Background
FTA performs onsite audits and makes findings to state oversight agencies and rail transit agencies that do not meet the requirements established in 49 CFR Part 659. FTA asked us to develop a tracking system to manage all data related to its SSO Audit Program, including the tracking of finding resolution.
Approach
We designed FTA’s SSO Audit Program Database to support several key functions, including tracking of all SSO Audit findings and corrective actions, tracking all SSO Program effective practices, managing all audit submission due dates, the establishing and tracking SSO Audit Program performance measures, and generating various reports to support FTA’s SSO program as a whole. We designed the database to incorporate criticality, distinguishing minor documentation-related findings from more severe implementation issues.
We developed a user interface that allows auditors and SSO Program staff to continuously update findings status and resolution activities based on ongoing interaction with audited agencies. Additionally we developed a reporting module that produces a monthly report for FTA regional offices, highlighting concerns of regional interest, and an SSO audit program status report that provides analyses of state and transit agency performance, from both compliance and safety-critical perspectives.
Results
Our audit database is the central mechanism powering the SSO audit program. The system produces tracking matrices for distribution to states identifying all open audit findings, FTA feedback, and actions required for closeout; provides FTA with an instant read on SSO Community safety concerns, and assesses the SSO audit program itself by measuring program performance through a wide range of tracked measures.