Rail Safety Regulations 2010 (TAS)

Rail Safety Regulations 2010

I, the Governor in and over the State of Tasmania and its Dependencies in the Commonwealth of Australia, acting with the advice of the Executive Council, make the following regulations under the Rail Safety Act 2009 .8 November 2010

PETER G. UNDERWOOD

Governor

By His Excellency’s Command,

LARA GIDDINGS

Minister for Infrastructure

PART 1Preliminary1Short titleThese regulations may be cited as the Rail Safety Regulations 2010 . 2CommencementThese regulations take effect on the day on which section 171 of the Rail Safety Act 2009 commences. 3InterpretationIn these regulations – Act means the Rail Safety Act 2009 . PART 2Accreditation4Applications for accreditationFor the purposes of section 18(2)(d) of the Act, the following information is prescribed: (a) the following details identifying the applicant: (i) the applicant’s name; (ii) the applicant’s registered business name, and, if it is different from the registered business name, the applicant’s trading name; (iii) the applicant’s ACN or ABN, if applicable; (iv) the applicant’s residential address, or, if the applicant is a body corporate, the body corporate’s registered business address; (b) the name and contact details of a person who has been appointed by the applicant to deal with any queries that the Rail Safety Regulator may have in relation to the application; (c) if the applicant is accredited under a corresponding law, a copy of the notice of accreditation; (d) in addition to the requirements of section 18(2)(c) of the Act, if the applicant is also seeking accreditation under a corresponding law, details of where, and in respect of what, the application for that accreditation was made; (e) if the applicant is a rail infrastructure manager who does not own the rail infrastructure, documentary evidence that the manager has, or will have, management and control of the rail infrastructure; (f) a description of the operational assets, or classes of operational assets, that the applicant intends to use or manage in the operations for which the application is made, including any stations, signal and train control centres, signalling systems and rolling stock for service and maintenance activities; (g) a description of the safe working systems that the applicant intends to use in the operations for which the application is made; (h) if the applicant is a rolling stock operator, documentary evidence that the applicant has, or will have, effective management and control of the operation or movement of the rolling stock on rail infrastructure for a particular railway; (i) if electrified railway tracks will be used, details of the electrification; (j) details of the consultation undertaken by the applicant in relation to the applicant’s safety management system, including – (i) who was consulted; and (ii) when and how the consultation occurred; and (iii) the results of the consultation; (k) if the applicant is not an individual, evidence that the application has been submitted to and endorsed – (i) if the applicant is a body corporate that is a company within the meaning of the Corporations Act, by its Board of Directors in accordance with section 127 of that Act; or (ii) if the applicant is a body corporate other than a company within the meaning of the Corporations Act, by its governing body; or (iii) if the applicant is a partnership, by each partner; or (iv) if the applicant is an unincorporated association or body, by its governing body; (l) if any of the activities that are intended to be carried out under the accreditation applied for are to be carried out by any other person on behalf of the applicant – (i) the name and contact details of each other person; and (ii) details of the activities that it is intended that the other person will carry out on behalf of the applicant. 5Details of accredited personsFor the purposes of section 22(2)(a) of the Act, the details of the applicant that are prescribed are the accredited person’s – (a) name; and (b) registered business name, and, if the trading name is different from that name, the trading name; and (c) ACN or ABN, if applicable; and (d) residential address or, for a body corporate, registered business address. 6Conditions and restrictions on accreditations (1) For the purposes of section 23 of the Act, the following conditions and restrictions are prescribed: (a) if the operator is accredited under a corresponding law – (i) the operator must advise the Rail Safety Regulator in writing immediately if the operator’s accreditation in the other jurisdiction expires or is suspended, surrendered or revoked; and (ii) if the operator receives a prohibition notice or an improvement notice from a corresponding Rail Safety Regulator in relation to the accreditation under the corresponding law, the operator must immediately give the Rail Safety Regulator a copy of the notice; (b) the operator must notify the Rail Safety Regulator in writing of any of the proposed decisions, events, or changes, that are listed in column 2 of the table to this regulation, in accordance with the requirements specified, in relation to that item, in column 3 of the table; (c) the operator must ensure that at all times – (i) one of its directors or managers is available as a person whom the Rail Safety Regulator may contact if the Regulator should wish to communicate with the operator; and (ii) the Rail Safety Regulator is provided with sufficient details so that for any particular time the Regulator knows the identity of the person whom the Regulator may contact and how to contact the person; (d) if it is not possible to comply with a requirement specified in paragraph (b) because of an emergency, the operator must provide the information required by that paragraph as soon as is reasonably practicable after the decision is made or the event or the change occurs, as the case may be. (2)  Nothing in subregulation (1) is intended to require an accredited person to notify the Rail Safety Regulator of any matter that is the subject of an application for the variation of the accreditation.

Column 1 Item	Column 2 Decision, event or change	Column 3 When notification must be given
1.	A decision to design or construct, or to commission the design or construction of, rolling stock or new railway tracks	As soon as reasonably practicable after the decision is made
2.	The introduction into service of rolling stock of a type not previously operated by the operator, or the re-introduction into service of rolling stock not currently operated by the operator	At least 28 days before the date on which the operator intends to introduce or re-introduce the rolling stock into service
3.	A change to a safety- critical element of existing rolling stock	At least 28 days before the date on which the operator intends to bring the change into operation
4.	A change to one or more of the classes of rail infrastructure used in the operator’s accredited operations	At least 28 days before the date on which the operator intends to introduce the new class of rail infrastructure into service
5.	A change to a safety standard for the design of rail infrastructure or rolling stock	At least 28 days before the date on which the operator intends to adopt the change
6.	The decision to adopt a new safety standard for the design of rail infrastructure or rolling stock	At least 28 days before the date on which the operator intends to adopt the new standard
7.	A change to the frequency or procedures for the inspection or maintenance of railway infrastructure or rolling stock	At least 28 days before the date on which the operator intends to bring the change into effect
8.	A change to any safe- working system rule or procedure relating to the conduct of the operator’s railway operations	At least 28 days before the date on which the operator intends to bring the change into effect
9.	A decision to introduce a new safe-working system rule or procedure relating to the conduct of the operator’s railway operations	As soon as is reasonably practicable after the decision is made
10.	The replacement of the person, nominated in the safety management system as the contact person for dealing with queries in relation to the safety management system of the operator, with another person	As soon as is reasonably practicable after it is known the replacement will occur

7Surrender of accreditationsFor the purposes of section 29 of the Act, an accredited person may surrender the person’s accreditation by notifying the Rail Safety Regulator in writing, not less than 28 days before the proposed date of surrender, of – (a) the person’s intention to surrender the accreditation; and (b) the arrangements that are proposed in relation to the cessation of the person’s railway operations. 8Applications for variations of accreditationsFor the purposes of sections 33(2)(b) and 37 of the Act, the following information is prescribed: (a) the details required by regulation 4(a) and (b) ; (b) details of the scope and nature of the proposed variation; (c) details of the changes that will be made to the applicant’s safety management system if the proposed variation occurs; (d) details of any consultation that has occurred with the parties who might be affected by the proposed variation, including – (i) who was consulted; and (ii) when and how the consultation occurred; and (iii) the results of the consultation; (e) evidence to demonstrate that the applicant has the competence and capacity to manage the risks to safety associated with the proposed variation. PART 3Safety Management9Requirements for safety management systemsFor the purposes of section 41(1)(b) of the Act, it is a prescribed requirement that a safety management system must – (a) provide for all of those matters listed in Schedule 1 that are relevant to the railway operations for which the rail transport operator is accredited or seeks to be accredited; and (b) provide the level of detail in respect of each of those matters that is appropriate, having regard to – (i) the scope, nature and risks to safety of the operations referred to in paragraph (a) ; and (ii) the operator’s duties under section 11 of the Act. 10Conditions for connection or access to railway or siding by private sidingsFor the purposes of section 16(2)(b)(ii) of the Act, the following conditions are prescribed: (a) the rail infrastructure manager must have systems and procedures in place to ensure that the manager complies with the duties imposed on the manager by section 11 of the Act in relation to the private siding; (b) the rail infrastructure manager must have a risk register that includes, at a level of detail that is appropriate having regard to the scope, nature and risks to safety of the operation of the private siding and to the duties imposed on the manager by section 11 of the Act, the following: (i) a list of the risks to safety arising from the maintenance and operation of the private siding; (ii) details of the assessment of those risks (including their likelihood, likely consequences and ranking); (iii) a description of any elimination or risk control measures that are to be used to manage, so far as is reasonably practicable, those risks, including, where appropriate, the identification of the person responsible for implementing the measures; (c) the rail infrastructure manager must have systems and procedures in place to ensure that the details in the register are current, so far as is reasonably practicable; (d) the rail infrastructure manager must have a document that provides details about how rail infrastructure within the private siding is to be maintained by the manager. 11Interface agreements (1)  In this regulation – interface agreement means an agreement, in relation to risks in respect of railway operations, that provides for – (a) implementing and maintaining control measures that are to be used to manage those risks and providing for the evaluation, testing, and, if necessary, revision of those control measures; and (b) the roles and responsibilities of each party to the agreement in relation to each control measure; and (c) the procedures by which each party will monitor and determine whether the other party complies with the party’s obligations under the agreement; and (d) the exchange of information between the parties in relation to their obligations under the agreement; and (e) the triggers for, and the frequency of, reviews of the agreement, and if necessary, the revision of the agreement. (2)  A rail transport operator must take the following steps to develop and implement an interface agreement for the purposes of section 47 of the Act: (a) identify the railway operations to which the agreement is to apply; (b) assess, in conjunction with the other operator, any risks to safety identified under section 47(1)(a) of the Act that may be caused by those operations; (c) establish a process to seek an interface agreement with the other operator; (d) undertake and pursue the process until there is a written interface agreement between the rail transport operator and the other operator. (3)  The process described in subregulation (2) must be repeated by the rail transport operator in respect of every other rail transport operator referred to in section 47(1)(a) of the Act. (4)  A rail transport operator who has entered into an interface agreement in accordance with subregulation (2) must do everything that the operator has agreed to do under the agreement in relation to implementing, maintaining or monitoring any control measure. 12Security management plansFor the purposes of section 55 of the Act, a security management plan must include – (a) a list of the risks arising from the acts specified in section 55(a)(i) of the Act; and (b) a description of the preventative and response measures to be used to manage those risks, including a description of – (i) the policies, procedures and equipment and other physical resources that it is proposed to use for those measures; and (ii) the training that it is proposed to provide; and (c) if the rail transport operator shares a location, such as a modal interchange or a port, with one or more other transport operators, a description of the arrangements made, in relation to that location, with those other transport operators, so as to prevent or respond to security incidents; and (d) procedures for the recording, reporting and analysis of security incidents; and (e) the allocation of security roles and responsibilities to appropriate people; and (f) provision for liaison, for the sharing of information and for joint operations, with – (i) emergency services; and (ii) other transport operators who may be affected by the implementation of the plan; and (g) provision for the evaluation, testing, and, if necessary, revision, of security measures and procedures. 13Emergency management plans (1) For the purposes of section 56(2)(b)(i) of the Act, the following persons are prescribed: (a) any government agency with emergency management functions in respect of the area to which the plan relates; (b) any other transport operator who may be affected by the implementation of the plan; (c) any of the following who may be required to assist in the implementation of the plan: (i) an entity, whether publicly or privately owned, that provides, or intends to provide, water, sewerage, drainage, gas, electricity, telephone, telecommunication or other like services under the authority of an Act of this jurisdiction or of the Commonwealth; (ii) any person who is, under the authority of an Act of this jurisdiction, permitted to own or use a pipeline or is licensed to construct or operate a pipeline; (iii) any provider of public transport. (2)  The Rail Safety Regulator may exempt a rail transport operator from the requirement to consult with any particular person or body under subregulation (1) . 14Matters to be included in emergency management plansFor the purposes of section 56(2)(b)(ii) of the Act, it is a prescribed requirement that an emergency management plan deal with – (a) the types or classes of foreseeable emergencies; and (b) the consequences of each type or class of those emergencies, including estimates of the likely magnitude and severity of the effects of each type or class; and (c) the risks to safety arising from those emergencies; and (d) methods to mitigate the effects of those emergencies; and (e) initial response procedures for dealing with those emergencies and the provision of rescue services; and (f) recovery procedures for the restoration of railway operations and to assist people affected by the occurrence of those emergencies; and (g) the allocation of emergency management roles and responsibilities within the rail transport operator’s organisation, and between the operator and other organisations; and (h) call-out procedures; and (i) the allocation of personnel for the on-site management of those emergencies; and (j) procedures for liaison with emergency services, including information about the circumstances in which the emergency services are to be immediately contacted; and (k) procedures to ensure that emergency services are provided with all the information that is reasonably required to enable them to respond effectively to an emergency; and (l) procedures for effective communications and co-operation throughout the emergency response; and (m) procedures for ensuring site security and the preservation of evidence. 15Keeping, maintaining and testing emergency management plans (1)  For the purposes of section 56(2)(c) and (e) of the Act, the provisions of this regulation in respect of the keeping, maintenance and testing of an emergency management plan are prescribed. (2)  A rail transport operator must ensure, so far as is reasonably practicable, that all employees of the operator, and all contractors engaged by the operator, who may be required to implement any emergency response procedures in the operator’s emergency management plan – (a) are provided with information about the relevant provisions of the plan; and (b) are able to do anything that they may be required to do under the plan. (3)  The operator must – (a) at the intervals set out in the operator’s emergency management plan; and (b) after any significant changes are made to the plan – test the plan, or elements of the plan, to ensure it remains effective. (4)  In preparing an emergency management plan, the operator must, if it is reasonably practicable to do so, determine, in conjunction with the emergency services, intervals for the purposes of subregulation (3)(a) . (5)  The operator must, if it is reasonably practicable to do so, arrange for the emergency services to participate in testing the emergency management plan or element of the plan. (6)  The operator must ensure that in-house exercises to test the emergency management plan are undertaken as often as is necessary, in the opinion of the operator, to ensure that the plan will be properly implemented if an emergency arises. (7)  A rail transport operator must ensure that the emergency management plan is comprehensible, and is readily accessible at all times, to the following persons: (a) all employees of the operator, and all contractors engaged by the operator, who may be required to implement any emergency response procedures in the plan; (b) all other rail transport operators who may be affected by the plan; (c) any person or body referred to in regulation 13(1)(c) ; (d) emergency services. 16Review of safety management systems (1)  A rail transport operator must comply with this regulation in conducting a review of the operator’s safety management system. (2) In conducting the consultation required by section 41(2) of the Act before carrying out the review, the operator must ensure that the persons consulted are asked for their opinion on whether, and if so, how, the safety management system could be improved. (3)  In conducting the review, the operator must ensure – (a) that the effectiveness of the safety management system is assessed, including by examining the operator’s records in relation to notifiable occurrences and breaches of the system; and (b) that the effectiveness of any revisions that were made to the system as a result of the last review are assessed; and (c) that any recommendations or issues arising out of any audits or safety investigations that have occurred since the last review are taken into account; and (d) that any issues arising from any prohibition notices or improvement notices that have been issued since the last review are taken into account; and (e) that any deficiencies in the system are identified; and (f) that methods of remedying any deficiencies are designed and assessed; and (g) that any opinions provided under subregulation (2) are assessed; and (h) that any other suggestions for improving the system that arise during the course of the review are assessed; and (i) if any deficiencies or practicable improvements are identified, that a plan is created to remedy those deficiencies or to effect those improvements, as the case may be. (4) The outcome of the review must be summarised and reported in the safety performance report required by section 46 of the Act. PART 4Rail Safety Workers17Health and fitness management programsFor the purposes of section 57 of the Act, it is a prescribed requirement that a health and fitness program is to comply, so far as is reasonably practicable, with Volumes 1 and 2 of the National Standard for Health Assessment of Rail Safety Workers, published by the National Transport Commission, as amended from time to time. 18Alcohol and drug management programsFor the purposes of section 58 of the Act, an alcohol and drug management program prepared and implemented by a rail transport operator must establish and maintain procedures to ensure, in so far as is reasonably practicable, that a rail safety worker about to carry out, carrying out or attempting to carry out rail safety work is not impaired by alcohol or drugs. 19Fatigue management programsFor the purposes of section 59 of the Act, it is a prescribed requirement that a program prepared and implemented for the purposes of that section by a rail transport operator must – (a) establish and maintain documented procedures to manage, in so far as is reasonably practicable, the risks to safety identified under section 41 of the Act that are attributable to the adverse affects of fatigue arising from various factors including (but not limited to) the following: (i) scheduled operations; (ii) extended hours of work, including overtime, call-in and on-call arrangements; (iii) extended wakefulness; (iv) significant physical exertion or high cognitive task demand; (v) monotony, boredom or low task demand; (vi) circadian effects and the effects of shift work; and (b) provide rail safety workers with appropriate training in relation to the identification and management of fatigue that is relevant to the rail safety work being undertaken by those rail safety workers. 20Records of competencyFor the purposes of section 60(5) of the Act, it is a prescribed requirement that the records of competency of a rail safety worker are to include – (a) the rail safety training undertaken by each rail safety worker, including when, and for how long, the training was undertaken; and (b) the qualifications of each rail safety worker, including, if applicable – (i) the units of competence undertaken to achieve the qualification; and (ii) the level of qualification attained; and (iii) if and when a reassessment of competence is to be conducted; and (iv) if and when retraining is due; and (v) the day any retraining was undertaken; and (c) the name of the organisation conducting the training or retraining; and (d) the name and qualifications of the person who assessed the competence of the rail safety worker. PART 5Exemptions21Exemptions from certain competence requirements (1) A rail transport operator may apply to the Rail Safety Regulator to be exempted from the requirements of section 60(2)(a) of the Act. (2) The Rail Safety Regulator, after receiving an application from a rail transport operator, may exempt the operator from the requirements of section 60(2)(a) of the Act. (3)  An exemption under subregulation (2) may be granted on the conditions specified on the exemption. PART 6Miscellaneous22Information to be supplied (1) For the purposes of section 65(3) of the Act, the following information in relation to each quarter of a year is to be provided before the 21st day of April, July or October in a year and 21 January of the following year, respectively: (a) if the rail transport operator is a rail infrastructure manager, a return that sets out the length, in kilometres, of the track in this jurisdiction over which the operator has effective management and control; (b) if the rail transport operator is a rolling stock operator, a return that sets out – (i) the number of kilometres travelled in this jurisdiction by passenger trains over which the operator has effective management and control; and (ii) the number of kilometres travelled in this jurisdiction by freight trains over which the operator has effective management and control; and (iii) the number of journeys (either estimated or actual) made by passengers in urban areas of this jurisdiction on passenger trains over which the operator has effective management and control; and (iv) the number of journeys (either estimated or actual) made by passengers in urban areas of this jurisdiction on passenger trains over which the operator has effective management and control. (2) For the purposes of section 65(3)(b) of the Act, the following information in relation to a financial year is to be provided by a rail transport operator before 29 July, or another date in the financial year that is specified by the Rail Safety Regulator by notice in writing to the operator: (a) if the rail transport operator is a rail infrastructure manager, a report that sets out the length, in kilometres, of the track in this jurisdiction over which the operator estimates that the operator will have effective management and control; (b) if the rail transport operator is a rolling stock operator, a report that sets out – (i) the number of kilometres that the operator estimates will be travelled in this jurisdiction by passenger trains over which the operator has effective management and control; and (ii) the number of kilometres that the operator estimates will be travelled in this jurisdiction by freight trains over which the operator has effective management and control; and (iii) the number of journeys (either estimated or actual) that the operator estimates will be made by passengers in urban areas of this jurisdiction on passenger trains over which the operator has effective management and control; and (iv) the number of journeys (either estimated or actual) that the operator estimates will be made by passengers in urban areas of this jurisdiction on passenger trains over which the operator has effective management and control; (c) the number of employees that the rail transport operator estimates will be engaged on railway safety work on, or in relation to, a railway within this jurisdiction. 23Reporting of notifiable occurrences (1)  For the purposes of this regulation, a Category A notifiable occurrence is any of the following notifiable occurrences: (a) an accident or incident that has caused death, serious injury or significant property damage; (b) a running line derailment; (c) a running line collision between rolling stock; (d) a collision, at a road or pedestrian level crossing, between rolling stock and either a road vehicle or a person; (e) a fire, or explosion, on or in rail infrastructure or rolling stock, that affects the safety of railway operations or that endangered one or more people; (f) a suspected terrorist attack; (g) any accident, or incident, involving a significant failure of a safety management system, which accident or incident could have caused death, serious injury or significant property damage; (h) any other accident, or incident, that is likely to generate intense public interest or concern. (2)  For the purposes of this regulation, a Category B notifiable occurrence is any of the following notifiable occurrences (unless it is also a Category A notifiable occurrence): (a) a derailment other than a running line derailment; (b) any collision involving rolling stock, other than a collision referred to in subregulation (1)(c) or (d) ; (c) any incident at a road or pedestrian level crossing, other than a collision referred to in subregulation (1)(d) ; (d) the passing of a stop signal, or a signal with no indication, by rolling stock without authority; (e) any accident or incident where rolling stock exceeds the limits of authorised movement given in a proceed authority; (f) any failure of a signalling or communications system that endangers, or that has the potential – (i) to endanger the safe operation of trains or the safety of people; or (ii) to cause damage to adjoining property; (g) any slip, trip or fall by a person on railway property, or any person being caught in the door of any rolling stock; (h) any situation where a load affects, or could affect, the safe passage of trains or the safety of people, or cause damage to adjoining property; (i) any accident or incident involving dangerous goods that affects, or could affect, the safety of railway operations or the safety of people, or cause damage to property; (j) any breach of a safe working system or procedure, or the detection of any irregularity or deficiency in such a system or procedure; (k) the detection of any irregularity in any rail infrastructure (including electrical infrastructure) that could affect the safety of railway operations or the safety of people; (l) the detection of any irregularity in any rolling stock that could affect train integrity or the safety of people, or cause damage to the rolling stock; (m) any fire or explosion that causes damage to rail infrastructure or rolling stock, or both, or that causes the disruption or closure of a railway (even if the closure is only a precautionary measure); (n) any incident on railway property where a person inflicts, or is alleged to have inflicted, an injury on another person; (o) a suspected attempt to suicide; (p) the notification that a rail safety worker employed by a rail transport operator has returned a result to a test, designed to determine the concentration of alcohol or drugs in a sample of blood or urine, that suggests that the worker was in breach of a relevant safety requirement concerning the use of alcohol or drugs at a relevant time; (q) the infliction of any wilful or unlawful damage to, or the defacement of, any rail infrastructure or rolling stock that could affect the safety of railway operations or the safety of people; (r) a rail corridor security incident that affects the safety of railway operations. (3) For the purposes of paragraph (b) of the definition of "notifiable occurrence" in section 4 of the Act, Category A notifiable occurrences and Category B notifiable occurrences are prescribed. (4) For the purposes of section 66 of the Act, the times and manner, specified in this regulation, in which notifiable occurrences are to be reported, are prescribed. (5)  If a Category A notifiable occurrence, or any other notifiable occurrence other than a Category B notifiable occurrence, happens on, or in relation to, a rail transport operator’s railway premises or railway operations, the operator – (a) must report that fact to the Rail Safety Regulator immediately after becoming aware of the occurrence; and (b) must give the Rail Safety Regulator a written report of the occurrence within 72 hours after becoming aware of the occurrence. (6)  If a Category B notifiable occurrence happens on, or in relation to, a rail transport operator’s railway premises or railway operations, the operator must give the Rail Safety Regulator a written report of the occurrence within 72 hours after becoming aware of the occurrence. (7)  The rail transport operator must ensure that any report the operator makes under this regulation is in the form, contains all the information, and is made in the manner, required by the Rail Safety Regulator. (8)  The Rail Safety Regulator may extend any time limit specified in this regulation by giving the rail transport operator a written notice to that effect. (9)  An extension granted under subregulation (8) has effect as specified in the notice. 24Documents to be made available for public inspectionFor the purposes of section 32(1)(c) of the Act, each safety performance report prepared under section 46 of the Act is prescribed. 25Embargo noticesFor the purposes of section 90(4)(a) of the Act, the following particulars are prescribed: (a) a description of the thing to which the notice relates; (b) either the name of the person on whom the notice is to be served or a statement that the notice is to be affixed to the thing; (c) the name, signature and business telephone number of the rail safety officer who issued the notice; (d) the date on which the notice was served or affixed. PART 7Transitional26Application to existing accredited rail operators (1)  In this regulation – existing operator means a person – (a) who is, by virtue of the operation of section 175(1) of the Act, a person accredited as a railway operator; and (b) whose accreditation has not been revoked. (2)  Regulations 9 , 10 , 11 and 16 do not apply to an existing operator until 12 months after the day on which this regulation commences. (3)  Regulation 20 and regulation 21 do not apply to an existing operator until 3 years after the day on which this regulation commences. Schedule 1Contents of Safety Management System

Regulation 9(a)

1.   Safety policy (1)A safety policy or policies that align with other organisational policies and that are endorsed by the CEO and Board (or any other person or body controlling the rail transport operator). (2)A safety policy that includes an express commitment to – (a) safety; and (b) the development and maintenance of a positive safety culture; and (c) the continuous improvement of the safety management system. 2.   Governance and internal control arrangements (1)Systems and procedures to ensure that the CEO and Board (or any other person or body controlling the rail transport operator), or the persons managing the railway operations, have sufficient knowledge – (a) of the risk profile of the railway operations carried out by the rail transport operator to enable the rail transport operator to proactively manage the risks arising from those operations; and (b) of the levels of compliance by the organisation with the operator’s duties and obligations under the Act and these regulations; and (c) to determine whether – (i) the safety management system is working effectively; and (ii) risks to safety are being identified, assessed and managed so far as is reasonably practicable; and (iii) controls used to monitor safety and to manage risks to safety are being regularly reviewed and revised. (2)Systems and procedures to ensure that decisions and directions that affect safety and that are made by – (a) the CEO and Board (or any other person or body controlling the rail transport operator); or (b) the people managing the railway operations – are being implemented effectively. 3.   Management, responsibilities, accountabilities and authorities (1)Policies that indicate how safety responsibilities, accountabilities, authorities and inter-relationships have been determined. (2)Documents that describe the responsibilities, accountabilities, authorities and interrelation of the personnel who manage or carry out rail safety work or who verify such work. (3)Procedures for the reporting of risks to safety by personnel with safety responsibilities. (4)Documents that describe the authorities given to personnel with safety responsibilities to enable them to meet those responsibilities. 4.   Regulatory compliance (1)Systems and procedures for the identification of safety requirements under the Act and other safety legislation. (2)Systems and procedures to ensure compliance with those requirements. 5.   Document control arrangements and information management Systems and procedures to control and manage all documents and information relevant to the management of risks to safety associated with railway operations, including systems and procedures for – (a) the identification, creation, maintenance, management, storage and retention of records and documents; and (b) ensuring the currency of documents required for operations; and (c) the communication of any changes to the document control systems and procedures to rail safety workers and employees of the rail transport operator who rely on those systems and procedures to carry out their work. 6.   Review of safety management system (1)Systems and procedures for the review of the safety management system in accordance with section 44 of the Act and regulation 16 . (2)Documentation of the matters set out in regulation 16(3) . 7.   Safety performance measures (1)Systems and procedures to ensure that the safety management system is effective, by using key performance indicators to measure safety performance and determine the effectiveness of the safety management system. (2)Systems and procedures to ensure the collection, analysis, assessment and dissemination of safety information held by the rail transport operator. 8.   Safety audit arrangements (1)An audit program that provides for – (a) the scheduling and frequency of audits; and (b) safety management system audits as part of the audit program; and (c) the giving of priority to those matters that represent the greatest safety risk. (2)Documented audit procedures to ensure there is a process for the collection of information to determine whether the railway operations comply with the safety management system and to determine the effectiveness of the safety management system. (3)Procedures to ensure that auditors – (a) have the skills and knowledge to undertake audits; and (b) are independent from the area being audited to the maximum extent that is practicable. (4)Procedures for – (a) communicating the results of audits to those people who are responsible for the oversight of the railway operations in the area audited for review and, where appropriate, for corrective action; and (b) where appropriate, the registration and effective implementation of recommendations for action identified by the audit; and (c) the review of the effectiveness of the audit program. 9.   Corrective action (1)Procedures to ensure, so far as is reasonably practicable, that corrective action is taken in response to any safety deficiencies identified following inspections, testing, audits, investigations or notifiable occurrences. (2)Procedures for – (a) registering any corrective actions taken; and (b) the review of those corrective actions; and (c) the implementation of corrective action if it is determined that corrective action is required; and (d) the assigning of responsibilities for corrective action. (3)Procedures for giving priority, when undertaking corrective action, to those matters representing the greatest safety risk. 10.   Management of change Procedures for ensuring that changes that may affect the safety of railway operations are identified and managed, including, but not limited to, procedures for ensuring, so far as is reasonably practicable, that – (a) changes are fully identified and described in the context of the railway operations; and (b) affected parties are identified and, if practicable, consulted; and (c) the roles and responsibilities of rail safety workers and employees of the rail transport operator are clearly specified with respect to the change; and (d) the rail safety workers and employees of the rail transport operator are fully informed of, and trained to understand and deal with, the proposed change; and (e) the requirements of sections 41(1)(c) and 41(1)(d) of the Act are observed in relation to any risks associated with the proposed change; and (f) the change, once implemented, is reviewed and assessed by the rail transport operator to determine whether or not the change has been appropriately managed. 11.   Consultation Systems and procedures to ensure that the consultation required by section 41(2) of the Act occurs when the safety management system is reviewed or varied. 12.   Internal communication Systems and procedures – (a) for the dissemination of information about the content of the safety management system to people who are to participate in the implementation of the system or who may otherwise be affected by the implementation; and (b) for the communication of the rail transport operator’s safety policy and safety objectives to all people who are to participate in the implementation of the safety management system; and (c) for the internal reporting of accidents and incidents involving the rail transport operator’s railway operations, including accidents and incidents involving contractors and subcontractors; and (d) to support communication and the dissemination of information throughout, and between all levels of, the rail transport operator’s railway operations. 13.   Risk management (1)Systems and procedures for compliance with the risk management obligations referred to in section 6 and section 41(1)(c) , (d) and (e) of the Act. (2)A risk register that includes – (a) a list of the risks to safety identified under section 41(1)(c) of the Act; and (b) details of the assessment of those risks (including their likelihood, likely consequences and ranking); and (c) a description of any elimination or risk control measures that are to be used to manage, so far as is reasonably practicable, those risks, including, where appropriate – (i) the identification of who is responsible for implementing the measures; and (ii) a reference to the general location or locations in the safety management system where more details on the measures can be found. (3)Systems and procedures to ensure that the details in the register are current, so far as is reasonably practicable. 14.   Human factors Procedures to ensure that human factors matters are taken into account during the development, operation and maintenance of the safety management system and for the integration of human factors principles and knowledge into all relevant aspects of operational and business systems. 15.   Procurement and contract management Systems and procedures – (a) for the review of tender documents and contracts to ensure that safety requirements under the safety management system are adequately defined and documented in those tender documents and contracts; and (b) to ensure that the terms of any tender documents or contracts do not lead to unsafe work or an activity that may affect the safety of railway operations; and (c) for the selection and control of contractors and to ensure the monitoring of the performance of contractors, including conducting or commissioning audits of the contractor’s performance in relation to the safety aspects of the contract; and (d) to ensure that safety duties under the Act are being met under contracts and ensure that procedures for the taking of remedial action where necessary are in place for circumstances where those duties are not being met under the contract; and (e) to ensure that goods and services provided to the railway operation meet the standards and specifications required for the safety of the railway operation. 16.   Engineering and safety standards and procedures and operational systems (1)A documented set of engineering standards and procedures, safety standards and procedures, and operational systems, to cover the following, and, if relevant, the interface between any 2 or more of the following: (a) rail infrastructure; (b) rolling stock; (c) operational systems. (2)Details of the implementation and updating of the documents specified in subclause (1) . (3)Procedures for the control and verification of the design of structures, rolling stock, equipment and systems, in accordance with the engineering standards and procedures, safety standards and procedures, and operational systems, specified in subclause (1) . (4)Standards, procedures and systems for the following in relation to rail infrastructure and rolling stock: (a) engineering design; (b) construction and installation; (c) implementation and commissioning; (d) monitoring and maintenance; (e) system operation; (f) modification; (g) decommissioning or disposal. 17.   Process control (1)Procedures for the rail transport operator to monitor its compliance with the standards and procedures specified in clause 16 , including procedures for the inspection and testing of safety-related engineering and operational systems. (2)Procedures for the control, calibration and maintenance of all equipment used to inspect or test rail infrastructure or rolling stock. (3)Arrangements for the establishment and maintenance of inspection and test records to provide evidence of the condition of rail infrastructure or rolling stock. 18.   Asset management An asset management policy and processes that address all phases of the asset lifecycle of the rail infrastructure or rolling stock operations. 19.   Safety interface agreements (1)Procedures for the identification of interface risks to the safety of railway operations and for the development and implementation of interface agreements in accordance with section 47 of the Act and regulation 11 . (2)Procedures for monitoring the implementation and effectiveness of interface agreements and compliance with them. 20.   Management of notifiable occurrences (1)Systems and procedures for the reporting of notifiable occurrences in accordance with regulation 23 . (2)Procedures for the management of the scene of a notifiable occurrence and for the preservation of evidence where reasonably practicable. (3)Procedures for the management of all notifiable occurrences, including procedures to enable the determination of which notifiable occurrences are to be investigated and how investigations are to be conducted. 21.   Rail safety worker competence Procedures and, where necessary, standards, to ensure compliance with section 60 of the Act and with regulation 20 . 22.   Security management (1)The security management plan required by section 55 of the Act. (2)Systems and procedures to ensure compliance with section 55 of the Act and regulation 12 . 23.   Emergency management (1)The emergency management plan required by section 56 of the Act. (2)Systems and procedures to ensure compliance with section 56 of the Act and regulations 13 , 14 and 15 . 24.   Health and fitness programs Systems and procedures to ensure compliance with section 57 of the Act and with regulation 17 . 25.   Drug and alcohol management programs Systems and procedures to ensure compliance with section 58 of the Act and with regulation 18 . 26.   Fatigue management programs Systems and procedures to ensure compliance with section 59 of the Act and with regulation 19 . 27.   Resource availability Systems and procedures for estimating the resources, including people and equipment, that the rail transport operator will need to operate and maintain its railway operations and to implement, manage and maintain its safety management system, and for the preparation of plans to ensure that it has adequate access to those resources.

Displayed and numbered in accordance with the Rules Publication Act 1953.

Notified in the Gazette on 17 November 2010

These regulations are administered in the Department of Infrastructure, Energy and Resources.

EXPLANATORY NOTE

(This note is not part of the regulation) These regulations prescribe requirements in relation to –

(a) the accreditation of rail transport operators; and (b) plans and agreements required for safety, security and emergency management of railways; and (c) information required to be provided; and (d) rail workers.