Rail Safety (Local Operations) (Accreditation and Safety ...FILE/17-77sr001.docx · Web viewRail Safety (Local Operations) (Accreditation and Safety) Regulations 2017. S.R. No

Version No. 001

Rail Safety (Local Operations) (Accreditation and Safety) Regulations 2017

S.R. No. 77/2017

Version as at21 July 2017

TABLE OF PROVISIONSRegulation Page

Part 1—Preliminary 1

1 Objective 12 Authorising provision 13 Commencement 14 Expiry 15 Revocation 26 Definitions 27 Scope of meaning of rail safety work 3

Part 2—Accreditation 5

Division 1—Exemption from accreditation 5

8 Certain rolling stock operators exempt 5

Division 2—Application for accreditation 5

9 Application for accreditation 510 Ongoing notification of change of details 7

Division 3—Exemptions 8

11 Information to be provided by applicants under section 61B(2) of the Act 8

12 What an applicant must demonstrate under section 61C of the Act 10

13 Exemption subject to conditions 1014 Application for variation of an exemption 11

Division 4—Registration of rail transport operators of private sidings 11

15 Application for registration 1116 Prescribed details for required notification of granting or

variation of registration 14

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17 Application for variation of registration 14

Division 5—Emergency plans 15

18 Preparation and communication of an emergency plan 1519 Matters to be included in an emergency plan 1620 Keeping, maintaining and testing an emergency plan 1721 Review and revision of emergency plan 18

Part 3—Safety management systems 19

22 Content of an SMS for accredited rail transport operators 1923 Systems and arrangements for exempt rail transport operators 1924 Review and revision 2025 Review and revision of systems and arrangements for registered

rail transport operators of private sidings 2026 Provision of SMS to Safety Director 2127 Copies of SMS to be kept 2128 Copies of safety interface agreements to be kept available to

public 2129 Copies of system and arrangements to be kept 22

Part 4—Rail safety worker 23

Division 1—Health and fitness of rail safety workers 23

30 Rail transport operator to ensure workers are fit to carry out rail safety work 23

31 Fatigue management 2332 Health assessments 24

Division 2—Competence 25

33 Competence of rail safety workers 2534 Assessment of rail safety worker competence 2535 Records of competence and training 26

Part 5—Reporting 28

Division 1—Duties relating to railway accidents and incidents 28

36 Definitions 2837 Safety Director may specify notifiable accident or incident or

notifiable circumstance 2938 Duty to notify railway accidents or incidents 2939 Duty to notify notifiable circumstances 3040 Investigation report 30

Division 2—Operational reporting and notifications 31

41 Monthly reports 3142 Notification to Safety Director of certain decisions or changes 3243 Exemptions from reporting requirements 34

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44 Duty to preserve accident or incident site 34

Division 3—Annual reviews and reports 35

45 Annual reviews and reports 35

Part 6—Fees 37

46 Accreditation application fee 3747 Fee for temporary accreditation 3748 Fee for registration of a private siding 3749 Accreditation fee 3750 Annual fees 3851 Exemption from fees 3852 Late payment fees 3853 Refund of application or annual fees 39

Part 7—Consequential amendments 40

54 Amendment to Schedule to the Transport (Safety Schemes Compliance and Enforcement) (Infringements) Regulations 2014 40

Schedule 1—Fees 41

Schedule 2—Matters and information to be contained in a safety management system of an accredited rail transport operator 45

Schedule 3—Matters and information to be contained in the system and arrangements of a registered rail transport operator of a private siding 58

Schedule 4—Investigation reports 60

═════════════

Endnotes 61

1 General information 61

2 Table of Amendments 63

3 Amendments Not in Operation 64

4 Explanatory details 65

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Version No. 001

Rail Safety (Local Operations) (Accreditation and Safety) Regulations 2017

S.R. No. 77/2017

Version as at21 July 2017

Part 1—Preliminary1 Objective

The objective of these Regulations is to promote safe local rail operations in Victoria by prescribing requirements for—

(a) accreditation of rail infrastructure managers and rolling stock operators;

(b) emergency plans;

(c) safety management systems;

(d) the health, fitness and competence of rail safety workers;

(e) reporting of accidents, incidents and inquiries;

(f) fees for services.

2 Authorising provision

These Regulations are made under Division 5 of Part 9 of the Rail Safety (Local Operations) Act 2006.

3 Commencement

These Regulations come into operation on21 July 2017.

4 Expiry

1

These Regulations expire on 21 July 2018.

5 Revocation

The Rail Safety (Local Operations) Regulations 20061 are revoked.

6 Definitions

In these Regulations—

approved means approved in writing by the Safety Director;

AQF has the same meaning as in the Education and Training Reform Act 2006;

AQTF means the Australian Quality Training Framework within the meaning of the Skilling Australia's Workforce Act 2005 of the Commonwealth;

control measure means a measure used to control the likelihood, magnitude and severity of consequences of incidents;

exempt rail transport operator means a rail transport operator who holds an exemption under Division 5A of Part 5 of the Act or section 69B of the Act;

health assessment national standard means National Standard for Health Assessment of Rail Safety Workers, published by the National Transport Commission in January 2017, as amended from time to time;

running line means any railway track on which rolling stock operates other than a railway track in a depot or yard, or a railway track that is a siding;

SMS means safety management system;

the Act means the Rail Safety (Local Operations) Act 2006.

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7 Scope of meaning of rail safety work

(1) For the purposes of section 7 of the Act, the following work, if not undertaken on railway premises, is not rail safety work for the purposes of Part 6 of the Act and Part 4—

(a) designing—

(i) rolling stock; or

(ii) civil or electric traction infrastructure; or

(iii) signalling or telecommunications systems;

(b) any work relating to the design of rail infrastructure or associated works, or equipment;

(c) any work involving the development of safe working systems for railways.

(2) For the purposes of section 7 of the Act, maintaining, monitoring or inspecting rail infrastructure or associated works for the purpose of assessing or undertaking fire prevention work is not rail safety work for the purposes of Division 2 of Part 5.

(3) For the purposes of section 7 of the Act, monitoring, inspecting or testing of—

(a) rolling stock; or

(b) civil or electric traction infrastructure; or

(c) signalling or telecommunications systems—

is not rail safety work if undertaken by a transport safety officer for compliance and investigative purposes.

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(4) In this regulation compliance and investigative purposes has the same meaning as in section 3 of the Transport (Safety Schemes Compliance and Enforcement) Act 2014.

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Part 2—Accreditation

Division 1—Exemption from accreditation8 Certain rolling stock operators exempt

A rolling stock operator who only operates rolling stock that is an emergency response vehicle is exempt from the requirement to be accredited under Part 5 of the Act in respect of the following rolling stock operations—

(a) the use of that rolling stock in an emergency or rescue operation; or

(b) the use of that rolling stock for training for emergency or rescue operations; or

(c) the testing of that rolling stock.

Division 2—Application for accreditation9 Application for accreditation

(1) For the purposes of section 38(3)(b)(ii) of the Act, a rail transport operator must provide the following with an application for accreditation—

(a) a description of the nature, character and scope of the rail transport operator's proposed railway operations;

(b) the name and contact details of the person making the application;

(c) evidence of competence and capacity, including—

(i) details of the knowledge, skills and experience of the persons who will be responsible for the development, management and maintenance of the SMS so that those persons perform their allocated tasks and discharge their

Part 1—Preliminary

Rail Safety (Local Operations) (Accreditation and Safety) Regulations 2017S.R. No. 77/2017

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allocated responsibilities effectively; and

(ii) details about the resources and systems that will be relied upon by the rail transport operator to carry out its railway operations safely;

(d) documentary evidence that the rail transport operator complies with section 26 of the Act;

(e) documentary evidence that the rail transport operator's SMS complies with Division 4 of Part 3 of the Act;

(f) evidence to the satisfaction of the Safety Director that the rail transport operator has—

(i) the financial capacity; or

(ii) public risk insurance arrangements—

to meet reasonable potential accident liabilities arising from the carrying out of the railway operations;

(g) information identifying potential risks to the safety of railway operations that may require the development of a safety interface agreement;

(h) if a rail transport operator is a rolling stock operator, evidence of any agreement with the rail transport operator who controls the rail infrastructure on which the rolling stock operator wishes to operate particular rolling stock;

(i) if any of the railway operations that the applicant intends to carry out under the accreditation are to be carried out by any other person on behalf of the applicant—

(i) the name and contact details of each such person; and



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(ii) details of the railway operations that it is intended the person will carry out on behalf of the applicant.

(2) In addition, if the applicant under section 38 of the Act is not an individual, the applicant must, for the purposes of section 38(3)(b)(ii) of the Act, provide evidence that the application has been endorsed—

(a) if the applicant is a body corporate—

(i) that is a company within the meaning of the Corporations Act—in accordance with section 127 of that Act; or

(ii) in any other case—by its governing body; and

(b) if the applicant is a partnership—by each partner; and

(c) if the applicant is an unincorporated association or body—by its governing body.

Note

The application must also be accompanied by the relevant fee—see section 38(3)(b)(i) of the Act.

10 Ongoing notification of change of details

(1) An accredited rail transport operator must, within 28 days, notify in writing, the Safety Director of any change to information—

(a) relating to the operator's application for accreditation; or

(b) relating to item 3.2 of Schedule 2; or



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(c) that was included in the application submitted by the operator for that accreditation.

Example

Changes with respect to the name of the accredited rail transport operator, the registered business name or trading name of the accredited rail transport operator, the name of directors, or the registered business address.

(2) Subregulation (1) is a condition of accreditation.

Division 3—Exemptions11 Information to be provided by applicants under

section 61B(2) of the Act

(1) An application for an exemption must contain—

(a) the following details of the applicant—

(i) the applicant's name;

(ii) the applicant's residential address or, in the case of a body corporate or partnership, its registered business address; and

(b) if the applicant is a partnership—

(i) evidence of the partnership; and

(ii) the names of all partners at the time of the application; and

(c) if the applicant is an unincorporated body or association other than a partnership—

(i) the certificate of business name or other document that is evidence of the existence of the applicant; and

(ii) the names of all members of the committee of management of the association or body at the time of the application; and



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(d) if the applicant is a company, co-operative or incorporated association—

(i) the certificate of incorporation; and

(ii) the names of the directors at the time of the application; and

(e) if the applicant is a body corporate other than a company, co-operative or incorporated association—

(i) a document that is evidence of the existence of the applicant; and

(ii) the names of all office-bearers at the time of the application; and

(f) the name and contact details of the person or persons appointed by the applicant—

(i) to respond to any queries the Safety Director may have in relation to the application; and

(ii) to be responsible for the exemption and to respond to any queries that the Safety Director may have in relation to the exemption; and

(g) the specific designated provision from which an exemption is sought; and

(h) if the applicant holds an accreditation, details of that accreditation; and

(i) if the applicant holds a registration, details of that registration.

(2) If a person applies for an exemption from a designated provision and any part of the railway operations in respect of which the exemption is sought is intended to be carried out by another person or persons, the application must contain—



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(a) the name and contact details of such a person; and

(b) details of the railway operations that it is intended that the person will carry out on behalf of the applicant.

12 What an applicant must demonstrate under section 61C of the Act

For the purposes of section 61C(b)(ii) of the Act, an applicant must demonstrate that—

(a) the granting of the exemption will not reduce the safety of the railway operations in respect of which the exemption is sought; and

(b) the applicant has sufficient competence and capacity to manage risks to safety associated with the railway operations in respect of which the exemption is sought, having regard to the scale and nature of the railway operations for which the exemption is sought.

13 Exemption subject to conditions

For the purposes of section 61D(2) of the Act, it is a condition of an exemption that the rail transport operator must—

(a) keep a copy of the notification of the exemption granted; and

(b) produce a copy of the exemption, together with any variation given under section 61F of the Act or imposed under section 61I of the Act, on the request of the Safety Director; and

(c) notify the Safety Director if—

(i) the nature of the railway operations for which an exemption has been granted changes; or



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(ii) the details specified in the application for exemption change; and

(d) notify the Safety Director immediately after becoming aware that a railway accident or incident has occurred.

14 Application for variation of an exemption

For the purposes of section 61E(3)(b) of the Act, an application for a variation of an exemption must contain—

(a) details of the scope and nature of the proposed variation; and

(b) details of the changes that will be made to the applicant's scheme for the management of risks to safety associated with the railway operations to be carried out if the proposed variation occurs.

Division 4—Registration of rail transport operators of private sidings

15 Application for registration

(1) For the purposes of section 69D(2)(e) of the Act, an application for registration must contain—

(a) the following identification details of the applicant—

(i) the applicant's name;

(ii) the applicant's registered business name and trading name (if different from the registered business name);

(iii) if the applicant has an ACN, the applicant's ACN or, in any other case, the applicant's ABN;



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(iv) the applicant's residential address or, in the case of a body corporate, registered business address; and

(b) the name and contact details of the person or persons appointed by the applicant—

(i) to respond to any queries that the Safety Director may have in relation to the application; and

(ii) to be responsible for registration and to respond to any queries that the Safety Director may have in relation to registration; and

(c) if any of the railway operations that the applicant intends to carry out under the registration are to be carried out by any other person on behalf of the applicant—

(i) the name and contact details of each such person; and

(ii) details of the railway operations that it is intended the person will carry out on behalf of the applicant; and

(d) copies of any safety interface agreement to which the applicant is a party.

(2) In addition, if an applicant under section 69D of the Act is not an individual, the application must, for the purposes of section 69D(2)(e) of the Act, contain evidence that the application has been submitted to and endorsed—

(a) if the applicant is a body corporate—

(i) that is a company within the meaning of the Corporations Act—in accordance with section 127 of that Act; or

(ii) in any other case—by its governing body; and



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(b) if the applicant is a partnership—by each partner; and

(c) if the applicant is an unincorporated association or body—by its governing body.

(3) For the purposes of section 69D(2)(d)(i) of the Act, if the private siding is to be (or continue to be) connected with, or to have access to, a railway of an accredited rail transport operator, an application for registration must contain the following details of the accredited rail transport operator—

(a) the operator's name;

(b) the operator's registered business name and trading name (if different from the registered business name);

(c) if the operator has an ACN, the operator's ACN or, in any other case, the operator's ABN;

(d) the operator's residential address or, in the case of a body corporate, registered business address.

(4) For the purposes of section 69D(2)(d)(ii) of the Act, if the private siding is to be (or continue to be) connected with, or to have access to, another private siding, an application for registration must contain the following—

(a) details about the scale and complexity of the other private siding;

(b) details about the extent of the railway track layout and other rail infrastructure of the other private siding;

(c) details about the railway operations to be carried out in the other private siding;



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(d) the name and contact details of the owner of the other private siding.

16 Prescribed details for required notification of granting or variation of registration

(1) For the purposes of sections 69F(3)(b)(i) and 69H(2)(b)(i) of the Act, the prescribed details of the applicant required to be specified in the notification are the details required by regulation 11(1)(a).

(2) For the purposes of section 69F(3)(b)(ii) of the Act, the prescribed details of the private siding required to be specified in the notification are details of—

(a) the location of the private siding; and

(b) the railway operations to be carried out in the private siding.

17 Application for variation of registration

For the purposes of sections 69G(3)(b) and 69J of the Act, an application for a variation of a registration or an application for a variation of a condition or restriction imposed by the Safety Director, must contain—

(a) details of the scope and nature of the proposed variation; and

(b) details of the changes that will be made to the applicant's scheme for the management of risks to safety associated with the railway operations to be carried out in the private siding if the proposed variation occurs; and

(c) details of any consultation that has occurred with the parties who might be affected by the proposed variation, including—

(i) who was consulted; and



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(ii) when and how the consultation occurred; and

(iii) the results of the consultation.

Division 5—Emergency plans18 Preparation and communication of an emergency

plan

(1) An emergency plan under section 52 of the Act must be prepared in conjunction with—

(a) any government agencies with emergency management functions in the area to which the plan relates; andExample

The Victorian WorkCover Authority has responsibility for dangerous goods.

(b) other rail transport operators who may be affected by the implementation of the plan.Note

Section 52(4)(b)(i) of the Act states that an emergency plan must be prepared in conjunction with the emergency services and any other prescribed person.

(2) A rail transport operator who is required to develop an emergency plan in conjunction with government agencies or other operators must do so by—

(a) sharing with the agencies or operators information in relation to the proposed emergency plan; and

(b) giving the agencies or operators a reasonable opportunity to express their views about the plan; and

(c) taking into account those views.



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(3) A rail transport operator who has developed an emergency plan must communicate the content of the plan to—

(a) rail safety workers, rail contractors and employees of the rail transport operator who may be required to implement the emergency plan; and

(b) the relevant emergency services; and

(c) the government agencies referred to in subregulation (1).

19 Matters to be included in an emergency plan

An emergency plan must address the following—

(a) the consequences of a major incident occurring;

(b) methods to prevent an emergency from escalating;

(c) initial response procedures for dealing with an emergency and the provision of rescue services;

(d) recovery procedures for the restoration of railway operations and for the assistance of persons affected by the occurrence of an emergency;

(e) the allocation of roles and responsibilities to persons employed by the rail transport operator relating to emergency management, including arrangements for communication and co-operation between organisations in the event of an emergency;

(f) processes for the training of personnel who will be responsible for implementing the emergency plan and arrangements to



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maintain the competence of those persons in emergency management;

(g) call-out procedures;

(h) the allocation of personnel for the on-site management of the emergency;

(i) procedures for liaison with relevant emergency services, including information about the circumstances in which the emergency services should be immediately contacted;

(j) 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;

(k) the intervals within which the plan must be reviewed, being intervals not longer than 3 years.

20 Keeping, maintaining and testing an emergency plan

(1) A rail transport operator must ensure, so far as is reasonably practicable, that training in the relevant elements of the emergency plan is provided to rail safety workers, rail contractors and employees of the rail transport operator who may be required to implement the emergency plan.

Penalty:10 penalty units.

(2) A rail transport operator must test the emergency plan or elements of the plan to ensure the plan remains effective—

(a) at intervals determined by the operator in conjunction with the emergency services when preparing the emergency plan; and

(b) after any significant changes are made to the plan.



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(3) A rail transport operator must, so far as is reasonably practicable, arrange for participation in the testing of the emergency plan or elements of the plan by relevant emergency services.

(4) A rail transport operator must ensure that in-house exercises to test the plan are undertaken on a regular basis.

(5) A rail transport operator must ensure that the emergency plan is comprehensible, and is readily accessible, to—

(a) all employees of the operator, rail safety workers and rail contractors engaged by the operator, who may be required to implement any emergency response procedures in the emergency plan; and

(b) any utilities that may be required to implement any part of the emergency plan; and

(c) emergency services.


21 Review and revision of emergency plan

A rail transport operator must review, and if necessary revise, the emergency plan—

(a) at intervals specified in the emergency plan; and

(b) following the occurrence of a major incident; and

(c) if testing of the emergency plan reveals that the plan should be reviewed.

Penalty: 5 penalty units.



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Part 3—Safety management systems22 Content of an SMS for accredited rail transport

operators

For the purposes of section 25 of the Act, an SMS established by an accredited rail transport operator must contain the matters and information contained in Schedule 2.

23 Systems and arrangements for exempt rail transport operators

(1) For the purposes of section 28B of the Act, the systems and arrangements established by a rail transport operator exempted under Division 5A of Part 5 of the Act must contain—

(a) information submitted by the rail transport operator with the application for exemption; and

(b) a copy of the exemption granted by the Safety Director under section 61D of the Act, including any conditions imposed by the Safety Director; and

(c) a copy of any variation to the exemption granted by the Safety Director under section 61F of the Act, including any conditions imposed by the Safety Director.

(2) For the purposes of section 28B of the Act, the systems and arrangements established by a rail transport operator exempted under section 69B of the Act must contain the matters and information contained in Schedule 3.



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24 Review and revision

(1) An accredited rail transport operator must ensure that its SMS is reviewed—

(a) at intervals that do not exceed 5 years; or

(b) at shorter intervals as specified in its SMS.


(2) An accredited rail transport operator must review, and revise where necessary, its SMS if—

(a) the accredited rail transport operator is required to apply for a variation of accreditation under section 54(1) of the Act; or

(b) a major incident occurs; or

(c) a recommendation of a safety audit is that the SMS should be reviewed.


(3) The accredited rail transport operator must record the date the SMS is reviewed.


(4) A review of the SMS may form part of the annual review required by regulation 45.

25 Review and revision of systems and arrangements for registered rail transport operators of private sidings

(1) A rail transport operator who is registered under section 69F of the Act must ensure that its system and arrangements are reviewed—

(a) at intervals that do not exceed 5 years; or

(b) at shorter intervals as specified in its system and arrangements.



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(2) A rail transport operator who is registered under section 69F of the Act must review, and revise where necessary, its system and arrangements if—

(a) a major incident occurs; or

(b) a recommendation of a safety audit is that the system and arrangements should be reviewed.


(3) The rail transport operator who is registered under section 69F of the Act must record the date the system and arrangements are reviewed.


26 Provision of SMS to Safety Director

(1) The Safety Director may request an accredited rail transport operator to—

(a) provide a copy of, or parts of, the SMS to the Safety Director; or

(b) provide a summary of the SMS to the Safety Director.

(2) An accredited rail transport operator must comply with a request under subregulation (1) within 7 days after receiving the request.


27 Copies of SMS to be kept

An accredited rail transport operator must keep an up to date copy of the SMS.


28 Copies of safety interface agreements to be kept available to public

For the purposes of keeping and maintaining an SMS, an accredited rail transport operator must



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keep a copy of a safety interface agreement that forms part of the SMS established and maintained by that rail transport operator available for inspection free of charge by any person affected by that agreement.


29 Copies of system and arrangements to be kept

An exempt rail transport operator must keep an up to date copy of the system and arrangements established under section 28B of the Act.




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Part 4—Rail safety worker

Division 1—Health and fitness of rail safety workers

30 Rail transport operator to ensure workers are fit to carry out rail safety work

A rail transport operator must ensure, so far as is reasonably practicable, that a rail safety worker who is employed or engaged by the rail transport operator, or a rail contractor who supplies railway operations to that rail transport operator, is of sufficient good health and fitness to carry out that rail safety work.


31 Fatigue management

(1) A rail transport operator must develop and implement strategies for the control of any risks to safety associated with the fatigue of rail safety workers carrying out rail safety work for the rail transport operator.


(2) Strategies under subregulation (1) must include work arrangements that eliminate fatigue so far as is reasonably practicable and may include—

(a) maximum number of work hours for every shift for different classes of rail safety worker; and

(b) minimum rest times for different classes of rail safety worker.

(3) A rail transport operator, when developing strategies under subregulation (1) must consult, so far as is reasonably practicable, with rail safety workers who carry out rail safety work for the rail



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transport operator and any other persons who are or are likely to be directly affected, in relation to the development and implementation of those strategies.

Penalty: 10 penalty units.Note

Section 35(1)(b) of the Occupational Health and Safety Act 2004 requires an employer, so far as is reasonably practicable, to consult with employees when making decisions about the measures to be taken to control risks to health or safety.

32 Health assessments

(1) A rail transport operator must have, and must implement, a health and fitness program for rail safety workers who carry out rail safety work for the operator that complies, so far as is reasonably practicable, with the health assessment national standard.


(2) If, as part of a health and fitness program referred to in subregulation (1), a rail transport operator conducts a health assessment of a rail safety worker, the rail transport operator must pay for that assessment.


(3) Subregulation (2) does not apply if the rail transport operator agrees with a rail safety worker who is a volunteer that the health assessments conducted of the worker may be conducted wholly or partly at the expense of a person other than the operator.



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Division 2—Competence33 Competence of rail safety workers

(1) A rail transport operator must ensure, so far as is reasonably practicable, that a person does not carry out rail safety work for the operator unless the person is competent to do so.


(2) A rail transport operator must ensure that a person who is undertaking training in an aspect of rail safety work to be carried out for the operator in order to achieve a required competence, only carries out that work if the person is under the supervision of another person who is competent to carry out that particular rail safety work.

34 Assessment of rail safety worker competence

(1) A rail transport operator must assess, or cause to be assessed, the competence of each rail safety worker who is employed or engaged by the rail transport operator—

(a) in accordance with—

(i) the provisions of the AQTF and any qualifications and units of competence recognised under the AQF applicable to that rail safety worker; or

(ii) if subparagraph (i) does not apply, in accordance with any qualification or competence recognised by the rail industry and approved by the Safety Director; and

(b) by reference to the actual knowledge, experience and skills required for the particular rail safety work to be carried out safely.



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(2) The Safety Director must publish a notice in the Government Gazette of any competence approved under subregulation (1)(a)(ii).

(3) If a rail transport operator determines that a rail safety worker does not have the required competence to carry out rail safety work of a particular class, the rail transport operator may require that—

(a) the rail safety worker undertake an appropriate course of training to achieve that competence; or

(b) the competence be attained by a means other than training.

35 Records of competence and training

A rail transport operator must prepare and maintain records of the following activities, matters or things that relate to rail safety—

(a) the training undertaken by each rail safety worker carrying out rail safety work for the operator, including the date of training and duration of that training; and

(b) the qualifications of each rail safety worker carrying out rail safety work for the operator, including—

(i) units of competence undertaken to achieve the qualification; and

(ii) the level of qualification attained; and

(iii) if and when re-training is due; and

(iv) the date any re-training is undertaken; and

(c) the name of the organisation conducting the training or re-training; and



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(d) the results of any assessment of competence of the rail safety worker carrying out rail safety work for the operator; and

(e) the name and qualifications of the person who assesses the competence of the rail safety worker carrying out rail safety work for the operator.




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Part 5—Reporting

Division 1—Duties relating to railway accidents and incidents

36 Definitions

In this Division—

notifiable accident or incident means a railway accident or incident which the Safety Director has specified under regulation 37(1);

notifiable circumstance means a circumstance, act or omission that resulted in, or had the potential to result in, the death or serious injury to any person, or significant damage to property and includes—

(a) any defect in, or failure of, any part of the rail infrastructure;

(b) any defect in, or failure of, any rolling stock or part of any rolling stock;

(c) any failure or breach of any rail operations practice, procedure or rule;

(d) any other circumstance, act or omission that the Safety Director has specified under regulation 37(2) to be a notifiable circumstance;

railway accident or incident means—

(a) an accident or incident on railway premises that results in—

(i) the death of a person;

(ii) a person requiring immediate treatment as an in-patient in a hospital;



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(b) a running line derailment of any unit of rolling stock;

(c) a collision between any rolling stock and any person;

(d) a collision between any rolling stock and any other vehicle, infrastructure, obstruction or object which resulted in significant property damage;

(e) an implosion, explosion, fire or other occurrence which resulted in significant property damage;

(f) a notifiable accident or incident.

37 Safety Director may specify notifiable accident or incident or notifiable circumstance

(1) The Safety Director, by instrument, may specify an accident or incident to be a notifiable accident or incident for the purposes of this Division.

(2) The Safety Director, by instrument for the purposes of paragraph (d) of the definition of notifiable circumstance, may specify a circumstance, act or omission to be a notifiable circumstance for the purposes of this Division.

(3) The Safety Director must give a copy of the instrument to the rail transport operator of any accident or incident or circumstance that the Safety Director has specified to be a notifiable accident or incident or notifiable circumstance within 7 days after making that instrument.

38 Duty to notify railway accidents or incidents

(1) An accredited rail transport operator must notify the Safety Director immediately after becoming aware that a railway accident or incident has occurred.




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(2) An accredited rail transport operator must give the Safety Director a record of the railway accident or incident in an approved form within 72 hours after, or such longer period as may be allowed by the Safety Director, the railway accident or incident.


39 Duty to notify notifiable circumstances

A rail transport operator must notify the Safety Director in an approved form of a notifiable circumstance that has occurred in relation to the railway operations for which the rail transport operator is accredited within 72 hours after, or such longer period as may be allowed by the Safety Director, becoming aware of the notifiable circumstance.


40 Investigation report

(1) For the purposes of section 67 of the Act, an accredited rail transport operator must prepare a report containing the information specified in column 3 of the Table in Schedule 4 for a railway accident or incident of a severity level set out in column 2 of that Table opposite that information.


(2) An accredited rail transport operator must provide the Safety Director with a copy of the report as soon as practicable after completing the report.


(3) The Safety Director may require an accredited rail transport operator to—

(a) conduct a more detailed investigation into an accident or incident; or



30

(b) provide further information in a report of an investigation; or

(c) clarify certain matters contained within a report.

(4) An accredited rail transport operator must comply with a requirement under subregulation (3) within 7 days after the request.


Division 2—Operational reporting and notifications41 Monthly reports

(1) A rail transport operator must for each calendar month give the Safety Director a report in the approved form and manner detailing—

(a) the total number and classes of rail safety workers in that month; and

(b) the total number of passenger journeys travelled in that month; and

(c) the total number of track kilometres; and

(d) the total number of passenger train kilometres; and

(e) the total number of freight train kilometres; and

(f) the total number of maintenance train kilometres.

(2) A report prepared under subregulation (1) must be given to the Safety Director within 10 days after the end of the previous calendar month.

(3) For the purposes of subregulation (1)(b), the Safety Director may allow a rail transport operator to provide the information every 3 months.

(4) Compliance with this regulation is a condition of accreditation.



31

42 Notification to Safety Director of certain decisions or changes

(1) This regulation applies to decisions of, or changes made by, an accredited rail transport operator that are within the scope of that operator's accreditation and that are not the subject of an application for a variation of the accreditation under section 53 or 54 of the Act.

(2) An accredited rail transport operator must notify the Safety Director, in writing, of any decision or change specified in column 2 of the Table within the time frame specified in column 3 of the Table opposite that decision or change.

Table

Column 1

Item

Column 2Decision, event or change

Column 3When 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 is 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 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 the operator intends to bring the change into operation.



32

Column 1

Item



4 A change to one or more of the classes of rail infrastructure used in the operator's railway operations.

At least 28 days before the date 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 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 the operator intends to adopt the new standard.

7 A change to the frequency of, or procedures for, the inspection or maintenance of railway infrastructure or rolling stock.

At least 28 days before the date the operator intends to bring the change into effect.

8 A decision to change any work scheduling practices and procedures set out in the operator's fatigue risk management program.

At least 28 days before the date the operator intends to bring the change into effect.

9 The replacement, or a change in the contact details of any person appointed under regulation 9(1)(b).

As soon as is reasonably practicable after it is known the replacement or change will occur.



33

Column 1

Item



10 A change in the operator's name or residential address, or the operator's business or trading name, or in the case of a body corporate, a change in the name or registered business address of the body corporate.

As soon as is reasonably practicable after the change is made.

(3) It is a condition of accreditation that an accredited rail transport operator complies with subregulation (2).

43 Exemptions from reporting requirements

(1) A tourist and heritage railway operator may apply to the Safety Director for an exemption from the requirement to submit a monthly report under regulation 41.

(2) The Safety Director may grant an exemption from the requirement to submit a monthly report under regulation 41 in whole or in part subject to any terms, conditions or limitations specified in the exemption.

44 Duty to preserve accident or incident site

(1) An accredited rail transport operator who is required to notify the Safety Director of a railway accident or incident under regulation 38(1) must ensure that the site where the accident or incident occurred is not disturbed until directed by—

(a) a transport safety officer; or

(b) the Safety Director.




34

(2) It is a defence to a charge under subregulation (1) if an accredited rail transport operator allows the site to be disturbed or disturbs the site for the purpose of—

(a) protecting the health or safety of a person; or

(b) aiding an injured person involved in a railway accident or incident; or

(c) taking necessary action to make the site safe or to prevent a further occurrence of an accident or incident; or

(d) allowing emergency services to manage the emergency.

Division 3—Annual reviews and reports45 Annual reviews and reports

(1) An accredited rail transport operator must each year conduct an annual review of all of the rail transport operator's railway operations carried out under the operator's accreditation in the preceding financial year.


(2) An accredited rail transport operator must prepare an annual report detailing the findings of the review under subregulation (1) and that includes the things required under subregulation (3).


(3) An annual review and report must include—

(a) information about—

(i) the extent to which an accredited rail transport operator satisfies the key safety performance targets as specified in its SMS for the year; and



35

(ii) the incidence of notifiable accidents or incidents and analyses of safety trends; and

(iii) recommendations (if any) of audits conducted in accordance with the rail transport operator's SMS; and

(iv) recommendations (if any) of the findings of inspections conducted in accordance with the rail transport operator's SMS; and

(v) findings of inquiries and investigations into railway accidents or incidents and subsequent implementation of actions to prevent a recurrence of any such occurrence; and

(b) a summary of any changes made to the SMS in the previous financial year.

(4) A copy of the annual report must be provided to the Safety Director by the date specified by the Safety Director.


(5) For the purpose of subregulation (4), the Safety Director must determine, in consultation with the accredited rail transport operator, a specified date by which that accredited rail transport operator is to provide the annual report.

(6) Compliance with this regulation is a condition of accreditation.



36

Part 6—Fees46 Accreditation application fee

An application for accreditation by a rail transport operator must be accompanied by the relevant fee set out in item 1 of the Table in Schedule 1.

47 Fee for temporary accreditation

(1) The Safety Director may charge the fee set out in item 2 of the Table in Schedule 1 for the issue of a temporary accreditation under section 47(2) of the Act.

(2) A fee charged under subregulation (1) must be paid by the rail transport operator within 7 days after receiving a temporary accreditation.

(3) Subregulation (2) is a condition of accreditation.

48 Fee for registration of a private siding

The fee that must accompany an application for registration of a private siding under section 69D of the Act is the fee set out in item 4 of the Table in Schedule 1.

49 Accreditation fee

(1) An accredited rail transport operator must pay the relevant fee set out in item 5 of the Table in Schedule 1 within 7 days after being accredited.

(2) A tourist and heritage railway operator who is accredited may apply to the Safety Director for an exemption from the requirement under subregulation (1).

(3) On receipt of an application under subregulation (2), the Safety Director may grant or refuse to grant an exemption.



37

(4) Subregulation (1) is a condition of accreditation unless the applicant is granted an exemption under subregulation (3).

50 Annual fees

(1) An accredited rail transport operator must pay the relevant annual fees set out in item 6 of the Table in Schedule 1 before 30 September of each year.

(2) A tourist and heritage railway operator who is accredited may apply to the Safety Director for an exemption from the requirement under subregulation (1).

(3) On receipt of an application under subregulation (2), the Safety Director may grant or refuse to grant an exemption.

(4) Subregulation (1) is a condition of accreditation unless the applicant is granted an exemption under subregulation (3).

51 Exemption from fees

(1) A rail transport operator may apply to the Safety Director for waiver of a fee payable under this Part.

(2) The Safety Director may waive all or any part of any fee payable under this Part.

52 Late payment fees

(1) If a person does not pay a fee under this Part (other than the fee referred to in regulation 48) (the unpaid fee) by the due date specified for the payment of that fee, the person must pay a fee (late payment fee) calculated in accordance with subregulation (2).



38

(2) A late payment fee is 5% of the amount, calculated in accordance with the following formula—

A365

× B

where––

A is the number of days that the fee referred to in subregulation (1) remains unpaid after the due date specified for payment of the fee; and

B is the unpaid fee.

(3) If a late payment fee calculated in accordance with subregulation (2) consists of an amount less than a whole dollar, the amount of the late payment fee is to be rounded up to the next whole dollar.

(4) The Safety Director may waive the late payment fee in whole or in part.

53 Refund of application or annual fees

The Safety Director may, at the discretion of the Safety Director, refund all or any part of an application fee or annual accreditation fee paid under this Part.



39

Part 7—Consequential amendments54 Amendment to Schedule to the Transport

(Safety Schemes Compliance and Enforcement) (Infringements) Regulations 2014

In the Schedule to the Transport (Safety Schemes Compliance and Enforcement) (Infringements) Regulations 20142—

(a) in column 2, for "Rail Safety (Local Operations) Regulations 2006", substitute "Rail Safety (Local Operations) (Accreditation and Safety) Regulations 2017"; and

(b) for items 133, 134 and 135 substitute—

"133 reg. 24(1), (2) Failing to review safety management system

3 penalty units

9467

134 reg. 35 Failing to maintain or prepare records relating to rail safety

1 penalty unit

9468

135 reg. 45(4) Failing to provide annual report to Safety Director

2 penalty units

9469

".



40

Schedule 1—FeesRegulations 46–50

Table

Item Description of feesFee units and method for calculating fees

Regulation reference

1 Fee to accompany an application for accreditation

Unless the application under regulation 9 is made by a tourist and heritage railway operator, the fee to accompany an application for accreditation

500 46

Fee to accompany an application made by a tourist and heritage railway operator under regulation 9

100 46

2 Fee for temporary accreditation

Fee for issue of a temporary accreditation under section 47(2) of the Act

50 fee units for each week or part of a week, but not exceeding an amount of 500 fee units

47

3 Exemption

Fee for application for an exemption

0 11

4 Fee for registration of a private siding

Fee to accompany an application for registration of a private siding

50 48



41



5 Fees to be paid after accreditation granted

49

(a) In the case of an accredited rail infrastructure manager

a pro rata fee of 2 fee units for each kilometre of railway track to be managed by the rail infrastructure manager in Victoria for the coming year;

(b) In the case of an accredited rolling stock operator—a pro rata fee calculated in accordance with the following

(i) 19 fee units for each 1000 kilometres, or part thereof, anticipated to be travelled by each freight train to be operated by the rolling stock operator in Victoria for the coming year; and

(ii) 1 fee unit for each 1000 kilometres, or part thereof, anticipated to be travelled by each passenger train or tramway car (including a light rail vehicle) to be operated by the rolling stock operator in Victoria for the coming year;

(c) In the case of a tourist and heritage railway operator

0



42



6 Annual fees for accredited operators

50

The annual accreditation fee with respect to—(a) an accredited rail

infrastructure manageran amount of 2 fee units for each kilometre of railway track managed by that person in Victoria based on the previous financial year;

(b) an accredited rolling stock operator

(i) 19 fee units for each 1000 kilometres, or part thereof, traveled by each freight train operated by the operator in Victoria during the previous financial year; and

(ii) 1 fee unit for each 1000 kilometres, or part thereof, traveled by each passenger train or tramway car (including light rail) to be operated by the person in Victoria for the coming year;

(c) a tourist and heritage railway operator

0

(d) in the case of a person acquiring an existing business to manage rail infrastructure or



43



operate rolling stock, a pro rata fee calculated in

accordance with the fees specified in items (a) and (b) above with reference to operations that formed part of the previous business in the previous year ending 30 June.



44

Schedule 2—Matters and information to be contained in a safety management system of

an accredited rail transport operatorRegulations 10(1)(b), 22

1 Safety policy

1.1 A safety policy that is integrated with other organisational policies of the rail transport operator and that is endorsed by the CEO or a person in an equivalent position.

1.2 A safety policy that includes an express commitment to safety and to continuous improvement in all aspects of the SMS.

1.3 A safety policy that includes a commitment to develop key safety performance targets, and to report progress against those targets.

2 Governance and internal control arrangements

2.1 Safety governance arrangements 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 level of compliance by the organisation with its duties and obligations under the Act and these Regulations; and



45

(c) to determine whether—

(i) the SMS is working effectively; and

(ii) risks to safety are being identified, assessed, and eliminated or controlled 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.

2.2 Procedures to ensure that decisions and directions made by the CEO and Board (or any other person or body controlling the rail transport operator), or of the persons managing the railway operations, that affect safety are being implemented effectively.

3 Management, accountabilities, responsibilities and authorities

3.1 Processes and systems to ensure that the persons who are to participate in the implementation and management of the SMS have the knowledge and skills necessary to enable them to perform their allocated tasks and discharge their allocated responsibilities.

3.2 The identification of the person who is responsible for the implementation and management of the SMS, evidence of the competence of that person to implement and manage the SMS and a description of the person's position description and location in the organisational structure in which the person works and of the specific tasks and responsibilities allocated to them.

3.3 Processes for the reporting of safety related matters by those with safety responsibilities.



46

4 Regulatory compliance

4.1 Systems and processes for the identification of safety requirements under the Act and other safety legislation relevant to railway operations.

4.2 Systems to ensure compliance with those safety requirements.

5 Document control arrangements and information management

5.1 A system to control and manage all documents and data relevant to the safe management of the railway operations.

5.2 Systems and procedures for the identification, creation and management of records and documents.

5.3 Processes to communicate any changes to document control systems and procedures specified in items 5.1 and 5.2 to rail safety workers and employees of the rail transport operator who are not rail safety workers who rely on those systems and procedures to carry out their work.

6 Safety records

6.1 The identification and preparation of railway safety records.

6.2 A description of the railway safety records held by the rail transport operator.

6.3 Periods for the retention of railway safety records taking into account factors such as the life cycle of the railway safety records identified and prepared under item 6.1, legal requirements for the retention of records and retrieval requirements relating to records.



47

6.4 In this item—

railway safety record means a document that specifies an account of the day to day operations of the rail transport operator, and includes operational records, engineering records, and rail safety worker records, such as records of competence and training under regulation 35, and health assessment records under regulation 32.

7 Safety performance targets and performance measures

7.1 Safety performance targets for the railway operations.

7.2 Key performance indicators to be used to measure safety performance and determine whether the SMS is effectively delivering the safety performance targets.

7.3 A description of the systems, procedures and standards to be used by the rail transport operator to achieve safety performance targets.

7.4 Procedures for the collection, analysis, assessment and dissemination of safety related data kept by the rail transport operator.

8 Internal SMS audit arrangements

8.1 Documented audit arrangements to ensure there is a process for the collection of information to determine whether the railway operations comply with the SMS, and to determine the effectiveness of the SMS.

8.2 Provision for internal SMS audits as part of the audit arrangements, including giving priority to those matters that represent the greatest safety risk.



48

8.3 An internal audit timetable for the carrying out of audits that the rail transport operator must comply with.

8.4 Processes to ensure the independence and qualification of the auditors.

8.5 Processes for—

(a) the results of audits to be communicated to those responsible for the oversight of the railway operations for review and, where appropriate, for action; and

(b) effective implementation of recommendations for action identified by the internal SMS audits; and

(c) the review of the effectiveness of the audit arrangements.

9 Corrective action

9.1 Processes to ensure, so far as is reasonably practicable, that corrective action is taken in response to any safety risks identified following inspections, testing, internal SMS audits, investigations and reporting of hazards or incidents undertaken by the rail transport operator.

9.2 Processes for those matters representing the greatest safety risk to be given priority when undertaking corrective action.

9.3 Processes to ensure so far as is reasonably practicable, that corrective action is monitored by the rail transport operator.



49

10 Review and revision

10.1 Documented intervals for the review of the SMS, including information about whether the rail transport operator intends to review the SMS every 5 years or at shorter intervals under regulation 24.

10.2 Processes for the review and revision of the SMS.

11 Management of change

Procedures for ensuring changes which 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—

(a) that changes are fully identified and described in the context of the railway operations; and

(b) affected parties are identified and, where practicable, consulted; and

(c) the roles and responsibilities of the rail safety workers employed or engaged by the rail transport operator or a rail contractor who supplies railway operations to the rail transport operator, 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 and trained to understand and deal with the proposed change; and

(e) any risks associated with the proposed change are appropriately managed; and

(f) the change, once implemented, is reviewed and assessed by the rail transport operator to determine the change has been appropriately managed.



50

12 Security

12.1 Processes for the integration of security into all aspects of railway operations.

12.2 Processes for the identification of security risks and procedures for the control of those security risks.

12.3 Documented responsibilities and accountabilities of the rail transport operator with respect to security.

12.4 Processes for the consultation by the rail transport operator with the Chief Commissioner of Police and with government agencies that have security responsibilities when developing, implementing and evaluating measures relating to security.

13 Safety culture

Methods to promote and maintain a positive safety culture, so far as is reasonably practicable, including methods—

(a) that promote the management of railway operations in a safe manner; and

(b) that encourage an environment that promotes the carrying out of railway operations in a safe manner; and

(c) that encourage communication between rail safety workers, rail contractors and employees of the rail transport operator and senior management of the rail transport operator about the safety of the railway operations.

14 Consultation

Policies for the involvement of, and consultation with, rail safety workers and their health and safety representatives with respect to the rail



51

transport operator's risk management requirements under Division 3 of Part 5 of the Act.Note

Part 4 of the Occupational Health and Safety Act 2004 sets out requirements for consultation with employees in relation to a range of health and safety matters, including hazard identification, and risk assessment and control.

15 Internal communication

15.1 Processes for the dissemination of safety information and information about the content of the SMS to rail safety workers who are employed or engaged by the rail transport operator or a rail contractor who supplies railway operations to the rail transport operator, employees of the rail transport operator, and those who may be affected by the information or who may need to implement the information.

15.2 Arrangements by which the rail transport operator's safety policy and specific safety objectives are to be communicated to all persons who are to participate in the implementation of the SMS.

16 Risk management

16.1 Processes to ensure, so far as is reasonably practicable, compliance with sections 50 to 52 of the Act.

16.2 A description of the control measures adopted by the rail transport operator.

16.3 A risk register that includes—

(a) a comprehensive listing of hazards; and

(b) risks associated with each hazard; and

(c) the control measures applicable to each hazard; and



52

(d) nomination of the person responsible for each control measure; and

(e) key engineering, operational and maintenance standards applicable to each control measure; and

(f) any relevant cross-referencing to other related aspects of the SMS or regulations.

16.4 Processes to ensure, so far as is reasonably practicable, that rail safety work is prioritised so that those hazards representing the greatest risk are given priority.

16.5 If the rail transport operator is a rolling stock operator and is accredited in another State or Territory, a document setting out the differences between risks to safety arising out of the carrying out of rolling stock operations in that State or Territory and the risks to safety arising out of the proposed rolling stock operations in Victoria, and the control measures to be used to manage those differences.

17 Personnel management

Information indicating how the rail transport operator will or does comply with the following requirements—

(a) Part 6 of the Act dealing with drug and alcohol controls; and

(b) regulation 30 dealing with the health and fitness of rail safety workers; and

(c) regulation 31 dealing with fatigue management.

18 Rail safety worker competence

Programs for the management of rail safety worker competence to ensure that rail safety workers are competent to carry out the rail safety



53

work they are employed or engaged (whether by the rail transport operator or a rail contractor) to carry out.

19 Information, instruction and training

19.1 Processes for—

(a) the provision of information to rail safety workers about the content of the SMS; and

(b) the training of rail safety workers who will be or are involved in the implementation of the SMS.

19.2 Programs to—

(a) ensure, so far as is reasonably practicable, rail safety workers are aware and understand safety policy objectives as specified in the SMS; and

(b) encourage rail safety workers' awareness, understanding and participation in the SMS.

19.3 Provision for induction, and ongoing, training with regard to rail safety, including information, instruction and training on new work practices, procedures, policies and standards, specific hazards and relevant control measures.

20 Procurement and contract management

20.1 Procedures for the review of tender documents and contracts for the supply of railway operations by rail contractors to ensure that the duties of a rail transport operator or rail contractor under the Act and these Regulations are adequately defined and documented.

20.2 Procedures to ensure that the terms of any tender documents, contracts or purchasing arrangements do not lead to unsafe work or an activity that may affect the safe operation of the railway operations.



54

20.3 Procedures for the monitoring of the performance of rail contractors, including conducting or commissioning audits of the rail contractor's performance in relation to the safety aspects of the contract.

20.4 Procedures for ensuring that safety duties under the Act are being met under contracts and procedures for the taking of remedial action where necessary.

21 Engineering and operational safety systems

21.1 If available, a documented set of engineering standards and procedures, and operational systems safety standards, to cover the following, and, where relevant, the relationships between any 2 or more of them—

(a) rail infrastructure;

(b) rolling stock;

(c) information technology systems that impact on rail safety.

Note

Rail infrastructure is defined in the Act as "the facilities that are necessary to enable a railway to operate and includes railway tracks and associated railway track structures, service roads, signalling systems, communications systems, rolling stock control systems, train control systems and data management systems, notices and signs, electrical power supply and electric traction systems, associated buildings, workshops, depots and yards, plant, machinery and equipment, tram stops and tram stations, but does not include rolling stock any facility, or facility of a class, that is prescribed by the national regulations not to be rail infrastructure".

21.2 Details of the implementation and updating of the documents specified in item 21.1.

21.3 Procedures for the control and verification of the design of structures, vehicles, equipment, and systems, in accordance with the engineering



55

standards and procedures, and operational systems safety standards as specified in item 21.1.

22 Process control

22.1 Procedures for the rail transport operator to monitor its compliance with the documented procedures specified in item 21, including procedures for the inspection and testing of safety related engineering and operational systems.

22.2 Procedures for the control, calibration and maintenance of all equipment used for the purposes of inspection and testing of rail infrastructure or rolling stock.

22.3 Arrangements for the establishment and maintenance of inspection and test records to provide evidence of the condition of rail infrastructure or rolling stock.

22.4 Procedures for the documentation of processes required by the SMS and undertaken by the rail transport operator, including—

(a) safe working procedures; and

(b) operational procedures; and

(c) rolling stock management procedures; and

(d) traffic management procedures; and

(e) infrastructure integrity procedures; and

(f) electric traction infrastructure procedures.

22.5 If the rail transport operator is a rolling stock operator and is accredited in another State or Territory, a document setting out the differences between the rail transport operator's rolling stock operations in that other State or Territory with the proposed rolling stock operations in Victoria and the control measures to be used to manage those differences.



56

22.6 In this item, differences means differences in railway operations that give rise to a risk to safety.

23 Asset management

An asset management policy in relation to the rail infrastructure or rolling stock operations.

24 Safety interface agreements

24.1 Processes for the identification of potential risks to the safety of railway operations carried out by that rail transport operator for the purposes of developing a safety interface agreement.

24.2 Copies of all safety interface agreements developed by the rail transport operator.

25 Emergency management

25.1 A copy of an emergency plan in accordance with section 52 of the Act and Division 5 of Part 2.

25.2 A copy of the procedures for the notification of railway accidents and incidents in accordance with regulation 38.

26 Investigations

26.1 Processes for the investigating of accidents or incidents for the purposes of section 67 of the Act.

26.2 Processes for the management of the scene of an accident or incident and preservation of evidence.



57

Schedule 3—Matters and information to be contained in the system and arrangements

of a registered rail transport operator of a private siding

Regulation 23

1 Safety interface agreements

1.1 Processes for the identification of potential risks to the safety of railway operations carried out by that rail transport operator for the purposes of developing a safety interface agreement.

1.2 Copies of all safety interface agreements developed by the rail transport operator.

2 Risk management

2.1 So far as is reasonably practicable, processes for the identification of incidents and hazards and the assessment of all possible incidents and hazards identified.

2.2 A description of the control measures adopted by the rail transport operator.

2.3 A risk register that includes—

(a) a comprehensive listing of hazards; and

(b) risks associated with each hazard; and

(c) the control measures applicable to each hazard; and

(d) nomination of the person responsible for each control measure; and

(e) key engineering, operational and maintenance standards applicable to each control measure; and

(f) any relevant cross-referencing to other related aspects of the system and



58

arrangements or regulations.

2.4 Processes to ensure, so far as is reasonably practicable, that rail safety work is prioritized so that those hazards representing the greatest risk are given priority.

3 Infrastructure maintenance

Details about how rail infrastructure within the private siding is to be maintained by the rail transport operator.



59

Schedule 4—Investigation reportsRegulation 40(1)

Matters to be included in investigation reports having regard to the severity of the accident or incident

Column 1

Item

Column 2Accident or incident severity level

Column 3

Required information

1 An accident or incident that results in major consequences, for example, fatalities, serious personal injuries or significant property damage.

Detailed report of a systemic nature.The report must include— a description of the

occurrence; and the consequences that

resulted; and the contributing factors

established by the investigation; and

the safety actions arising from it.

2 An accident or incident involving only minor injuries but with significant property damage. Includes an accident or incident that had the potential to be more serious, possibly involving death.

A brief report including analysis of the incident and where appropriate including those matters listed for a severity level 1 accident or incident.

3 An accident or incident resulting in minor injuries or minor property damage where it is unlikely that a more serious accident or incident would have occurred.

An initial occurrence report prepared and retained for trend analysis, and where possible, a brief report including analysis of the incident.

═════════════



60

Endnotes1 General information

See www.legislation.vic.gov.au for Victorian Bills, Acts and current authorised versions of legislation and up-to-date legislative information.

The Rail Safety (Local Operations) (Accreditation and Safety) Regulations 2017, S.R. No. 77/2017 were made on 18 July 2017 by the Governor in Council under Division 5 of Part 9 of the Rail Safety (Local Operations) Act 2006, No. 9/2006 and came into operation on 21 July 2017: regulation 3.

The Rail Safety (Local Operations) (Accreditation and Safety) Regulations 2017 will expire on 21 July 2018: see regulation 4.

INTERPRETATION OF LEGISLATION ACT 1984 (ILA)

Style changes

Section 54A of the ILA authorises the making of the style changes set out in Schedule 1 to that Act.

References to ILA s. 39B

Sidenotes which cite ILA s. 39B refer to section 39B of the ILA which provides that where an undivided regulation, rule or clause of a Schedule is amended by the insertion of one or more subregulations, subrules or subclauses the original regulation, rule or clause becomes subregulation, subrule or subclause (1) and is amended by the insertion of the expression "(1)" at the beginning of the original regulation, rule or clause.

Interpretation

As from 1 January 2001, amendments to section 36 of the ILA have the following effects:

• Headings

All headings included in a Statutory Rule which is made on or after 1 January 2001 form part of that Statutory Rule. Any heading inserted in a Statutory Rule which was made before 1 January 2001, by a Statutory Rule made on or after 1 January 2001, forms part of that Statutory Rule. This includes headings to Parts, Divisions or Subdivisions in a Schedule; Orders; Parts into which an Order is divided; clauses; regulations; rules; items; tables; columns; examples; diagrams; notes or forms. See section 36(1A)(2A)(2B).



61

http://www.legislation.vic.gov.au/

• Examples, diagrams or notes

All examples, diagrams or notes included in a Statutory Rule which is made on or after 1 January 2001 form part of that Statutory Rule. Any examples, diagrams or notes inserted in a Statutory Rule which was made before 1 January 2001, by a Statutory Rule made on or after 1 January 2001, form part of that Statutory Rule. See section 36(3A).

• Punctuation

All punctuation included in a Statutory Rule which is made on or after 1 January 2001 forms part of that Statutory Rule. Any punctuation inserted in a Statutory Rule which was made before 1 January 2001, by a Statutory Rule made on or after 1 January 2001, forms part of that Statutory Rule. See section 36(3B).

• Provision numbers

All provision numbers included in a Statutory Rule form part of that Statutory Rule, whether inserted in the Statutory Rule before, on or after 1 January 2001. Provision numbers include regulation numbers, rule numbers, subregulation numbers, subrule numbers, paragraphs and subparagraphs. See section 36(3C).

• Location of "legislative items"

A "legislative item" is a penalty, an example or a note. As from 13 October 2004, a legislative item relating to a provision of a Statutory Rule is taken to be at the foot of that provision even if it is preceded or followed by another legislative item that relates to that provision. For example, if a penalty at the foot of a provision is followed by a note, both of these legislative items will be regarded as being at the foot of that provision. See section 36B.

• Other material

Any explanatory memorandum, table of provisions, endnotes, index and other material printed after the Endnotes does not form part of a Statutory Rule. See section 36(3)(3D)(3E).



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2 Table of AmendmentsThere are no amendments made to the Rail Safety (Local Operations) (Accreditation and Safety) Regulations 2017 by statutory rules, subordinate instruments and Acts.



63

3 Amendments Not in OperationThere are no amendments which were Not in Operation at the date of this publication.



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4 Explanatory details



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1 Reg. 5: S.R. No. 96/2006 as amended by S.R. Nos 9/2008, 59/2009, 114/2010, 104/2011, 113/2011, 30/2014 and 23/2016 and extended in operation by S.R. No. 88/2016.

2 Reg. 54: S.R. No. 32/2014 as amended by S.R. No. 76/2015.

——Fee Units

These Regulations provide for fees by reference to fee units within the meaning of the Monetary Units Act 2004.

The amount of the fee is to be calculated, in accordance with section 7 of that Act, by multiplying the number of fee units applicable by the value of a fee unit.

The value of a fee unit for the financial year commencing 1 July 2017 is $14.22. The amount of the calculated fee may be rounded to the nearest 10 cents.

The value of a fee unit for future financial years is to be fixed by the Treasurer under section 5 of the Monetary Units Act 2004. The value of a fee unit for a financial year must be published in the Government Gazette and a Victorian newspaper before 1 June in the preceding financial year.

Penalty Units

These Regulations provide for penalties by reference to penalty units within the meaning of section 110 of the Sentencing Act 1991. The amount of the penalty is to be calculated, in accordance with section 7 of the Monetary Units Act 2004, by multiplying the number of penalty units applicable by the value of a penalty unit.

The value of a penalty unit for the financial year commencing 1 July 2017 is $158.57.

The amount of the calculated penalty may be rounded to the nearest dollar.

The value of a penalty unit for future financial years is to be fixed by the Treasurer under section 5 of the Monetary Units Act 2004. The value of a penalty unit for a financial year must be published in the Government Gazette and a Victorian newspaper before 1 June in the preceding financial year.

——

Table of Applied, Adopted or Incorporated Matter

The following table of applied, adopted or incorporated matter was included in S.R. No. 77/2017 in accordance with the requirements of regulation 5 of the Subordinate Legislation Regulations 2014.

Statutory rule provision

Title of applied, adopted or incorporated document

Matter in applied, adopted or incorporated document

Regulation 6 which includes the definition of health assessment national standard

National Standard for Health Assessment of Rail Safety Workers published by the National Transport Commission in January 2017

The whole

Documents

Rail Safety (Local Operations) (Accreditation and Safety ...FILE/17-77sr001.docx · Web viewRail Safety (Local Operations) (Accreditation and Safety) Regulations 2017. S.R. No