On this page: Safety audits | Topic inspections | Compliance inspections | Who carries out audits? | How are audits conducted?
PTSV conducts safety audits, compliance inspections and topic inspections based on a risk-based audit and compliance program.
Historically, PTSV conducted annual safety audits for each accredited rail operator (ARO), however the development of a new Rail Safety Compliance Program has shifted the focus to a more targeted risk-based approach.
This page provides further information on each of the regulatory activities that make up the Program.
Safety audits
A safety audit is a systematic examination and verification of an ARO's safety management system or a specific aspect of the safety management system.
This activity includes both traditional safety audits of intrastate AROs and multi-jurisdictional safety audits of interstate operators accredited in Victoria.
Topic inspections
A topic inspection is a number of inspections of an ARO (or a number of AROs) on a specific safety theme. Topic inspections will be more targeted and focussed toward specific risks to safety.
Topic inspections will be scheduled into the Rail Safety Compliance Program based on PTSV's analysis of risk-based information gathered from sources such as an ARO's risk profile, risk modelling, incident data and trend analysis, and previous audit findings.
Compliance inspections
A compliance inspection is a targeted regulatory inspection or investigation of an aspect of rail safety. Compliance inspections will generally be undertaken in circumstances where PTSV considers it appropriate to assess compliance with the Rail Safety Act 2006 and Rail Safety Regulations 2006. Compliance inspections may focus on:
- AROs
- Contractors
- Rail safety workers, and
- Others who are subject to the Rail Safety Act 2006.
A compliance inspection may be undertaken for various reasons such as, but not limited to, notification of an accident or incident, or as a result of a safety audit and/or trend analysis which has identified a cause for concern. Compliance inspections will be programmed into the Rail Safety Compliance Program as and when required.
The most current version of the Program can be downloaded from the 'tools and downloads' section on this page.Who carries out audits?
The Safety Director has powers under the Rail Safety Act 2006 to carry out safety audits of accredited rail operations. Transport Safety Officers (TSO) who have been delegated this power by the Safety Director may also conduct safety audits, compliance inspections and topic inspections.
How are audits conducted?
Most safety audits, compliance inspections and topic inspections are planned in advance. The exception is for compliance inspections conducted in response to an incident or other information received.
Elements of a safety audit may include:
- Audit planning
- Opening and closing meetings conducted with the rail operator being audited
- Inspection of documents and records
- Observations of business activities, processes and procedures
- Checking the accuracy of information (for example, taking measurements, examining rosters)
- Analysing fluctuations, trends and relationships of data
- Recommendations
- Audit reports.