11Auditing of safety management system

#### 11 Auditing of safety management system 11 Auditing of safety management system > > (1) A network operator must ensure that— > > > > > (a) audits of its safety management system are carried out, in accordance with this clause, by a nominated auditor for the system, and > > > > > (b) a written report of the results of each audit, prepared by the nominated auditor in accordance with this clause, is provided to the Tribunal as soon as practicable after the audit is carried out. > > > > Maximum penalty—10,000 penalty units (in the case of a corporation) or 5,000 penalty units (in any other case). > > > (2) A network operator must ensure that— > > > > > (a) the first audit of its safety management system is completed no later than 30 April 2015, and > > > > > (b) the written report of the results of that audit is provided to the Tribunal by no later than 1 June 2015. > > > > Maximum penalty—250 penalty units (in the case of a corporation) or 100 penalty units (in any other case). > > > (3) Other audits under this clause must be carried out at any times that the Tribunal may, by written notice given to the network operator, direct. > > > (4) A written report of the results of an audit under this clause must— > > > > > (a) contain particulars of the plans, policies, procedures and other documents that are contained in the network operator’s safety management system, and > > > > > (b) address whether or not the safety management system achieves, in relation to the network operator’s network, the primary objective of safety management systems, and > > > > > (c) address whether or not the safety management system is in accordance with the standard referred to in clause 7 (1) (a) and deals with the matters referred to in clause 7 (1) (b), and > > > > > (d) address whether or not the safety management system is appropriate, having regard to the nature, size and complexity of the network operator’s network, and > > > > > (e) address whether or not the safety management system is being properly implemented, and > > > > > (f) contain particulars of any modifications to the safety management system that should be made to rectify any shortcomings of the system and any measures that should be undertaken to rectify any failure to properly implement the safety management system, and > > > > > (g) if the previous audit (if any) under this clause recommended any such modifications or measures—address whether or not the modifications or measures have been undertaken and are effective. > > > (5) The Tribunal may, in any notice given under subclause (3), require the audit concerned to relate to specified aspects of a network operator’s safety management system (rather than to the safety management system as a whole). > > > (6) For that purpose, a reference in subclauses (1) and (4) (except subclause (4) (f)) to the network operator’s safety management system is be read as a reference to the specified aspects of that system. > > **cl 11:** Am 2015 No 5, Sch 8.9 \[6\]–\[8\]; 2015 (803), Sch 1 \[3\].