MTA CAPITAL CONSTRUCTION QUARTERLY ENVIRONMENTAL AUDIT

• Quarter

• Contract/Site

• Contractor

• Location
  Address

• Conducted on

  Date

• Attendees

• Prepared by

• Project Description

1.0 Air Quality

• 1.1 Are dust control methods bring used, such as misting systems, dust boss, and ventilation to minimize dust being generated?

  Yes

  No

  N/A

• 1.2 Is equipment >50 hp fitted with a DPF or other emission control device, or use a tier4 engine?

  Yes

  No

  N/A

• 1.3 Are all pieces of equipment inventoried with a MTA c sticker?

  Yes

  No

  N/A

• 1.4 Are Camp meters in place upwind and downwind of where the work is happening?

  Yes

  No

  N/A

2.0 Noise and Vibration

• 2.1 Are noise readings being taken for all pieces of equipment?

  Yes

  No

  N/A

• 2.2 Are noise blankets, mufflers being used in loud areas?

  Yes

  No

  N/A

• 2.3 Are backup alarms community sensitive?

  Yes

  No

  N/A

3.0 Stormwater/ Erosion and Sediment Control/ Dewatering

4.1.1

• Has a risk assessment program been developed to identify risks associated with the operating environment of railway infrastructure?<br>

  Yes

  No

  N/A

• Does it include all operational areas where railways are present?<br>Ask for map showing all railways<br> <br>

  Yes

  No

  N/A

• Does the risk assessment program define safe practices for the management of infrastructure, rolling sock and personnel access?

  Yes

  No

  N/A

4.1.2

• Does the risk assessment program identify the hazards, controls required and who is accountable for:<br>• Ensuring train integrity, both before and during its journey<br>• Maintaining safe train separation<br>• Protecting workers moving on, or within close proximity (4 meters) to, the track<br>• Ensuring the route is safe for operations including preventing movement of points under a train or when the train is approaching working spaces operated by Holcim<br>• Protecting against over-speed operation<br> <br>

  Yes

  No

  N/A

• Is there a process in place to minimize human error in formulation, transmission and execution of authorizations and instructions?

  Yes

  No

  N/A

4.1.3

• Does the risk assessment program identify the hazards, controls required and who is accountable for:<br>• Ensuring the integrity of the track and other infrastructure<br>• Ensuring that both railway traffic and the track and other infrastructure have compatible operating parameters<br>• Ensuring the safety of persons and property on, or adjacent to, the railway<br> <br>

  Yes

  No

  N/A

• Is there a process in place for communicating operating parameters, requirements and restrictions by adequate and effective means?

  Yes

  No

  N/A

4.1.4

• Does the risk assessment program identify the hazards, controls required and who is accountable for:<br> <br>• Ensuring the integrity of rolling stock<br>• Ensuring compatibility with track and other infrastructure parameters<br>• Ensuring safe retention of loads on wagons<br>• Provision of adequate passenger and worker protection in the event of a derailment, collision or other unscheduled event

  Yes

  No

  N/A

4.0 Waste Storage and Management

4.2.1

• Have procedures been established and maintained for identifying the health and fitness requirements and standards, and compliance by all workers engaged in railway related work?

  Yes

  No

  N/A

4.2.2

• Does the recruitment of employees and contractors address:<br><br>• Medical fitness criteria for persons required to operate rolling stock<br>• Locations where they are required to operate rolling stock?

  Yes

  No

  N/A

4.2.3

• Has a training and competency assessment program been established to ensure competency standards are applied for personnel who are required to work on or near railways? Do these competencies address the following functions:<br><br>• Government licensing where applicable<br>• Knowledge of company railway rules<br>• Demonstrated ability to conduct pre-operation inspections<br>• Standard operating procedures – application/operation of vehicle equipment/ procedures, start up and shut down procedures<br>• Rollingstock and infrastructure maintenance<br>• Limitations of equipment in operating environments<br>• Demonstration of actions to be taken for breakdowns.

  Yes

  No

  N/A

• General requirements for Driver Assistants/Spotters such as:<br><br>• Vision Limitations (blind spots).<br>• Signals used to guide/direct rollingstock.<br>• Checks to be performed prior to operation.<br>

  Yes

  No

  N/A

• Specific requirements such as:<br><br>• Specific skills for hazardous tasks, loading and dumping practices, and operating within restricted areas.

  Yes

  No

  N/A

4.2.4

• Is there a process in place to issue and maintain authorisation (licence) to operate each type of locomotive and rollingstock within the operation?

  Yes

  No

  N/A

• Has a system been established to maintain documentation and records relating to the selection, placement, training, competency, issue of company licences, and authorisations of all personnel and to retain these for the period of their employment?<br>

  Yes

  No

  N/A

• Has a manager been nominated who, irrespective of other responsibilities, shall have defined authority and responsibility for ensuring that the requirements of this directive are implemented and maintained?

  Yes

  No

  N/A

• Has a system to define the responsibility, authority and interrelation of all employees who manage, perform and verify work affecting railway safety been established?

  Yes

  No

  N/A

• Have procedures been established and maintained to ensure that workers have the necessary written and verbal language skills and literacy to carry out relevant safety related work?<br>

  Yes

  No

  N/A

5.0 Spill Prevention and Response

4.4 Design, Purchase, Fabrication, Installation and Commissioning

4.4.1

• Are railway infrastructure and rolling stock constructed to company approved design specifications?<br>

  Yes

  No

  N/A

4.4.2

• Does the purchase or hiring/contracting of railway rolling stock address at least the following requirements:<br><br>• Suitable access and egress for the operator, maintenance personnel and passengers<br>• Fire fighting equipment, e.g. fixed and portable fire equipment?<br>Is new equipment subject to a design risk assessment prior to purchase? <br> <br>Does the risk assessment consider the requirements of other Fatality Prevention Elements, e.g. isolation capability, safe working at heights?

  Yes

  No

  N/A

4.4.3

• Have procedures been established and maintained to control and verify the design of structures, vehicles, equipment and systems in accordance with the safety requirements for engineering and operational systems?

  Yes

  No

  N/A

4.4.4

• Has a process been established to ensure that each item of infrastructure and rolling stock being introduced into service is in a safe operating condition? Does this process address the following:<br><br>• Establishment of rollingstock specifications which detail the safety requirements for that type of equipment<br>• Pre-commissioning of all locomotives and rollingstock<br>• Inspection of all locomotives and rollingstock<br>• Development of formal inspection checklists applied to the above requirements<br>• Recording of all pre-commissioning and inspection results?

  Yes

  No

  N/A

• Has a register been established of railway infrastructure, rollingstock and locomotives approved for use within the operation?

  Yes

  No

  N/A

4.4.5

• How does the company ensure that changes are assessed and risk management plans developed as required?

  Yes

  No

  N/A

Vector Control

Vector Control

6.0 General Site Conditions

• Is there a process in place to provide awareness information and/or instruction on a regular basis to personnel who operate or maintain rolling stock, infrastructure or interface with railways, including the reinforcement of key safety issues such as:<br><br>• Critical aspects of safe operation (emergency braking, speeding, driver fatigue)<br>• Requirements related to operating conditions (inclement weather, night operations, road conditions)<br>• Vision limitations (blind spots)<br>• Emergency procedures.

  Yes

  No

  N/A

Site cleanliness

• Is there a change management program in place to communicate changes to rolling stock, railway infrastructure, or operational requirements, including rail layout to affected employees?

  Yes

  No

  N/A

4.7 Emergency control

4.7.1

• Has an emergency preparedness system been established for railway operations, including public interface areas?<br>

  Yes

  No

  N/A

• Does it address:<br>• The provision of first aid kits in locomotives operating in public and remote areas<br>• Emergency response planning for incidents involving company owned locomotives and rollingstock.<br> <br>

  Yes

  No

  N/A

4.7.2

• Have procedures been developed for the rescue and recovery of broken-down locomotives and rollingstock, and extraction of personnel from that equipment?<br>

  Yes

  No

  N/A

• Are these procedures addressed as part of the operational risk assessment?

  Yes

  No

  N/A

4.8 Monitoring, inspection and audits

4.8.1

• Has a pre-operational inspection system been established for all railway infrastructure, locomotives and rollingstock?<br>

  Yes

  No

  N/A

• Are daily inspections performed on locomotives and rollingstock?<br> <br>

  Yes

  No

  N/A

• Are there specific checklists for each type equipment being used<br>

  Yes

  No

  N/A

• Does the schedule address all other forms of railway infrastructure, e.g. bridges?<br>

  Yes

  No

  N/A

• Does the pre-operation inspection system include specific checklists for each type of equipment being used?<br><br>

  Yes

  No

  N/A

• Does the inspection system enable the:<br><br>• Recording of inspections performed<br>• Process for the reporting of defects<br>• Actions required to stand down unsafe equipment (e.g. defective brakes)?

  Yes

  No

  N/A

4.8.2

• Is there a process in place to undertake task observations?<br>

  Yes

  No

  N/A

• Are personnel who undertake task observation process required, at regular intervals, to observe the actions of personnel working on rail infrastructure and rollingstock?

  Yes

  No

  N/A

4.8.3

• Is there a process in place to undertake annual audits of this FPE?<br> <br>

  Yes

  No

  N/A

• Does the audit process require a written report which records the quality and effectiveness of the implementation of this FPE

  Yes

  No

  N/A

4.9 Reporting, assessment and corrective actions

4.9.1

• Is there a system in place to review speed limits and operational rules annually?<br> <br>

  Yes

  No

  N/A

• Does the review consider changing conditions such as track condition, traffic etc?

  Yes

  No

  N/A

4.9.2

• Is there a hazard and or defect reporting process in place?<br> <br>

  Yes

  No

  N/A

• Does the hazard/defect reporting process require that<br>• Rolling stock requiring repair is stood down from operational service?<br>• Infrastructure requiring repair or service is removed from service and users are warned or the railway is closed<br>• Corrective actions taken to correct the hazard are recorded

  Yes

  No

  N/A

4.9.3

• Is there a process in place to investigate the cause of railway safety incidents and accidents?<br>

  Yes

  No

  N/A

• Is there a process in place to record the corrective actions required to prevent reoccurrence and implement those actions?

  Yes

  No

  N/A

Conclusion and auditor's comments

• Date of audit completed

  Date

• Signature of auditor

  Sign

• Date of auditor's signature

  Date

• Signature of auditee

  Sign

• Date of auditee's signature

  Date