This unit involves the skills and knowledge required to manage rail safety compliance requirements.

It includes planning, establishing, maintaining, monitoring and reviewing compliance, consultation and audit procedures, feedback procedures and auditing systems.

This unit is intended for rail safety workers involved in managing rail safety compliance functions within a rail organisation.

Typically these rail safety workers must be able to work independently and as part of a team under direct and/or indirect supervision, perform detailed analyses, use discretion and judgement, and take responsibility for the quality of their outputs.

No licensing, legislative or certification requirements apply to this unit at the time of publication.

Elements describe the essential outcomes.

Performance criteria describe the performance needed to demonstrate achievement of the element.

1 

Plan and establish a rail safety compliance framework 

1.1

Rail safety compliance documentation relevant to organisational activities is accessed, interpreted and applied

1.2

Policies and objectives that express organisational commitment to rail safety compliance are developed in collaboration with relevant personnel

1.3

Rail safety compliance system framework is established and implemented in accordance with organisational requirements/operations

1.4

Scope of proposed rail safety compliance requirements and required resources are determined in consultation with relevant personnel

1.5

Rail safety compliance is integrated into job descriptions and relevant organisational procedures

1.6

Procedures are established to ensure information related to rail safety compliance is readily accessible to relevant stakeholders

1.7

Approval for establishing rail safety compliance system is sought as required from relevant personnel

2 

Establish consultation and audit procedures 

2.1

Relevant stakeholders are identified and systems procedures for maximising opportunities to implement rail safety compliance are developed and documented

2.2

Relevant stakeholders are consulted on rail safety compliance requirements and information is used to establish monitoring and auditing systems

2.3

Resource allocation for implementing compliance requirements are identified and reported in accordance with organisational and relevant legislative requirements

2.4

Measures are established in collaboration with relevant stakeholders to ensure compliance with organisational objectives through validating processes

3 

Implement, maintain and review a rail safety compliance system 

3.1

Rail safety management system (SMS) is implemented in accordance with organisational and regulatory requirements

3.2

System effectiveness is assessed against organisational and regulatory requirements

3.3

Rail SMS is audited in accordance with established procedures

3.4

Audit procedures are reviewed regularly to identify necessary changes and opportunities for continual improvement

Evidence required to demonstrate competence in this unit must be relevant to and satisfy all of the requirements of the elements and performance criteria on at least one occasion and include:

• adapting to changes in relevant legislation and regulations
• applying relevant legislation and workplace procedures
• auditing a rail safety compliance system
• communicating effectively with others
• identifying or establishing rail safety compliance within an organisation
• monitoring activities and taking appropriate action to manage different contexts, risk situations and environments
• organising audits and reviews of an organisation’s safety compliance system
• reading and interpreting relevant documentation, and applying acquired information/knowledge to management activities
• recognising non-conformance within rail safety requirements and taking appropriate action to rectify, in accordance with organisational policies and procedures
• working collaboratively with employees and management to implement an organisation’s safety compliance system.

Evidence required to demonstrate competence in this unit must be relevant to and satisfy all of the requirements of the elements and performance criteria and include knowledge of:

• auditing principles and practice
• components of a rail safety compliance system
• options and resources for providing training and learning opportunities for employees about rail safety compliance
• organisational systems for risk management and risk mitigation
• procedures and tools for monitoring and reviewing organisation’s rail safety compliance system and related policy and procedures, and for reporting outcomes
• relevant legislation, regulations, permit and licence requirements relating to rail safety compliance
• responsibilities of organisation and employees for implementing a rail safety compliance system.

As a minimum, assessors must satisfy applicable regulatory requirements, which include requirements in the Standards for Registered Training Organisations current at the time of assessment.

As a minimum, assessment must satisfy applicable regulatory requirements, which include requirements in the Standards for Registered Training Organisations current at the time of assessment.

Assessment must occur in workplace operational situations or, where this is not available, in simulated workplace operational situations that replicate rail workplace conditions.

Assessment processes and techniques must be appropriate to the language, literacy and numeracy requirements of the work being performed and the needs of the candidate.

Resources for assessment include:

• a range of relevant exercises, case studies and/or simulations
• relevant and appropriate materials, tools, equipment and personal protective equipment currently used in industry
• applicable documentation including workplace procedures, regulations, codes of practice and operation manuals.