2015 CPUC SYSTEM SAFETY REVIEW CHECKLIST FOR COUNTY TRANSIT DISTRICT (NCTD) 3 Checklist No. Element Overview of Management Structure August 18, 2015 NCTD Senior Management Date of Audit Department(s) 11:30-13:00 NCTD Safety Daren Gilbert Don Filippi Stephen Artus Mike Wygant Auditors/ Persons Noel Takahara Lucero Inspectors Mike Contacted Bryant Abel Michael Lange (FRA Adam Renteria Observer) CPUC General Order 164-D NCTD System Safety Program Plan (SSPP) version 8 dated January 2014 Overview of Senior Management Structure Interview NCTD Senior Management and review appropriate records to: Discuss NCTD’s process for integrating safety into NCTD operations and maintenance activities. Identify any specific deficiencies in the safety program due to limitations in personnel or resources such as difficulties in maintaining schedules for SSPP updates, completing Internal Safety and Security Audits, or performing Accident/Incident Investigations. Review Risk Roundtable Meeting minutes from the past twelve months to verify meetings were held according to the requirements in SSPP Element 6.2.4 (Risk Roundtable). Does the Safety Department have personnel resources allocated to support interdepartmental coordination on safety issues and concerns? Have NCTD’s Safety Department’s personnel and resources been cut or increased disproportionately with NCTD’s overall budget over the last three (3) years?
2015 CPUC SYSTEM SAFETY REVIEW CHECKLIST FOR COUNTY TRANSIT DISTRICT (NCTD) Checklist No. 3 Element Overview of Management Structure Date of Audit August 18, 2015 11:30-13:00 Department(s) NCTD Senior Management NCTD Safety Auditors/ Inspectors Daren Gilbert Stephen Artus Noel Takahara Mike Michael Lange (FRA Observer) Persons Contacted Don Filippi Mike Wygant Lucero Bryant Abel Adam Renteria CPUC General Order 164-D NCTD System Safety Program Plan (SSPP) version 8 dated January 2014 Overview of Senior Management Structure Interview NCTD Senior Management and review appropriate records to: Discuss NCTD’s process for integrating safety into NCTD operations and maintenance activities. Identify any specific deficiencies in the safety program due to limitations in personnel or resources such as difficulties in maintaining schedules for SSPP updates, completing Internal Safety and Security Audits, or performing Accident/Incident Investigations. Review Risk Roundtable Meeting minutes from the past twelve months to verify meetings were held according to the requirements in SSPP Element 6.2.4 (Risk Roundtable). Does the Safety Department have personnel resources allocated to support interdepartmental coordination on safety issues and concerns? Have NCTD’s Safety Department’s personnel and resources been cut or increased disproportionately with NCTD’s overall budget over the last three (3) years?