Rural and Regional Bus Service Contract
Audit Tool
Contract A
Page 2 of 16
Table of Contents
Section
Description
Checklist for Auditor
Page No.
Pre Audit
3
SECTION 1:
Audit Details
5
SECTION 2:
Auditor Details
5
SECTION 3:
Operator Details
5
SECTION 4:
Contract A - Service Delivery
6
SECTION 5:
Contract A - Reporting
7
SECTION 6
Contract A – Fleet Requirements
8
SECTION 7:
Contract A - Schedule 4 Funding Model
9
SECTION 8:
Contract A - SSTS Eligibility
10
SECTION 9:
Standard Terms and Conditions
11
SECTION 10:
Physical Inspection of Fleet
12
SECTION 11:
Audit Findings – Closing Meeting
13
Notes and Comments
14
Attachment A
15
Checklist for Auditor Post Audit
16
Version 2 – SEPTEMBER 2013
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Checklist for Auditor
Tasks to do Prior to Conducting Audit
Send advanced notice letter to operator 21 days prior to meeting
Review most recent BOAS Audit. If any safety elements were identified during the BOAS audit
follow up with operator at contract audit visit
Identify specific issues which have occurred in the past 12 months that may be addressed at
the audit
SECTION 3: Operator Details
If audit is to be undertaken with a representative nominated by Operator, is the authorisation in
writing and signed by the Operator holder.
SECTION 4: Contract A - Service Delivery
Compare school service route descriptions available to the public with Schedule 5 route
descriptions. (Cl. 4.1)
Check for any approved recent variations waiting for Schedule 5 updates. (Cl. 4.2)
Take copy of the Contract Management Plan and select random areas for sample. (Cl. 4.3)
Obtain current fare schedules to compare with fares charged by operator. (Cl. 4.5)
SECTION 5: Contract A – Reporting
Verify the operator has user access to all reporting systems (Cl. 5.1)
Check for any outstanding contract reports and ensure hard copy of profit and loss and
balance sheets have been received for all financial reports. (Cl.5.2)
Review reports to identify any anomalies. (Cl 5.3)
SECTION 6: Contract A – Fleet Requirements
Obtain number of buses approved to operate (TIMS). (Cl. 6.1)
Take/review bus replacement information and invoices for any new buses and check for
additional approved items since 1 July 2011. (Cl 6.3)
Compare Fleet Procurement Guidelines with invoices.
Prepare average age calculation based on approved buses. (Cl. 6.4)
SECTION 7: Contract A – Schedule 4 Funding Model
Version 2 – SEPTEMBER 2013
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Print Operator Data Sheet from BIP.
Compare BIP bus details with most recent annual survey bus details. (Cl. 7.1)
Check for any self funded bus approvals.
SECTION 8: SSTS Eligibility
Obtain radial maps and samples of BusFair approvals for eligibility verification. (Cl. 8.1)
Identify any areas in the town/village with safety issues that may require Distance and Safety
Checks whilst in the area. (Cl. 8.2)
SECTION 9: Standard Terms and Conditions
Obtain a copy of the route stops from the Operator’s last Annual Survey. (Cl. 9.4)
SECTION 10: Physical Inspection of Fleet
Pre-populate data sheet listing in Attachment A.
Version 2 – SEPTEMBER 2013
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SECTION 1: Audit Details (Power to Audit: Clause 8.5 ST&C)
Date of Audit
Time of Audit
Date of Last Audit
Audit Location
SECTION 2: Auditor Details
Name of Auditor
Position
SECTION 3: Operator Details
3.1 Name / address
Name of Contract Holder
Accreditation Number
Trading Name
Mobile Number
Telephone Number
Facsimile
Postal Address
Postcode
Depot Address
Postcode
Email Address
3.2 Contracts Operated
Contract A No.
NRoute Nos
3.3 Persons Involved in Audit
Name of Person involved in the Audit
Telephone Number
Version 2 – SEPTEMBER 2013
Position Title
Mobile Number
Facsimile
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SECTION 4: Contract A - Service Delivery
4.1
Does the timetable/route description available to the public match the Schedule 5 route description in the
contract? (Clause 19.2 Standard Terms and Conditions)
Yes
4.2
No
Notes and Comments
Does the Operator hold written approval for all variations from Transport for NSW. (Clause 4.1 of the Contract)
Yes
No
Notes and Comments
If no above, determine unauthorised section of route.
Notes and Comments
4.3
Has the Operator submitted a Contract Management Plan? (Schedule 9 of the Contract)
Yes
No
4.3a If yes, has the Plan been approved?
Yes
4.4
No
Review the operator’s Contract Management Plan. Select some random areas to check if operator has
implemented. Do they correlate with the Plan?
Yes
No
Notes and Comments
If No, list the issues
4.5
Is the operator using the correct fares and ticket products as nominated in Schedule 3 of the Contract?
(Schedule 3 of the Contract)
Yes
No
Notes and Comments
4.5a Has the operator notified Transport for NSW of its intention to use any ticket product other than listed in
Schedule 3? (Clause 4.3 of the Standard Terms and Conditions)
Yes
No
Version 2 – SEPTEMBER 2013
N/A
Notes and Comments
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SECTION 5: Contract A - Reporting
5.1
Does the Operator have access to the following Electronic Reporting databases
Demonstrate compliance with the following TfNSW electronic reporting systems
5.1a
5.1b
5.1c
5.1d
5.1e
Bus Incident Management
My Records
Rural and Regional Bus Reporting System
Student Misbehavior
Student Transport Management System
Yes
No
Yes
No
Yes
No
Yes
No
Yes
No
Software details ________________________________________________________________
5.2
Has the operator submitted the required contract reports via the Rural and Regional Bus Reporting System
(including supporting documentation for Financial reports ie. hard copies of Profit and loss and balance
sheets)? (Schedule 7 of the Contract)
Yes
No
If no, list outstanding reports and reason for non-submission
Reason for non-submission
5.3
Are the QUARTERLY REPORTS completed correctly? (if No, explain anomalies)
Yes
5.4
No
Notes and Comments
Review how the operator records incomplete / cancelled trips. Do random checks against the operator’s
quarterly report. Is the system in place compliant?
Yes
No
Notes and Comments
5.4a Do the recorded incomplete/cancelled trips match the Reliability quarterly reports
Yes
5.5
No
Notes and Comments
Review customer feedback report and cross reference to operator complaints register . Does it correlate?
Yes
No
Version 2 – SEPTEMBER 2013
Notes and Comments
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SECTION 6: Contract A – Fleet Requirements
6.1
How many buses is the operator accredited to operate?
6.2
How many buses is the operator currently operating?
6.3
Have any new fleet been introduced during the term of this Contract (Schedule 8 Fleet Procurement)
Yes
N/A
6.3a Does the new bus comply with the Fleet Procurement Guidelines
Yes
No
N/A
Reasons if answered no above
6.3b Were any approved additional items included? (Note: physical inspection required)
Yes
6.4
N/A
Does the operator comply with average/maximum age requirements? (Schedule 12 of the Contract)
Cat 1 & 2 - 8 year average bus age / 15 year maximum age
Cat 3 & 4 - 12 year average bus age / 25 year maximum age
Yes
No
6.4a If no, has the operator been granted temporary relief from replacement obligations under Clause 8.5?
Yes
6.5
N/A
Notes and Comments
Does the operator have a bus replacement program which reflects the requirements of the Contract?
Yes
6.6
No
No
Notes and Comments
Is any of the operators current fleet fully seatbelted (list routes and buses)
Yes
No
Notes and Comments
6.6a How many buses are fitted with 3 for 2 compliant seatbelts?
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SECTION 7: Contract A - Schedule 4 Funding Model
7.1
Are the buses listed on the Annual Survey currently funded (compare against BIP data)?
Yes
No
7.1a If no above, has an approved bus replacement occurred after the most recent survey?
Yes
No
If yes, list reason why ie. self funded Average / Maximum Age requirements, Early Bus Replacements .
Notes and Comments
7.2
Are all buses listed on Transport for NSW data servicing the correct ‘N’ Line of Route? If no explain why
and ensure like bus is being used.
Yes
7.3
No
Is contracted bus always used to complete TfNSW contract? (Review bus usage register.)
Yes
7.4
Notes and Comments
No
Notes and Comments
Was a physical survey of a contracted bus route undertaken to check distance and time. (OPTIONAL)
Yes
N/A
NRoute No.
Contracted Time
Audited Time
Variance
Contracted KLMS
Audited KLMS
Variance
7.4a Do contracted parameters agree with actual survey results?
Yes
No
N/A
7.4b If no above, is a recommended adjustment to payment parameters required? (reduction in km’s)
Yes
No
Version 2 – SEPTEMBER 2013
N/A
Notes and Comments
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SECTION 8: Contract A - SSTS Eligibility
8.1
Does the operator have a system in place to determine the eligibility of students.
Yes
8.2
No
Notes and Comments
Compare students numbers listed in Attachment A with blue forms. Do the numbers correlate?
Yes
8.4
Notes and Comments
Sight a sample of blue forms against the last annual survey (verify with schools). Are all sampled students
ELIGIBLE?
Yes
8.3
No
No
Notes and Comments
Are there 8 or more students travelling on each line of route?
Yes
No
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Notes and Comments
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SECTION 9: Standard Terms and Conditions
9.1
Has the operator undertaken driver licence and driver authorities checks? (sight and review driver’s
register)(Clause 7.3(a) of the Standard Terms & Conditions)
Yes
9.2
No
Notes and Comments
Are drivers furnished with details of fares, routes and timetables? (Review procedures) (Clause 7.3(c) of the
Standard Terms and Conditions)
Yes
9.3
No
Notes and Comments
Specify the number of drivers used to provide the services:
No. of Drivers
9.4
Does the Contracted Bus depart the same time as recorded on the annual survey (Sample random school
dates and compare driver roster against contract departure time recorded in the annual survey)
Yes
9.5
No
Notes and Comments
Does the operator have procedures to ensure notice is given to the public and relevant schools when any
significant routes or timetable variations have occurred? (Review procedures) ? (Clause 19.2(c))
Yes
9.7
Notes and Comments
Does the operator hold Public Liability Insurance of at least $10 Million or more? If YES, sight Certificate of
Currency. (Clause 15 of Standard Terms & Conditions)
Yes
9.6
No
No
Notes and Comments
Does the operator maintain a telephone service between 8:00am & 5:00pm weekdays? (Clause 19.2(d) of the
Standard Terms and Conditions)
Yes
No
Version 2 – SEPTEMBER 2013
Notes and Comments
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SECTION 10: Physical Inspection of Fleet (refer to Attachment A)
10.1 Conduct a physical inspection of the fleet as outlined in Attachment A. Do the buses inspected comply
with the requirements?
Yes
No
Version 2 – SEPTEMBER 2013
Notes and Comments
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SECTION 11: Audit Findings – Closing Meeting
Name of Accredited Operator
Accreditation Number
Name of Auditor/s
Audit Date
Audit Location
Audit Start Time
Audit Finish Time
Sect Description
4
5
6
7
8
9
10
Contract A Service Delivery
Issue
Action
Responsibility
Due Date
Contract A Reporting
Issue
Action
Responsibility
Due Date
Action
Responsibility
Due Date
Contract A Schedule 4 Funding Model
Issue
Action
Responsibility
Due Date
Contract A SSTS Eligibility
Issue
Action
Responsibility
Due Date
Standard Terms & Conditions
Issue
Action
Responsibility
Due Date
Physical Inspection of Fleet
Issue
Action
Responsibility
Due Date
Contract A Fleet Requirements
Issue
Name of Auditor
Signature
Date
Name of Operator
Signature
Date
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Notes and Comments
Signature of auditor
Date
Signature of operator
Date
Version 2 – SEPTEMBER 2013
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ATTACHMENT A
TfNSW Records
NRoute No.
Rego
VIN
Contracted Time
Contracted Klms
Number of seat
belts fitted
Seating Capacity
Standing Capacity
Total Capacity
Bus Category
Total eligible
primary students
Total eligible high
students
Total adult
equivalent
Wheelchair
Accessibility
Wig wag lights functional
Headlights flash alternatively with door
open whilst stationary
40kph signs fitted
Summary of Rights and Obligations of
passengers (include tel numbers)
Driver Authority card holder fitted
AASC signage
Disabled/Elderly passenger signage
Run away bus signage
Accreditation signage
Version 2 – SEPTEMBER 2013
Audit Result
Comments
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Confirm any approved additional items are
included in the bus
Checklist for Auditor
Tasks to do Following the Audit
Prepare Contract Audit findings memo for TfNSW Manager
Organise 100% audit of SSTS blue forms (if required)
Return SSTS blue forms to operator (if required)
Prepare and send Contract Audit Findings Letter to Contract Holder
Enter audit results in Audit Summary – Contract As spreadsheet
Scan completed audit package and any supporting documents and place in relevant Objective
Contract Audit folder.
Monitor and follow up any outstanding issues
File completed audit package and supporting documents on applicable Contract File
Follow up any safety elements as identified in the BOAS audit & make appropriate notations in
TIMS.
Version 2 – SEPTEMBER 2013