Rail Safety Compliance Audit v1

• Audit Title

• Document No.

• Client / Site

• Conducted on

  Date

• Prepared by

• Location
  Address

• Personnel

3.0 Scope

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

4.0 Accountability

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

  Yes

  No

  N/A

• Are they aware of their appointment?<br>

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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<br>

  Yes

  No

  N/A

• 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

  Yes

  No

  N/A

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?<br>

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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?

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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?<br>

  Yes

  No

  N/A

• 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.<br>

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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.<br>

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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.

  Yes

  No

  N/A

4.2.2

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

4.2.3

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

  Yes

  No

  N/A

• Ask rail workers to explain their understanding of fatigue management

  Yes

  No

  N/A

4.2.4

• Conduct a license check

  Yes

  No

  N/A

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

  Yes

  No

  N/A

4.2.6

• Confirm with appointee they are aware of this appointment

  Yes

  No

  N/A

4.2.7

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

  Yes

  No

  N/A

4.2.8

• Review the tests. Are they adequate?<br>

  Yes

  No

  N/A

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

  Yes

  No

  N/A

4.3 Communication and awareness

4.3.1

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

4.3.2

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

4.4 Design, Purchase, Fabrication, Installation and Commissioning

4.4.1

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

4.4.2

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

  Yes

  No

  N/A

• Is the required fire fighting equipment available and functional<br> <br>

  Yes

  No

  N/A

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

  Yes

  No

  N/A

4.4.3

• Ask authorising person to explain the verification process.<br>

  Yes

  No

  N/A

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

  Yes

  No

  N/A

4.4.4

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

4.4.5

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

4.5 Work method and condition control

4.5.1

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

  Yes

  No

  N/A

• 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?

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

4.5.2

• Ask rail workers if they are aware of these requirements<br>

  Yes

  No

  N/A

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

  Yes

  No

  N/A

• Do the rail workers identified meet the criteria?

  Yes

  No

  N/A

4.5.3

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

  Yes

  No

  N/A

4.5.4

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

4.5.5

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

  Yes

  No

  N/A

• Ask if they have ever been tested.<br>

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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.<br>

  Yes

  No

  N/A

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

  Yes

  No

  N/A

• 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?

  Yes

  No

  N/A

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.<br>

  Yes

  No

  N/A

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

  Yes

  No

  N/A

4.7 Emergency control

4.7.1

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

• 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.

  Yes

  No

  N/A

4.7.2

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

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.

  Yes

  No

  N/A

• 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.

  Yes

  No

  N/A

• 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

  Yes

  No

  N/A

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

  Yes

  No

  N/A

4.8.3

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

  Yes

  No

  N/A

4.9 Reporting, assessment and corrective actions

4.9.1

• Verify that actions from review meetings have been completed

  Yes

  No

  N/A

4.9.2

• Ask rail workers how they report hazards and defects.<br> <br>

  Yes

  No

  N/A

• Ask them to demonstrate.<br> <br>

  Yes

  No

  N/A

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

  Yes

  No

  N/A

4.9.3

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

  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