3.0 Scope

  • In the field observe if all railway infrastructure and rolling stock are compliant with the element?

  • Are both staff and contractors aware of the need to comply with this element?

  • Third party is aware of and compliant with or working toward compliance with this FPE

4.0 Accountability

  • Ask for the people who have been formally appointed to be available for the audit.

  • Are they aware of their appointment?

  • Are they able to explain and show the auditors how the requirements they are accountable for are implemented and maintained?

4.1 Hazard identification risk assessment and control

4.1.1

  • Validate that all rail infrastructure operated and or controlled by the Group Company has been included in the risk register

  • Validate that rail rolling stock, infrastructure and the operational environment which is not owned or operated by the group company but is on land controlled by the group company has also been included in the risk assessment and register

4.1.2

  • Ask rail operators (drivers, signalmen, supervisors, track workers) to explain the operational hazards and their controls. Do they encompass the hazards/controls identified in this section of the FPE?

  • Ask rail workers to explain how they receive instructions and authorizations. Does it match the procedural requirements?

4.1.3

  • Ask rail operators (drivers, signalmen, supervisors, track workers) to explain the infrastructure hazards and their controls. Do they encompass the hazards/controls identified in this section of the FPE?

  • Ask rail workers to explain the process for communicating operating parameters, requirements and restrictions. Does it match the written process?

4.1.4

  • Ask rail operators (drivers, signalmen, supervisors, track workers, rail engineers) to explain the Rolling Stock hazards and their controls. Do they encompass the hazards/controls identified in this section of the FPE?

  • Ask persons responsible for rolling stock to explain how the specifications for Vehicle couplings, brake systems and connections between vehicles were determined. Verify in the field if these specifications are used.

  • Ask persons responsible for the checking of these couplings and systems to explain the process they use. Does it match the written process?

4.1.5

  • Ask for a map showing all rail crossings used by the Group Company. Select a number of these for inspection. The Confirm these meet the controls specified.

  • At the crossings ask how track obstructions would be managed. Does the process described match the specification and site?

4.2 Selection, Training, Competency and Authorisation

4.2.1

  • Ask rail workers if they are aware of and were required to meet the set health and fitness requirements.

4.2.2

  • Ask recruitment personnel to explain rail worker recruitment process. Does it match requirements?

  • Ask rail workers to explain the recruitment process they went through. Did it include medical fitness requirements

4.2.3

  • Conduct spot checks in the field for the requirements of this section of the FPE.

  • Ask rail workers to explain their understanding of fatigue management

4.2.4

  • Conduct a license check

4.2.5

  • For a number of rail workers you have already met in the field go and check their employment records. Are they there? Are the records accurate

4.2.6

  • Confirm with appointee they are aware of this appointment

4.2.7

  • Confirm in the field that personnel are aware of their assigned roles and responsibilities

4.2.8

  • Review the tests. Are they adequate?

  • In the field verify that personnel can meet established competency.

4.3 Communication and awareness

4.3.1

  • Check in field to determine if awareness program is in fact in place.

  • Ask rail workers to explain what they are provided with in terms of awareness and instruction

4.3.2

  • Ask rail workers in the field to explain how changes are understood and communicated.

  • Check a selected number of change management events in the field to determine if they have been completed correctly

4.4 Design, Purchase, Fabrication, Installation and Commissioning

4.4.1

  • Verify in the field that the following are in place and meet specifications:
    • Demarcation and structures for the segregation of railway operations from pedestrians and other traffic
    • Installation of mandatory and advisory signs (speed, traffic control signs)
    • Safe and efficient travel at normal operating speed
    • Railway sidings and parking areas.

  • Observe interactions with public and Group Company personnel when crossing or near rail facilities. Are controls being used, are they effective?

4.4.2

  • Inspect equipment in the field. Does the access/egress facilities match the specification and FPE expectations.

  • Is the required fire fighting equipment available and functional

  • Inspect any new or near new equipment in the field. Does it meet specification and in particular the requirements of other FPE’s

4.4.3

  • Ask authorising person to explain the verification process.

  • Check in the field a selected number of structures or other rail equipment for compliance with design specifications

4.4.4

  • Select a number of records and take into the field to verify that the records match equipment condition

  • Identify a number of pieces of rail rolling stock in the field and verify it is included on the register

4.4.5

  • Ask design personnel to explain how changes to design and specifications are accessed and communicated.

  • Review completed change management processes for rail designs/specifications. Has required process been met

4.5 Work method and condition control

4.5.1

  • Verify that standards/procedures established at least address identified issues from risk assessment.

  • Ask rail workers to explain in own words what the standards/procedures they use are and ask them to explain the requirements of at least two of these are. Are they aware of them and to what level of detail?

  • Observe rail workers performing their normal duties. Do they “normally” follow requirements?

  • Review application of requirements in the field are they effective in addressing the hazards

4.5.2

  • Ask rail workers if they are aware of these requirements

  • Identify a number of rail workers in the field and verify that their health and fitness records are current and up to date.

  • Do the rail workers identified meet the criteria?

4.5.3

  • In the field do the following:

    • Verify the operator of rail equipment has the correct license for that equipment
    • Observe how people approach the locomotive. Do they follow procedure?
    • Ask for a worker to explain how they approach a locomotive?
    • Ask drivers/operators to explain what the government requirements for operating rail equipment are

4.5.4

  • Identify a number of current regulatory requirements, preferably recent changes.

  • Verify in the field if these requirements have been correctly interpreted and implemented.

4.5.5

  • Ask rail workers if they are aware of the drug and alcohol testing requirements

  • Ask if they have ever been tested.

  • Ask if they are aware of the consequences should they test positive

  • Ask for the tester to demonstrate the procedure. Are they familiar with the process?

4.6 Maintenance

4.6.1

  • From the records select a number of recent maintenance activities. Ask to be taken to these and determine, if possible, if the maintenance activity has in fact been conducted.

  • Ask to be shown the maintenance manuals and procedures. Have they been used by maintenance personnel?

  • Select a piece of rail way equipment and ask personnel responsible for its maintenance to describe in their own words the process used to maintain the equipment. Does it march the process described in the document?

4.6.2

  • Ask to be shown these safety related engineering and operational systems in the field. Is there a physical connection between the inspection and the equipment? Ie can you verify who inspected/tested the equipment, when.

  • Ask for the person responsible for testing to explain the process

4.7 Emergency control

4.7.1

  • Check first aid kits in the field. Are they at the required locations
    Are they correctly stocked?

  • Ask for company personnel accountable for company rollingstock and locomotives to explain the likely incidents and response scenarios.

  • Ask to be shown equipment which would be used in such an event and talk to the personnel who would undertake the required tasks to determine if they have an adequate understanding and capability to perform the tasks.

4.7.2

  • Ask rail workers to describe what would happen in the event of an incident.

  • Ask emergency services providers to explain what would happen in the event of an incident.

  • Ask to be shown the equipment that would be used to undertake the recover operations

4.8 Monitoring, inspection and audits

4.8.1

  • Select a number of inspection records. Ask to be taken to the equipment in the field. Verify that the equipment inspection has been undertaken correctly.

  • Ask personnel who would normally undertake these inspection to perform a number of inspections on available equipment. Are they able to do so easily or with difficulty.

  • Are personnel able to explain the purpose of the inspection process and what happens when a significant defect is found. Does the explanation match the process described in the documentation

4.8.2

  • Ask for a number of task observations to be completed while you observe. Are personnel undertaking the observations familiar and fluent with the process

4.8.3

  • Review past audit reports. Have they been undertaken correctly?
    Verify that corrective actions have been completed

4.9 Reporting, assessment and corrective actions

4.9.1

  • Verify that actions from review meetings have been completed

4.9.2

  • Ask rail workers how they report hazards and defects.

  • Ask them to demonstrate.

  • Select a number of recent completed hazard reports. Verify that the required corrective actions have been completed

4.9.3

  • Select a number of recent incidents and verify that the corrective actions have been completed as stated

Conclusion and auditor's comments

  • Date of audit completed

  • Signature of auditor

  • Date of auditor's signature

  • Signature of auditee

  • Date of auditee's signature

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