Safety Implications of the Australian Network Rules & Procedures Russ EvansNational Rules Manager4 April 2017Rail Safety Conference- Brisbane

The First Reported Railway Fatality

• The opening ceremony of the L&MR, on 15 September 1830, was a considerable event, including the Duke of Wellington.

• The day started with a procession of eight trains setting out from Liverpool.

• The parade was led by Northumbrian driven by George Stephenson, and included Phoenix driven by his son Robert, North Star driven by his brother Robert Sr. and Rocket driven by assistant engineer Joseph Locke.

• The day was marred by the death of William Huskisson, the Member of Parliament for Liverpool, who was struck and killed by Rocket at Parkside.

William Huskisson 15 Sep 1830

The world's first widely reported railway casualty as he was run over and fatally wounded by George Stephen's pioneering locomotive engine Rocket.

From There to Here

People

Track Improvements

Rolling Stock Improvements

Train Protection Systems

20171829

The fastest train in the world - Speed 603 km/h Japanese Maglev Train

The fastest train in the world with a speed 45km/h Stephenson’s Rocket

Signaling Systems

Communication Systems

Electrification

1. The risk of getting it wrong2. The challenges of developing

National Rules3. Declutter - four key elements4. The National approach to date

What I Hear– “the rules no longer let you think”– “the rules are too complicated”– “the rules are not suitable for today’s railway”– “the volume of instructions issued exceeds, what the

average person can mentally retain”– “the rules are becoming encrusted with bullet points”– “the rules do not clearly explain the inter-relationship between the

arrangements and roles defined in the different rule books”– “there are now too many rules”………….

Is it the best we can do?

• Nationally we have around 20 sets of local rules

• Interoperability is challenge• Authorised Passing Signals at

Stop 6 – 18 instances• Up to seven types of track

protection• Terms and definitions

Rules Control Risk?Network Operations• Our people on the ground• Separation people and plant• Identification and verification of

location• Protection arrangements• Need to get the job done

Rail Traffic Operations• Collision prevention• Overspeed derailments• Control, command and

communication• Incident recovery• Performance (capacity and

reliability)

Customers• Platform/Train Interface

Public• Trespass• Level Crossing

Developing Rules

A few Firm

Rules

A few Principle

Rules

RULES

Many Detailed

Rules

• Degraded Working• Emergency Working• Track Protection• Station Despatch• Incident Recovery• Rail Traffic Operations• Control and Command• Accessing the Rail Corridor• Depot Working• Rail Traffic Entering Service

Source: TRAFIKVERKET, Sweden

On Thursday 29 November 2007, a Track worker, employed by Network Rail, was struck and killed by a glancing blow from an empty passenger train.

The track worker was working alone and removing track protection at the end of overnight maintenance work.

A formal investigation into the accident identified that:

• The volume of rules a person required just to perform a simple task were disproportionate

• Training and competence was not as robust as it could be

The Risk of Getting it Wrong

National Challenges • Track Gauge• Train Control Systems• Operations

o Freighto Passengero Heavy Haulo Network

• Regulation• Safety Profile• Types of Rail Traffic• Technology

What is a Nationally Applicable Core Rule?Subject matter of the rules applies to the rail network, regardless of:

• Train Control Systems

• Rolling Stock

• Equipment Used

• Geographical Location

Declutter - Four Key Elements

1. Rule Structure• The ‘rule’ element should be either an action that is always required, or a

statement that is always necessary to take action• Be clear (free from doubt about meaning), concise, (comprehensive but

brief) and precise (definite and exact)• Rules should apply to the task being carried out and to those carrying out

the task, no matter what grade or job title they have• Rules usually start with ‘You must’, ‘You must not’ or ‘You must only’

Declutter - Four Key Elements

2. Company Instructions• Company instructions should not be included in national

rules • Company instructions allow each company to manage their

own specific operations which negate the need to apply for changes

• The company instructions to be applicable to a them onlyØ How to prepare rail traffic to come into service

Declutter - Four Key Elements

3. LegislationRules that are already covered by legislation are not required to be repeated.

Declutter - Four Key Elements

4. Competent Workforce• Competence in this context is wider than knowing how a job is

done and the related rules

• It involves use of informed judgement, in co-operation with others, to resolve operational problems within a defined framework based on the operating principles

• Even if the written rules do not provide a detailed procedure for the specific operational situation: ‘what can be done safely’, not ‘what do the rules allow me to do’.

National Approach to Date• Australian Network Rules and Procedures• Independent Review

o good approach with industryo Industry supports the concepto to detailed and optionalo no solid framework identifiedo required to encompass all of rail operations o needs to be easier to apply

• Two year program • Keeping the ANRP work• Agreement by industry on the principles to guide the National

Operating Rules

National RulesThe programs objective is to provide simplified and base rules that are common to rail in Australia.

The core rules that support fundamental principles of rail operations are those that fall within the following criteria:

• agreed as essential to system safety• generally applicable throughout the network• defined round people-driven interfaces

The context for the new approach would be provided by principles of rail operations, underpinning core rules, training and competence management.

Potential Benefits of National Rules• Simpler training, which is optimised for each company (leading to a better quality

of output).• Improved operational resilience, as a result of competence, judgement and

flexibility.• Interoperability opportunities above and below rail with agreeing on common

practices • Greater assurance of maintained (or improved) safety – system and workforce• Less frequent rule changes and greater control of procedures and changes at

company level for non-core rules.

National Rules Framework

•The foundations of the core rules•Includes the context and activities

Fundamental Operating Principles

•Base rules that meet the intent of the principles•Considering interoperability, common practices and technology

Core Rules

•Application of the core rules•Supporting materials in relation to briefing and training•Procedural information aligned to the core rules

Guidance

•The details applicable to the operations•Meets the intent of the principles and core rules

Organisational Procedures

Fundamental Operating PrinciplesScope• Rail Traffic Operations and Management on the mainline including

shunting movements• Warning and Protection of People within the Rail Corridor, including in

sidings and depots

AimThe core aim of the principles is the safe and timely delivery of people, goods and materials to their destination on the Australian rail network.

Principles – Level One and Two

Principle: People must be kept at a safe distance from

moving trains. Context:This principle addresses the interface between people and moving rail traffic: a) when work is carried out within the rail corridor, including sidings and in depots, and walking in the corridor or from the worksiteb) at stations and level crossings used by members of the public.

Principles – Level ThreeActivities/Locations:

• Infrastructure work• Manual coupling or uncoupling of rail vehicles• Shunting moves• Examination/repair of rail traffic• Rail traffic crew changing cabs• Communication between RTC and Controllers• Retrieving objects from a platform at a stations• Members of public at stations• Members of the public at level crossings

Collaborative Approach with Industry• National Forums being undertaken• Current focus on Fundamental Operating

Principles• So far, eight common principles have been

identified• Final workshop to review and agree on a set of

national principles• Seek agreement with industry to recognise the

agreed principles • Develop an operational concept• Systematically review ANRP and revise into a

set of national rules

• ARTC• Roy Hill• Rio Tinto• Adelaide Metro• Sydney Trains• TfNSW• Vic Track• Aurizon• Pacific National• V/Line• Altrac• PTA WA• MRA• RTBU• Fortescue Metal• GWR• DPTI• ONRSR• Downer EDI

Summary• National Rules to company level procedures can be aligned

through a framework • Start at the base with a good set of Operating Principles• Core rules need to be clear (free from doubt about meaning),

concise, (comprehensive but brief) and precise (definite and exact)

• There are potential benefits, which lead to safety and performance improvements

• Focus on addressing key interfaces between people operating, maintaining and renewing the railway

1. The risk of getting it wrong2. The challenges of developing

National Rules3. Declutter - four key elements 4. The National approach to date

Summary

Innovation & Technology are important but…….

The most important measures to prevent incidents are strict operating rules