter, the RTA shall prepare summaries of information on the number of accidents and identified hazards that occurred within that quarter. Once every quarter, the RTA must submit these summaries to the SSOA, along with: (a) The final report of any investigation completed that quarter; (b) Documentation of any events that were not otherwise reported that meet the threshold for reporting, such as hours of service violations; (c) A corrective action monitoring log listing all corrective actions arising from any source. The corrective action log shall contain: (A) The source of the corrective action, with identifying information; (B) The date the corrective action was determined; (C) A detailed description of the corrective action itself; (D) An estimate of the date upon which the corrective action will be completed; (E) A section for the SSOA to approve each corrective action; (F) The person or department responsible for implementing the corrective action; (G) A section for the SSOA to verify completion of the corrective action; and (H) All corrective actions, closed or open. (d) Closed corrective actions are to remain on the log after closure and do not drop off the log without agreement and approval from the SSOA, or following the end of the following calendar year, whichever first occurs. Open actions must remain on the log until closed and verified by the SSOA. (2) Annual Reporting Requirements. By February 15 of each year, each RTA shall submit to the SSOA a written report for review and approval. The report shall include a formal letter of certification signed by the RTA’s General Manager certifying that the RTA is in compliance with OARs 741-065-0010 through 741-065-0110, and also is in compliance with: (a) Its System Safety Program Plan (SSPP), its System Security Plan (SSP) and its Emergency Preparedness and Response Plan; or, if not in compliance, then: (A) A detailed explanation of the noncompliance and a description of how such non-compliance will be corrected, with documentation of corrective actions that will be or have been taken to achieve compliance; (B) Any noncompliance findings from its internal audits and reviews, with documentation of corrective actions that will be or have been taken to achieve compliance; and (C) A summary of all accidents and hazards determined for the preceding calendar year. (b) The written report shall also include: (A) A summary of the hazard management process activities and all internal reviews conducted, with findings and updated corrective action plans, if any; and (B) A summary of the required annual review and the modifications, if any, to its System Safety Program Plan, System Security Plan and Emergency Preparedness and Response Plan. (C) The security portion of the annual report must comply with the sensitive security information management requirements of the RTA’s system security plan, as applicable. (c) The written report must document all internal reviews performed that year along with the results of each review in terms of the adequacy and effectiveness of the plans, including any CAPs, if required following the review(s). (3) Reporting Requirements for Notification of Accidents, Security Breaches and Hazards (a) Each rail transit agency shall notify the SSOA no later than two hours after any accident or security breach takes place. (b) Each RTA that shares track with a general railroad system, and is subject to Federal Railroad Administration reporting requirements, shall immediately notify the SSOA of any event which they are required to report to the Federal Railroad Administration. (c) Each RTA shall notify the SSOA of any hazard that meets the threshold for notification and reporting of such hazards as defined in OAR 741-065-0076, no later than 24 hours after identification. (d) Notice required under sections (a), (b) and (c) of this section must be made by electronic mail to sso@odot.state.or.us, and, at a minimum, must contain the following information: (A) Name of reporting agency; (B) Reporting agency’s internal control number assigned to the event, if any; (C) Date and time of the report; (D) Date and time of the accident, security breach, or identified hazard; and (E) Specific location and brief description of the accident, security breach or identified hazard. (e) Within 72 hours after any accident or security breach, the RTA shall submit to the SSOA a status update of the event that, at a minimum, contains the following information: (A) Employee identification number of employee(s) involved in the event; (B) Hours of service records for involved employee(s) covering a period of no less than 72 hours prior to the event; (C) The number of injuries and fatalities resulting from the event; and (D) Probable causal and contributing factors if determined or suspected; if not yet available, an update on the status of the ongoing investigation into the causal and contributing factors must be provided. (E) Any additional information obtained or determined, including, but not limited to, employee and supervisor reports, applicable train orders, special instructions, operating conditions, and description of equipment involved based on information available at that time. 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