Rail Safety Regulations 2006 - legislation.vic.gov.auFILE/06-96sr009.docx · Web viewOCPC-VIC,...

Version No. 009

Rail Safety Regulations 2006S.R. No. 96/2006

Version incorporating amendments as at 5 October 2011

TABLE OF PROVISIONSRegulation Page

PART 1—PRELIMINARY 1

1 Objective 12 Authorising provisions 13 Commencement 14 Definitions 25 Scope of meaning of rail safety work 3

PART 2—ACCREDITATION 5

Division 1AA—Exemption from accreditation 5

6AA Certain rolling stock operators exempt 56AB Director of Public Transport exempt 5

Division 1—Application for accreditation 5

6 Application for accreditation 57 Combined applications for accreditation 88 Ongoing notification of change of details 8

Division 2—Emergency plans 9

9 Preparation and communication of an emergency plan 910 Matters to be included in an emergency plan 1011 Keeping, maintaining and testing an emergency plan 1112 Review and revision of emergency plan 12

PART 3—SAFETY MANAGEMENT SYSTEMS 14

13 Content of a SMS for accredited rail operators 1413A Content of systems and arrangements for exempt rail operators 1414 Review and revision 1414A Review and revision of systems and arrangements for exempt

rail operators 1515 Provision of SMS to Safety Director 1516 Copies of SMS to be kept 16

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16A Copies of safety interface agreements to be kept available to public 16

16B Copies of system and arrangements to be kept 16

PART 4—Revoked 16

17, 18 Revoked 16

PART 5—RAIL SAFETY WORKERS 17

Division 1—Alcohol and drug controls 17

19 Preliminary breath test devices 1720 Procedure for breath analysis 1721 Procedure for taking blood sample 1822 Procedure after taking blood samples 1823 Certificate under section 78(5) 1924 Particulars of report of assessment of drug impairment 2025 Certificate under section 83(5) 2226 Certificate under section 83(6) 2327 Certificate under section 83(7) 2328 Certificate under section 83(8) 2429 Procedure for collecting urine samples 2430 Procedures after collecting urine samples 2431 Certificate under section 84(5) 2532 Certificate under section 84(6) 2633 Certificate under section 84(7) 2634 Duty to provide indicative positive results to Safety Director 27

Division 2—Health and fitness of rail safety workers 27

35 Rail operator to ensure workers are fit to carry out rail safety work 27

36 Fatigue management 2837 Health assessments 29

Division 3—Competence 29

38 Competence of rail safety workers 2939 Assessment of rail safety worker competence 3040 Records of competence and training 31

PART 6—REPORTING 32

Division 1—Duties relating to railway accidents and incidents 32

41 Definitions 3242 Safety Director may specify notifiable accident or incident or

notifiable circumstance 3343 Duty to notify railway accidents or incidents 33

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44 Duty to notify notifiable circumstances 3445 Investigation report 34

Division 1A—Operational reporting and notifications 35

46 Monthly reports 3546A Notification to Safety Director of certain decisions or changes 3647 Exemptions from reporting requirements 3948 Duty to preserve accident or incident site 39

Division 2—Annual reviews and reports 40

49 Annual reviews and reports 40

PART 7—FEES 42

50 Accreditation application fee 4251 Fee for temporary accreditation 4252 Fee for accreditation exemption for private siding 4253 Accreditation fee 4354 Annual fees 4355 Late payment fees 4456 Refund of application or annual fees 44

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SCHEDULES 45

SCHEDULE 1—Fees 45

SCHEDULE 2—Matters and information to be contained in a Safety Management System of an accredited rail operator 49

SCHEDULE 3—Matters and Information to be Contained in the System and Arrangements of an Exempt Rail Operator 62

SCHEDULE 4—Investigation Reports 64

═══════════════

ENDNOTES 65

1. General Information 65

2. Table of Amendments 66

3. Explanatory Details 67

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Version No. 009


Version incorporating amendments as at 5 October 2011

PART 1—PRELIMINARY

1 Objective

The objective of these Regulations is to promote safe 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) alcohol and drug controls for rail safety workers;

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

(f) reporting of accidents, incidents and inquiries;

(g) fees for services.

2 Authorising provisions

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

3 Commencement

(1) These Regulations (except Part 4, regulations 36, 39, 45 to 48 and Division 2 of Part 6) come into operation on 1 August 2006.

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(2) Part 4, regulations 36, 39, 45 to 48 and Division 2 of Part 6 come into operation on 1 November 2006.

4 Definitions

In these Regulations—

accredited tourist and heritage railway operator has the same meaning as it has in section 66(1) of the Act;

approved means approved in writing by the Safety Director;

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

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

exempt rail operator means a rail operator who holds an exemption under section 63 of the Act;

health assessment national standard means National Standard for Health Assessment of Rail Safety Workers, published by the National Transport Commission in June 2004, 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 Act 2006.

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r. 4

Reg. 4 def. of AQF inserted by S.R. No. 9/2008 reg. 5.

Reg. 4 def. of exempt rail operator inserted by S.R. No. 113/2011 reg. 5.

Reg. 4 def. of health assessment national standard inserted by S.R. No. 9/2008 reg. 5.

5 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 equipment;

(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 equipment—

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

(4) In this regulation compliance and investigative purposes has the same meaning as in

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Reg. 5 amended by S.R. No. 9/2008 reg. 6 (ILA s. 39B(2)).

r. 5

Reg. 5(2) inserted by S.R. No. 9/2008 reg. 6.


Reg. 5(4) inserted by S.R. No. 9/2008 reg. 6, amended by S.R. No. 104/2011 reg. 3.

section 228S(1) of the Transport (Compliance and Miscellaneous) Act 1983.

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PART 2—ACCREDITATION

Division 1AA—Exemption from accreditation

6AA 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.

6AB Director of Public Transport exempt

(1) The Director is exempt from the requirement to be accredited under Part 5 of the Act.

(2) In this regulation Director has the same meaning as in the Transport (Compliance and Miscellaneous) Act 1983.

Division 1—Application for accreditation

6 Application for accreditation

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

Pt 2 Div. 1AA (Heading and regs 6AA, 6AB) inserted by S.R. No. 9/2008 reg. 7.

Reg. 6AA inserted by S.R. No. 9/2008 reg. 7.

Reg. 6AB inserted by S.R. No. 9/2008 reg. 7.

Reg. 6AB(2) amended by S.R. No. 104/2011 reg. 4.

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(a) a description of the nature, character and scope of the rail infrastructure manager's proposed rail infrastructure operations;

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

(c) evidence of competence and capacity, including—

(i) details of the knowledge, skills and experience of 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 allocated responsibilities effectively; and

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

(d) documentary evidence that the rail infrastructure manager complies with section 26 of the Act;

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

(f) evidence to the satisfaction of the Safety Director that the rail infrastructure manager has—

(i) the financial capacity; or

(ii) public risk insurance arrangements—

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

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

Note to reg. 6(1) inserted by S.R. No. 114/2010 reg. 3(2).r. 6

Note

The application must also be accompanied by the relevant fee: see regulation 50(1).

(2) For the purposes of section 38(3)(b) of the Act, a rolling stock operator must provide the following with an application for accreditation—

(a) a description of the nature, character and scope of the rolling stock operator's proposed rolling stock operations;

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

(c) evidence of competence and capacity, including—

(i) details of the knowledge, skills and experience of 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 allocated responsibilities effectively; and

(ii) details about the resources and systems that will be relied upon by the rail

Reg. 6(1)(g) substituted by S.R. No. 114/2010 reg. 3(1).


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operator to carry out its rail operations safely;

(d) documentary evidence that the rolling stock operator complies with section 26 of the Act; and

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

(f) evidence to the satisfaction of the Safety Director that the rolling stock 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 rail operations;

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

(h) evidence of any agreement with the rail infrastructure manager who controls the rail infrastructure on which the rolling stock operator wishes to operate particular rolling stock.Note

The application must also be accompanied by the relevant fee: see regulation 50(2).

7 Combined applications for accreditation

A rail infrastructure manager who is also a rolling stock operator may combine the information required under regulation 6(1) and (2) into one application.

8 Ongoing notification of change of details

Reg. 6(2)(g) substituted by S.R. No. 114/2010 reg. 3(3).

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(1) An accredited rail 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

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

Example

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

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

Division 2—Emergency plansNote

An emergency plan required under the Act and referred to in this Division is different to a risk management plan required under section 29 of the Terrorism (Community Protection) Act 2003.

9 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 operators who may be affected by the implementation of the plan.Note

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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 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.

(3) A rail 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 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).

10 Matters to be included in an emergency plan

An emergency plan must address—

(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;

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(d) recovery procedures for the restoration of rail 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 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 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.

11 Keeping, maintaining and testing an emergency plan

(1) A rail operator must ensure, so far as is reasonably practicable, that training in the relevant elements of the plan is provided to rail safety workers, rail

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contractors and employees of the rail operator who may be required to implement the emergency plan.

Penalty:10 penalty units.

(2) A rail 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.

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

(5) A rail 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.


12 Review and revision of emergency plan


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A rail 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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r. 12r. 12


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PART 3—SAFETY MANAGEMENT SYSTEMS

13 Content of a SMS for accredited rail operators

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

13A Content of systems and arrangements for exempt rail operators

For the purposes of section 28B of the Act, the system and arrangements established by an exempt rail operator must contain the matters and information contained in Schedule 3.

14 Review and revision

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

(a) the accredited rail 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 operator must record the date the SMS is reviewed.

Reg. 13 substituted by S.R. No. 113/2011 reg. 6.

r. 13

Reg. 13A inserted by S.R. No. 113/2011 reg. 7.

Reg. 14(1) amended by S.R. No. 113/2011 reg. 8(1).


Reg. 14(2)(a) amended by S.R. No. 113/2011 reg. 8(2).



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(4) A review of the SMS may form part of the annual review required by regulation 49.

14A Review and revision of systems and arrangements for exempt rail operators

(1) An exempt rail operator 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.


(2) An exempt rail operator 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 exempt rail operator must record the date the system and arrangements are reviewed.


15 Provision of SMS to Safety Directorr. 14A


(1) The Safety Director may request an accredited rail 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.



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


16 Copies of SMS to be kept

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


16A Copies of safety interface agreements to be kept available to public

For the purposes of keeping and maintaining a safety management system, an accredited rail operator must keep a copy of a safety interface agreement that forms part of the safety management system established and maintained by that rail operator available for inspection free of charge by any person affected by that agreement.


16B Copies of system and arrangements to be kept

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


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* * * * *


Reg. 16 amended by S.R. No. 113/2011 reg. 11.

r. 16

Reg. 16A inserted by S.R. No. 59/2009 reg. 11, amended by S.R. No. 113/2011 reg. 12.

Reg. 16B inserted by S.R. No. 113/2011 reg. 13.

Pt 4 (Heading and regs 17, 18) revoked by S.R. No. 59/2009 reg. 12.


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PART 5—RAIL SAFETY WORKERS

Division 1—Alcohol and drug controls

19 Preliminary breath test devices

The devices prescribed for the purposes of section 77 of the Act are the breath testing devices known as—

(a) the lion alcolmeter SD-400 Touch; and

(b) the Lion Alcolmeter also known as the lion alcolmeter S-D2; and

(c) the lion alcolmeter SD-400PA; and

(d) the Alcolizer LE.

20 Procedure for breath analysis

It is a requirement for the proper operation of a breath analysing instrument that a person authorised under section 78(4) of the Act to operate a breath analysing instrument—

(a) does not require a person to provide a breath sample for analysis until the authorised person is satisfied that the person has not consumed any alcohol for a period of at least 15 minutes before the analysis; and

(b) provides a fresh mouthpiece for use by each person required to provide a breath sample; and

(c) uses only a mouthpiece which, until required for taking the breath sample, has been kept in a sealed container.

Reg. 19 amended by S.R. No. 59/2009 reg. 5, substituted by S.R. No. 113/2011 reg. 14.

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21 Procedure for taking blood sample

If a blood sample is taken by a registered medical practitioner or an approved health professional for the purposes of the Act, the site of the puncture must be cleansed with a swab taken from a container which—

(a) appears to be sealed against contamination; and

(b) bears a label stating that the container holds an aqueous solution of chlorohexidine and cetrimide and no methylated spirits, alcohol, tincture of iodine or other substance containing alcohol.

22 Procedure after taking blood samples

(1) A registered medical practitioner or an approved health professional who takes a blood sample must ensure that—

(a) the sample of blood is placed in 3 dry containers, each containing approximately the same amount of blood; and

(b) each container is vacuum sealed or sealed with a septum seal; and

(c) each container in which the sample is placed bears a label stating—

(i) that the container holds a specific anti-coagulant and preservative such as potassium oxalate and sodium fluoride; and

(ii) the name of the chemist, laboratory or pharmaceutical organisation that prepared the container; and

(d) each container has attached to it a label bearing the signature of the registered medical practitioner or approved health

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professional, the date and the time the blood sample was taken, and the name of the person from whom the sample was taken or, if the name of the person is not known, sufficient information to enable the sample to be identified with the person from whom it was taken.

(2) If a blood sample is taken under section 78 of the Act, the registered medical practitioner or approved health professional must give one of the containers to a member of the police force and another to the person from whom the sample was taken.

(3) If a blood sample is taken under section 82 of the Act and has, in accordance with this regulation, been placed in containers which have been sealed and labelled, the registered medical practitioner or approved health professional must ensure that—

(a) one container is placed in a locked receptacle provided for the purpose at the place at which the sample was taken; and

(b) one container is placed and sealed in a container labelled "screening sample"; and

(c) one container is delivered to the person from whom the blood sample was taken or placed with that person's personal property at the place at which the sample was taken.

23 Certificate under section 78(5)

A certificate given under section 78(5) of the Act must contain the following particulars—

(a) the serial number of the breath analysing instrument; and

(b) the sample number; and

(c) the location of the test; and

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(d) the name and date of birth of the person whose breath is analysed; and

(e) the surname of the operator; and

(f) the results of the self tests conducted by the breath analysing instrument before and after the person's breath is analysed; and

(g) the results of zero tests conducted by the breath analysing instrument before and after the person's breath is analysed; and

(h) the date and time the person's breath was analysed.

24 Particulars of report of assessment of drug impairment

For the purposes of section 80(6) of the Act, a report of assessment of drug impairment must contain the following particulars—

(a) particulars of the identity of the person on whom the assessment was carried out, including, if known, the person's name, address, date of birth and gender;

(b) the date and time at which the person underwent the assessment;

(c) the place at which the person underwent the assessment;

(d) the time (if any) reported to the transport safety officer or member of the police force (as the case requires) carrying out the assessment as the latest time the person carried out rail safety work;

(e) whether the person underwent a preliminary breath test in accordance with section 77 of the Act or furnished a sample of breath for analysis by a breath analysing instrument

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and, if so, the result of the test or analysis, if known;

(f) the record of interview of the person carried out by the transport safety officer or the member of the police force carrying out the assessment;

(g) particulars of any medical treatment sought by or for the person;

(h) any statements made by the person concerning a drug or drugs;

(i) any observations made by the transport safety officer or member of the police force carrying out the assessment of the person in relation to—

(i) any apparent injury or illness of the person;

(ii) whether the person smelt of intoxicating liquor;

(iii) the person's speech;

(iv) the person's eyes;

(v) the person's breathing;

(vi) the person's skin;

(vii) the person's movement;

(viii) the person's balance;

(ix) the state of the person's clothing;

(x) the person's actions;

(xi) the person's demeanour;

(xii) any physical signs of drug use by the person;

(xiii) the person's ability to comprehend instructions;

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(xiv) the person's ability to divide attention;

(xv) whether the person, during the assessment, exhibited signs that indicated that the person was impaired by a drug or drugs;

(j) whether the assessment, in the opinion of the transport safety officer or member of the police force carrying it out, indicates that the person may be impaired by a drug or drugs;

(k) the name, identification number and signature of the transport safety officer, or the name, rank, station and signature of the member of the police force (as the case requires) carrying out the assessment.


A certificate for the purposes of section 83(5) of the Act must contain the following particulars—

(a) a statement by the registered medical practitioner or approved health professional that the requirements of these Regulations for the taking of blood samples have been complied with; and

(b) the name of the person from whom the blood sample was taken; and

(c) the time and date the blood sample was taken; and

(d) the name and signature of the registered medical practitioner or approved health professional who took the blood sample.

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A certificate for the purposes of section 83(6) of the Act must contain, in addition to a statement as to the concentration of alcohol found in the sample of blood, the following particulars—

(a) a statement by the analyst that he or she is a properly qualified analyst within the meaning of section 83 of the Act; and

(b) a statement as to the method of analysis used; and

(c) the name and signature of the analyst; and

(d) the date the analysis was conducted; and

(e) a description of the contents of the identification label referred to in regulation 22(1)(d) attached to the container in which the blood sample is placed.


A certificate under section 83(7) of the Act must contain the following particulars—

(a) a statement by the approved analyst that he or she is an approved analyst within the meaning of section 83 of the Act; and

(b) a statement as to the method of analysis used; and

(c) a statement that a substance that is, or is capable of being, a drug for the purposes of the Act was present in the sample of blood analysed; and

(d) the name of the substance found to be present in the sample of blood analysed; and

(e) the name and signature of the approved analyst; and

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(f) the date on which the analysis was conducted; and

(g) a description of the identification label referred to in regulation 22(1)(d) attached to the container in which the blood sample is placed.



(a) a statement by the approved expert that he or she is an approved expert within the meaning of section 83 of the Act; and

(b) a statement as to the usual effect of a specified substance or substances on behaviour when consumed or used (including the effect on a person's ability to carry out rail safety work properly); and

(c) the name and signature of the approved expert.

29 Procedure for collecting urine samples

A registered medical practitioner or an approved health professional who collects a urine sample for the purposes of the Act must ensure that the sample is collected in a container which is clean and dry and which has not previously been used.

30 Procedures after collecting urine samples

A registered medical practitioner or an approved health professional who collects a urine sample must ensure that

(a) the urine sample is placed in 2 dry containers, each containing approximately the same amount of urine; and

(b) each container is fitted with a tamper proof locking seal; and

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(c) each container has attached to it a label bearing—

(i) the signature of the registered medical practitioner or approved health professional who collected the urine sample;

(ii) the date and the time the sample was collected;

(iii) the name of the person from whom the sample was collected or, if the name of the person is not known, sufficient information to enable the sample to be identified with the person from whom it was collected.



(a) a statement by the registered medical practitioner or approved health professional as to whether the requirements of the Act and these Regulations for the collection of urine samples have been complied with;

(b) the name of the person from whom the urine sample was collected or, if the name of the person is not known, sufficient information to enable the sample to be identified with the person from whom it was collected;

(c) the time and date the urine sample was collected;

(d) the name and signature of the registered medical practitioner or approved health professional who collected the urine sample.

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(a) a statement by the analyst that he or she is an approved analyst within the meaning of section 84 of the Act;

(b) a statement as to the method of analysis used;

(c) a statement that a substance that is, or is capable of being, a drug for the purposes of the Act was present in the urine sample analysed;

(d) the name of the substance found to be present in the urine sample analysed;

(e) the concentration of the substance found to be present in the urine sample analysed;

(f) the name and signature of the analyst;

(g) the date on which the analysis was conducted;

(h) a description of the contents of the identification label referred to in regulation 30(c) attached to the container in which the urine sample is placed.



(a) a statement by the expert that he or she is an approved expert within the meaning of section 84 of the Act;

(b) a statement as to the usual effect of a specified substance or substances on behaviour when consumed or used in that concentration (including its effect on a

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person's ability to carry out rail safety work properly);

(c) the name and signature of the approved expert.

34 Duty to provide indicative positive results to Safety Director

(1) A rail operator must, within 48 hours after becoming aware, notify the Safety Director if a rail safety worker carrying out rail safety work for the rail operator has undergone a breath test or an assessment of drug impairment and—

(a) a preliminary breath test indicates that the rail safety worker's breath contains alcohol; or

(b) an assessment of drug impairment indicates that the rail safety worker may be impaired by a drug.


(2) A notification under subregulation (1) must contain a statement of action specifying the response and proposed action to be taken by the rail operator against the rail safety worker as a consequence of the positive test results.

(3) A notification under subregulation (1) must be in writing and must be in an approved form.

Division 2—Health and fitness of rail safety workers

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

A rail operator must ensure, so far as is reasonably practicable, that a rail safety worker who is employed or engaged by the rail operator, or a rail contractor who supplies rail infrastructure


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operations or rolling stock operations to that rail operator, is of sufficient good health and fitness to carry out that rail safety work.


36 Fatigue management

(1) A rail 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 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 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 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.

r. 36


28

37 Health assessmentsr. 37

Reg. 37(1) substituted by S.R. No. 9/2008 reg. 8(1), amended by S.R. No. 59/2009 reg. 7(1).

(1) A rail 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 volumes 1 and 2 of the health assessment national standard.


* * * * *

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


(4) Subregulation (3) does not apply if the rail 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.

Division 3—Competence

38 Competence of rail safety workers

(1) A rail 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 operator must ensure that a person who is undertaking training in an aspect of rail safety

Reg. 37(2) revoked by S.R. No. 9/2008 reg. 8(1).

Reg. 37(3) substituted by S.R. No. 9/2008 reg. 8(2), amended by S.R. No. 59/2009 reg. 7(2).


29

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.

39 Assessment of rail safety worker competencer. 39

Reg. 39(1) substituted by S.R. No. 9/2008 reg. 9.

(1) A rail operator must assess, or cause to be assessed, the competence of each rail safety worker who is employed or engaged by the rail operator, or a rail contractor who supplies rail infrastructure operations or rolling stock operations to that rail operator—

(a) by reference to—

(i) any applicable units of competence or qualification under the AQF; or

(ii) any other competence specified by the Safety Director under subregulation (2) as applicable with respect to a rail safety worker; and

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

(2) The Safety Director, by notice published in the Government Gazette, may specify a competence for a class of rail safety worker.

(3) If a rail 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 operator may require that—

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

Reg. 39(1)(a)(ii) amended by S.R. No. 59/2009 reg. 8(1).

Reg. 39(3) substituted by S.R. No. 59/2009 reg. 8(2).


30

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

40 Records of competence and training

A rail 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

(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.


__________________

r. 40


31

PART 6—REPORTING

Division 1—Duties relating to railway accidents and incidents

41 Definitions

In this Division—

notifiable accident or incident means a railway accident or incident which the Safety Director has specified under regulation 42(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 42(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;

r. 41

Reg. 41 def. of railway accident or incident amended by S.R. No. 9/2008 reg. 10.


32

(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.

42 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 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.

43 Duty to notify railway accidents or incidents

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


r. 42


33

(2) An accredited rail operator must give the Safety Director a record of the railway accident or incident in an approved form within 72 hours after the railway accident or incident, unless the Safety Director agrees in writing to an extension of time.


44 Duty to notify notifiable circumstances

A rail operator must notify the Safety Director in an approved form of a notifiable circumstance that has occurred in relation to the rail operations for which the rail operator is accredited within 72 hours after becoming aware of the notifiable circumstance.


45 Investigation report

(1) For the purposes of section 67 of the Act, an accredited rail 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 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 operator to—

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

Reg. 44 amended by S.R. No. 9/2008 reg. 11.

r. 44


34

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

(c) clarify certain matters contained within a report.

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


Division 1A—Operational reporting and notifications

46 Monthly reports

(1) A rail 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;

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

(c) the total number of track kilometres;

(d) the total number of passenger train kilometres;

(e) the total number of freight train kilometres;

(f) the total number of maintenance train kilometres.

Pt 6 Div. 1A (Heading) inserted by S.R. No. 9/2008 reg. 12.

r. 46

Reg. 46(1)(a) amended by S.R. No. 9/2008 reg. 13(a).

Reg. 46(1)(e) amended by S.R. No. 9/2008 reg. 13(b).

Reg. 46(1)(f) inserted by S.R. No. 9/2008 reg. 13(c).


35

(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 operator to provide the information every 3 months.

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

46A Notification to Safety Director of certain decisions or changes

(1) This regulation applies to decisions of, or changes made by, an accredited rail operator that are within the scope of that operator's accreditation.

(2) An accredited rail 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 Column 2 Column 3

Item Decision or change

When notification must be given

1. A decision of an accredited rail operator to design or construct, or to commission the design or construction of, rolling stock or new railway track

As soon as is reasonably practicable after the decision is made but before the event to which the decision relates takes place


r. 46A

Reg. 46A (Table) amended by S.R. No. 59/2009 reg. 9.


36




2. A decision of an accredited rail operator to introduce into service rolling stock of a type not previously operated by that operator, or re-introduce into service rolling stock not currently operated by that operator

At least 28 days before the date the accredited rail operator intends to introduce or re-introduce the rolling stock into service

3. A change by an accredited rail operator to a safety critical element of existing rolling stock

At least 28 days before the date the accredited rail operator intends to bring the change into operation

4. A change by an accredited rail operator to one or more of the classes of rail infrastructure or rolling stock used in the rail operator's accredited operations

At least 28 days before the date the accredited rail operator intends to bring the change into operation.

5. A change by an accredited rail operator to a safety standard for the design of rail infrastructure or rolling stock


r. 46A


37




6. A decision by an accredited rail operator to adopt a new safety standard for the design of rail infrastructure or rolling stock

At least 28 days before the date the accredited rail operator intends to implement the decision

7. A change by an accredited rail operator to the frequency or procedures for the inspection or maintenance of railway infrastructure or rolling stock

At least 28 days before the date the accredited rail operator intends to bring the change into operation

8. A change by an accredited rail operator to any safe working system rule or procedure relating to the conduct of the rail operator's railway operations


9. A decision by an accredited rail operator to introduce a new safe working system rule or procedure relating to the conduct of the rail operator's railway operations

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

(3) Compliance with subregulation (2) is a condition of accreditation.

r. 46A


38

47 Exemptions from reporting requirements

(1) An accredited tourist and heritage railway operator may apply to the Safety Director for an exemption from the requirement to submit a monthly report under regulation 46.

(2) The Safety Director may grant an exemption from this regulation in whole or in part subject to any terms, conditions or limitations specified in the exemption.

48 Duty to preserve accident or incident site

(1) An accredited rail operator who is required to notify the Safety Director of an accident or incident under regulation 43(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.


(2) It is a defence to a charge under subregulation (1) if an accredited rail 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.

r. 47


39

Division 2—Annual reviews and reports

49 Annual reviews and reportsr. 49


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


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


(2) An annual review and report must include—

(a) information about—

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

(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 operator's SMS; and

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

(v) findings of inquiries and investigations into railway accidents or incidents and subsequent implementation of actions

Reg. 49(1A) inserted by S.R. No. 59/2009 reg. 10(1).


40

to prevent a recurrence of any such occurrence; and

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

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


(3A) For the purpose of subregulation (3), the Safety Director must determine, in consultation with the accredited rail operator, a specified date by which that accredited rail operator is to provide the annual report.

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

__________________


Reg. 49(3A) inserted by S.R. No. 59/2009 reg. 10(2).

r. 49


41

PART 7—FEES

50 Accreditation application fee

(1) An application for accreditation by a rail infrastructure manager must be accompanied by the relevant fee set out in item 1 of the Table in Schedule 1.

(2) An application for accreditation by a rolling stock operator must be accompanied by the relevant fee set out in item 1 of the Table in Schedule 1.

51 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 operator within 7 days after receiving a temporary accreditation.

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

52 Fee for accreditation exemption for private siding

(1) The fee that must accompany an application for exemption from the requirement to be accredited under section 63 of the Act is the fee set out in item 3 of the Table in Schedule 1.

(2) An applicant under section 63 of the Act 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 an applicant under section 63 of the Act is granted an exemption under subregulation (3).

r. 50


42

53 Accreditation fee

(1) An accredited rail infrastructure manager and an accredited rolling stock operator must pay the relevant fee set out in item 4 of the Table in Schedule 1 within 7 days after being accredited.

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


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

54 Annual fees

(1) An accredited rail infrastructure manager and an accredited rolling stock operator must pay the relevant annual fees set out in item 5 of the Table in Schedule 1 before 30 September of each year.

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


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

r. 53


43

55 Late payment fees

(1) If a person does not pay a fee under this Part (other than the fee referred to in regulation 52) (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).

(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.

56 Refund of application or annual fees

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

__________________

r. 55


44

SCHEDULES

SCHEDULE 1Regulations 50–54

FEES

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 6 is made by a tourist and heritage railway operator, the fee to accompany an application for accreditation

500 50

Fee to accompany an application made by a tourist and heritage railway operator under regulation 6

100 50

2. Fee for temporary accreditationFee 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

51

Sch. 1


45



3. Fee for exemption from accreditation for rail operations carried out in a private sidingFee to accompany an application for exemption from accreditation for the carrying out of rail operations in a private siding

50 52

4. Fees to be paid after accreditation granted

53

(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

Sch. 1


46



(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 an accredited tourist and heritage operator

100

5. Annual fees for accredited operators

54

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

Sch. 1


47



(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) an accredited tourist and heritage railway operator

100

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

__________________

Sch. 1


48

SCHEDULE 2Regulations 8(1)(b), 13(a)1

MATTERS AND INFORMATION TO BE CONTAINED IN A SAFETY MANAGEMENT SYSTEM OF AN ACCREDITED

RAIL OPERATOR

1 Safety policy

1.1 A safety policy that is integrated with other organisational policies of the rail 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 operator), or the persons managing the rail operations, have sufficient knowledge—

(a) of the risk profile of the rail operations carried out by the rail operator to enable the rail operator to proactively manage the risks arising from those operations;

(b) of the level of compliance by the organisation with its duties and obligations under the Act and these Regulations; and

(c) to determine whether—

(i) the safety management system is working effectively;

Sch. 2


49

(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 operator), or of the persons managing the rail 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.

4 Regulatory compliance

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

4.2 Systems to ensure compliance with those safety requirements.

Sch. 2


50

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 rail 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 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 operator.

6.3 Periods for the retention of railway safety records taking into account factors such as the lifecycle 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.

6.4 In this item—

railway safety record means a document that specifies an account of the day to day operations of the rail operator, and includes operational records, engineering records, and rail safety worker records, such as records of competence and training under regulation 40, and health assessment records under regulation 37.

Sch. 2


51

7 Safety performance targets and performance measures

7.1 Safety performance targets for the rail 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 operator to achieve safety performance targets.

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

8.3 An internal audit timetable for the carrying out of audits that the rail 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 rail operations for review and, where appropriate, for action;

Sch. 2


52

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

(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 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 operator.

10 Review and revision

10.1 Documented intervals for the review of the SMS, including information about whether the rail operator intends to review the SMS every 5 years or at shorter intervals under regulation 14.

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 rail 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 rail operations; and

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

Sch. 2


53

(c) the roles and responsibilities of the rail safety workers employed or engaged by the rail operator or a rail contractor who supplies rail operations to the rail operator, and employees of the rail operator, are clearly specified with respect to the change; and

(d) the rail safety workers and employees of the rail 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 operator to determine the change has been appropriately managed.

12 Security

12.1 Processes for the integration of security into all aspects of rail 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 operator with respect to security.

12.4 Processes for the consultation by the rail 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—

Sch. 2


54

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

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

(c) that encourage communication between rail safety workers, rail contractors and employees of the rail operator and senior management of the rail operator about the safety of the rail 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 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 operator or a rail contractor who supplies rail operations to the rail operator, employees of the rail 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 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.

Sch. 2


55

16 Risk management

16.1 Processes to ensure, so far as is reasonably practicable, compliance with section 65 of the Act.

16.2 A description of the control measures adopted by the rail 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

(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 prioritized so that those hazards representing the greatest risk are given priority.

16.5 If the rail 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.

Sch. 2


56

17 Personnel management

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

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

Regulation 36 dealing with the fatigue management;

Regulation 35 dealing with the health and fitness of rail safety workers.

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 work they are employed or engaged (whether by the rail 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;

(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;

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

Sch. 2


57

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 rail operations by rail contractors to ensure that the duties of a rail operator or rail contractor under the Act and 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 rail operations.

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;

Sch. 2


58

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

Note

Rail infrastructure is defined in the Act as "the facilities that are necessary to operate a railway safely and includes, but is not limited to, railway track, associated track structures and works (such as cuttings, tunnels, bridges, stations, platforms, tram stops, excavations, land fill, track support earthworks and drainage works), over-track structures, under-track structures, service roads, signalling systems, rolling stock control systems, communications systems, notices and signs, overhead electrical power supply systems, and associated buildings, workshops, depots, yards, plant, machinery and equipment, but does not include rolling stock".

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

21.3 Procedures for the control and verification of the design of structures, vehicles, equipment, and systems, in accordance with the engineering standards and procedures, and operational systems safety standards as specified in item 21.1.

22 Process control

22.1 Procedures for the rail 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.

Sch. 2


59

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

safe working procedures;

operational procedures;

rolling stock management procedures;

traffic management procedures;

infrastructure integrity procedures;

electric traction infrastructure procedures.

22.5 If the rail operator is a rolling stock operator and is accredited in another State or Territory, a document setting out the differences between the rail 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.

22.6 In this item, differences means differences in rail 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 rail operations carried out by that rail operator for the purposes of developing a safety interface agreement.

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

Sch. 2

Sch. 2 item 24 (Heading) substituted by S.R. No. 59/2009 reg. 13(1).

Sch. 2 item 24.1 amended by S.R. No. 59/2009 reg. 13(2)(a).

Sch. 2 item 24.2 amended by S.R. No. 59/2009 reg. 13(2)(b).


60

25 Emergency management

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

25.2 A copy of the procedures for the notification of railway accidents and incidents in accordance with regulation 43.

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.

__________________

Sch. 2


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SCHEDULE 3Regulation 13A

MATTERS AND INFORMATION TO BE CONTAINED IN THE SYSTEM AND ARRANGEMENTS OF AN EXEMPT

RAIL OPERATOR

1 Safety interface agreements

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

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

2.3 A risk register that includes—

(a) a comprehensive listing of hazards;

(b) risks associated with each hazard;

(c) the control measures applicable to each hazard;

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

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

Sch. 3 (Heading) substituted by S.R. No. 113/2011 reg. 16(2).Sch. 3 amended by S.R. Nos 59/2009 reg. 14, 113/2011 reg. 16(1)(3).

Sch. 3


62

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

__________________

Sch. 3


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SCHEDULE 4Regulation 45(1)

INVESTIGATION REPORTS

MATTERS TO BE INCLUDED IN INVESTIGATION REPORTS HAVING REGARD TO THE SEVERITY OF THE

ACCIDENT OR INCIDENT


Item Accident or incident Severity Level

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; the consequences that

resulted; 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

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

Sch. 4 amended by S.R. No. 9/2008 reg. 15.

Sch. 4


64

occurred.

═══════════════


65

ENDNOTES

1. General InformationThe Rail Safety Regulations 2006, S.R. No. 96/2006 were made on 25 July 2006 by the Governor in Council under Division 5 of Part 9 of the Rail Safety Act 2006, No. 9/2006 and came into operation as follows:

Parts 1 (regulations 1 to 5), 2 (regulations 6 to 12), 3 (regulations 13 to 16), 5 (except regulations 36 and 39), 6 (except regulations 45 to 49), 7 (regulations 50 to 56) and Schedules 1 to 4 on 1 August 2006: regulation 3(1).

Part 4 (regulations 17, 18), regulations 36, 39, 45 to 49 on 1 November 2006: regulation 3(2).

The Rail Safety Regulations 2006 will sunset 10 years after the day of making on 25 July 2016 (see section 5 of the Subordinate Legislation Act 1994).

Endnotes


66

2. Table of AmendmentsThis Version incorporates amendments made to the Rail Safety Regulations 2006 by statutory rules, subordinate instruments and Acts.

–––––––––––––––––––––––––––––––––––––––––––––––––––––––––––––

Rail Safety (Amendment) Regulations 2008, S.R. No. 9/2008Date of Making: 19.2.08Date of Commencement: Regs 5–12, 14, 15 on 1.3.08: reg. 3(1); reg. 13 on

1.7.08: reg. 3(2)

Rail Safety (Amendment) Regulations 2009, S.R. No. 59/2009Date of Making: 27.5.09Date of Commencement: Regs 5–10 on 1.6.09: reg. 3(1); regs 11–14 on

1.7.10: reg. 3(2)

Rail Safety Amendment Regulations 2010, S.R. No. 114/2010Date of Making: 19.10.10Date of Commencement: 19.10.10

Rail Safety Amendment Regulations 2011, S.R. No. 104/2011Date of Making: 27.9.11Date of Commencement: 27.9.11

Rail Safety Further Amendment Regulations 2011, S.R. No. 113/2011Date of Making: 4.10.11Date of Commencement: 5.10.11: reg. 3

–––––––––––––––––––––––––––––––––––––––––––––––––––––––––––––

Endnotes


67

3. Explanatory Details

Endnotes


68

1 Sch. 2: The amendment proposed by regulation 15 of the Rail Safety Further Amendment Regulations 2011, S.R. No. 113/2011, is not included in this publication as the words "Regulation 13(a)" do not appear in Schedule 2.

Regulation 15 reads:

15Schedule 2 amended

In Schedule 2 of the Principal Regulations, for "Regulation 13(a)" substitute "Regulation 13".

——

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 2010 is $11.95. 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.

——

Table of Applied, Adopted or Incorporated Matter Required by the Subordinate Legislation Regulations 2004

Note that the following table of applied, adopted or incorporated matter was included in S.R. No. 9/2008 in accordance with the requirements of regulation 5 of the Subordinate Legislation Regulations 2004.

Statutory rule provision

Title of applied, adopted or incorporated document

Matter in applied, adopted or incorporated document

Regulation 5: regulation 4, definition of health assessment national standard

National Standard for Health Assessment of Rail Safety Workers published by the National Transport Commission in June 2004

The whole

Regulation 8: regulation 37(1)

National Standard for Health Assessment of Rail Safety Workers published by the National Transport Commission in June 2004

The whole

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