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

Authorised by the Chief Parliamentary Counsel Authorised Version i Rail Safety (Local Operations) (Accreditation and Safety) Regulations 2017 S.R. No. 77/2017 TABLE OF PROVISIONS Regulation Page Part 1—Preliminary 1 1 Objective 1 2 Authorising provision 2 3 Commencement 2 4 Expiry 2 5 Revocation 2 6 Definitions 2 7 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 5 10 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 10 14 Application for variation of an exemption 11 Division 4—Registration of rail transport operators of private sidings 11 15 Application for registration 11 16 Prescribed details for required notification of granting or variation of registration 14 17 Application for variation of registration 14 -- 1 of 64 -- Regulation Page ii Authorised by the Chief Parliamentary Counsel Division 5—Emergency plans 15 18 Preparation and communication of an emergency plan 15 19 Matters to be included in an emergency plan 16 20 Keeping, maintaining and testing an emergency plan 17 21 Review and revision of emergency plan 18 Part 3—Safety management systems 19 22 Content of an SMS for accredited rail transport operators 19 23 Systems and arrangements for exempt rail transport operators 19 24 Review and revision 20 25 Review and revision of systems and arrangements for registered rail transport operators of private sidings 20 26 Provision of SMS to Safety Director 21 27 Copies of SMS to be kept 21 28 Copies of safety interface agreements to be kept available to public 21 29 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 23 32 Health assessments 24 Division 2—Competence 25 33 Competence of rail safety workers 25 34 Assessment of rail safety worker competence 25 35 Records of competence and training 26 Part 5—Reporting 28 Division 1—Duties relating to railway accidents and incidents 28 36 Definitions 28 37 Safety Director may specify notifiable accident or incident or notifiable circumstance 29 38 Duty to notify railway accidents or incidents 29 39 Duty to notify notifiable circumstances 30 40 Investigation report 30 Division 2—Operational reporting and notifications 31 41 Monthly reports 31 42 Notification to Safety Director of certain decisions or changes 32 43 Exemptions from reporting requirements 34 44 Duty to preserve accident or incident site 34 -- 2 of 64 -- Regulation Page iii Authorised by the Chief Parliamentary Counsel Division 3—Annual reviews and reports 35 45 Annual reviews and reports 35 Part 6—Fees 37 46 Accreditation application fee 37 47 Fee for temporary accreditation 37 48 Fee for registration of a private siding 37 49 Accreditation fee 37 50 Annual fees 38 51 Exemption from fees 38 52 Late payment fees 38 53 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 -- 3 of 64 -- Authorised by the Chief Parliamentary Counsel Authorised Version 1 STATUTORY RULES 2017 S.R. No. 77/2017 Rail Safety (Local Operations) Act 2006 Rail Safety (Local Operations) (Accreditation and Safety) Regulations 2017 The Governor in Council makes the following Regulations: Dated: 18 July 2017 Responsible Minister: JACINTA ALLAN Minister for Public Transport ANDREW ROBINSON Clerk of the Executive Council Part 1—Preliminary 1 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. -- 4 of 64 -- Part 1—Preliminary Rail Safety (Local Operations) (Accreditation and Safety) Regulations 2017 S.R. No. 77/2017 2 Authorised by the Chief Parliamentary Counsel 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 on 21 July 2017. 4 Expiry These Regulations expire on 21 July 2018. 5 Revocation The Rail Safety (Local Operations) Regulations 2006 1 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; -- 5 of 64 -- Part 1—Preliminary Rail Safety (Local Operations) (Accreditation and Safety) Regulations 2017 S.R. No. 77/2017 3 Authorised by the Chief Parliamentary Counsel 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. 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. -- 6 of 64 -- Part 1—Preliminary Rail Safety (Local Operations) (Accreditation and Safety) Regulations 2017 S.R. No. 77/2017 4 Authorised by the Chief Parliamentary Counsel (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. (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. -- 7 of 64 -- Part 2—Accreditation Rail Safety (Local Operations) (Accreditation and Safety) Regulations 2017 S.R. No. 77/2017 5 Authorised by the Chief Parliamentary Counsel Part 2—Accreditation Division 1—Exemption from accreditation 8 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 accreditation 9 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 -- 8 of 64 -- Part 2—Accreditation Rail Safety (Local Operations) (Accreditation and Safety) Regulations 2017 S.R. No. 77/2017 6 Authorised by the Chief Parliamentary Counsel 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 -- 9 of 64 -- Part 2—Accreditation Rail Safety (Local Operations) (Accreditation and Safety) Regulations 2017 S.R. No. 77/2017 7 Authorised by the Chief Parliamentary Counsel (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 -- 10 of 64 -- Part 2—Accreditation Rail Safety (Local Operations) (Accreditation and Safety) Regulations 2017 S.R. No. 77/2017 8 Authorised by the Chief Parliamentary Counsel (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—Exemptions 11 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 -- 11 of 64 -- Part 2—Accreditation Rail Safety (Local Operations) (Accreditation and Safety) Regulations 2017 S.R. No. 77/2017 9 Authorised by the Chief Parliamentary Counsel (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— -- 12 of 64 -- Part 2—Accreditation Rail Safety (Local Operations) (Accreditation and Safety) Regulations 2017 S.R. No. 77/2017 10 Authorised by the Chief Parliamentary Counsel (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 -- 13 of 64 -- Part 2—Accreditation Rail Safety (Local Operations) (Accreditation and Safety) Regulations 2017 S.R. No. 77/2017 11 Authorised by the Chief Parliamentary Counsel (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; (iv) the applicant's residential address or, in the case of a body corporate, registered business address; and -- 14 of 64 -- Part 2—Accreditation Rail Safety (Local Operations) (Accreditation and Safety) Regulations 2017 S.R. No. 77/2017 12 Authorised by the Chief Parliamentary Counsel (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 (b) if the applicant is a partnership—by each partner; and -- 15 of 64 -- Part 2—Accreditation Rail Safety (Local Operations) (Accreditation and Safety) Regulations 2017 S.R. No. 77/2017 13 Authorised by the Chief Parliamentary Counsel (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; (d) the name and contact details of the owner of the other private siding. -- 16 of 64 -- Part 2—Accreditation Rail Safety (Local Operations) (Accreditation and Safety) Regulations 2017 S.R. No. 77/2017 14 Authorised by the Chief Parliamentary Counsel 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 (ii) when and how the consultation occurred; and (iii) the results of the consultation. -- 17 of 64 -- Part 2—Accreditation Rail Safety (Local Operations) (Accreditation and Safety) Regulations 2017 S.R. No. 77/2017 15 Authorised by the Chief Parliamentary Counsel Division 5—Emergency plans 18 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; and Example 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. (3) A rail transport operator who has developed an emergency plan must communicate the content of the plan to— -- 18 of 64 -- Part 2—Accreditation Rail Safety (Local Operations) (Accreditation and Safety) Regulations 2017 S.R. No. 77/2017 16 Authorised by the Chief Parliamentary Counsel (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 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; -- 19 of 64 -- Part 2—Accreditation Rail Safety (Local Operations) (Accreditation and Safety) Regulations 2017 S.R. No. 77/2017 17 Authorised by the Chief Parliamentary Counsel (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. (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. -- 20 of 64 -- Part 2—Accreditation Rail Safety (Local Operations) (Accreditation and Safety) Regulations 2017 S.R. No. 77/2017 18 Authorised by the Chief Parliamentary Counsel (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. Penalty: 10 penalty units. 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. -- 21 of 64 -- Part 3—Safety management systems Rail Safety (Local Operations) (Accreditation and Safety) Regulations 2017 S.R. No. 77/2017 19 Authorised by the Chief Parliamentary Counsel Part 3—Safety management systems 22 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. -- 22 of 64 -- Part 3—Safety management systems Rail Safety (Local Operations) (Accreditation and Safety) Regulations 2017 S.R. No. 77/2017 20 Authorised by the Chief Parliamentary Counsel 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. Penalty: 15 penalty units. (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. Penalty: 15 penalty units. (3) The accredited rail transport operator must record the date the SMS is reviewed. Penalty: 5 penalty units. (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. Penalty: 15 penalty units. -- 23 of 64 -- Part 3—Safety management systems Rail Safety (Local Operations) (Accreditation and Safety) Regulations 2017 S.R. No. 77/2017 21 Authorised by the Chief Parliamentary Counsel (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. Penalty: 15 penalty units. (3) The rail transport operator who is registered under section 69F of the Act must record the date the system and arrangements are reviewed. Penalty: 5 penalty units. 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. Penalty: 15 penalty units. 27 Copies of SMS to be kept An accredited rail transport operator must keep an up to date copy of the SMS. Penalty: 15 penalty units. 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 keep a copy of a safety interface agreement that -- 24 of 64 -- Part 3—Safety management systems Rail Safety (Local Operations) (Accreditation and Safety) Regulations 2017 S.R. No. 77/2017 22 Authorised by the Chief Parliamentary Counsel 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. Penalty: 10 penalty units. 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. Penalty: 15 penalty units. -- 25 of 64 -- Part 4—Rail safety worker Rail Safety (Local Operations) (Accreditation and Safety) Regulations 2017 S.R. No. 77/2017 23 Authorised by the Chief Parliamentary Counsel 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. Penalty: 10 penalty units. 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. Penalty: 10 penalty units. (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 transport operator and any other persons who are -- 26 of 64 -- Part 4—Rail safety worker Rail Safety (Local Operations) (Accreditation and Safety) Regulations 2017 S.R. No. 77/2017 24 Authorised by the Chief Parliamentary Counsel 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. Penalty: 10 penalty units. (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. Penalty: 10 penalty units. (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. -- 27 of 64 -- Part 4—Rail safety worker Rail Safety (Local Operations) (Accreditation and Safety) Regulations 2017 S.R. No. 77/2017 25 Authorised by the Chief Parliamentary Counsel Division 2—Competence 33 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. Penalty: 15 penalty units. (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. -- 28 of 64 -- Part 4—Rail safety worker Rail Safety (Local Operations) (Accreditation and Safety) Regulations 2017 S.R. No. 77/2017 26 Authorised by the Chief Parliamentary Counsel (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 -- 29 of 64 -- Part 4—Rail safety worker Rail Safety (Local Operations) (Accreditation and Safety) Regulations 2017 S.R. No. 77/2017 27 Authorised by the Chief Parliamentary Counsel (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. Penalty: 5 penalty units. -- 30 of 64 -- Part 5—Reporting Rail Safety (Local Operations) (Accreditation and Safety) Regulations 2017 S.R. No. 77/2017 28 Authorised by the Chief Parliamentary Counsel 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; -- 31 of 64 -- Part 5—Reporting Rail Safety (Local Operations) (Accreditation and Safety) Regulations 2017 S.R. No. 77/2017 29 Authorised by the Chief Parliamentary Counsel (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. Penalty: 20 penalty units. -- 32 of 64 -- Part 5—Reporting Rail Safety (Local Operations) (Accreditation and Safety) Regulations 2017 S.R. No. 77/2017 30 Authorised by the Chief Parliamentary Counsel (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. Penalty: 5 penalty units. 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. Penalty: 15 penalty units. 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. Penalty: 10 penalty units. (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. Penalty: 10 penalty units. (3) The Safety Director may require an accredited rail transport operator to— (a) conduct a more detailed investigation into an accident or incident; or -- 33 of 64 -- Part 5—Reporting Rail Safety (Local Operations) (Accreditation and Safety) Regulations 2017 S.R. No. 77/2017 31 Authorised by the Chief Parliamentary Counsel (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. Penalty: 10 penalty units. Division 2—Operational reporting and notifications 41 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. -- 34 of 64 -- Part 5—Reporting Rail Safety (Local Operations) (Accreditation and Safety) Regulations 2017 S.R. No. 77/2017 32 Authorised by the Chief Parliamentary Counsel 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 2 Decision, event or change Column 3 When notification must be given 1 A decision to design or construct, or to commission the design or construction of, rolling stock or new railway tracks. As soon as 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. -- 35 of 64 -- Part 5—Reporting Rail Safety (Local Operations) (Accreditation and Safety) Regulations 2017 S.R. No. 77/2017 33 Authorised by the Chief Parliamentary Counsel Column 1 Item Column 2 Decision, event or change Column 3 When notification must be given 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. -- 36 of 64 -- Part 5—Reporting Rail Safety (Local Operations) (Accreditation and Safety) Regulations 2017 S.R. No. 77/2017 34 Authorised by the Chief Parliamentary Counsel Column 1 Item Column 2 Decision, event or change Column 3 When notification must be given 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. Penalty: 10 penalty units. -- 37 of 64 -- Part 5—Reporting Rail Safety (Local Operations) (Accreditation and Safety) Regulations 2017 S.R. No. 77/2017 35 Authorised by the Chief Parliamentary Counsel (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 reports 45 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. Penalty: 10 penalty units. (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). Penalty: 5 penalty units. (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 -- 38 of 64 -- Part 5—Reporting Rail Safety (Local Operations) (Accreditation and Safety) Regulations 2017 S.R. No. 77/2017 36 Authorised by the Chief Parliamentary Counsel (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. Penalty: 10 penalty units. (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. -- 39 of 64 -- Part 6—Fees Rail Safety (Local Operations) (Accreditation and Safety) Regulations 2017 S.R. No. 77/2017 37 Authorised by the Chief Parliamentary Counsel Part 6—Fees 46 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. -- 40 of 64 -- Part 6—Fees Rail Safety (Local Operations) (Accreditation and Safety) Regulations 2017 S.R. No. 77/2017 38 Authorised by the Chief Parliamentary Counsel (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). -- 41 of 64 -- Part 6—Fees Rail Safety (Local Operations) (Accreditation and Safety) Regulations 2017 S.R. No. 77/2017 39 Authorised by the Chief Parliamentary Counsel (2) A late payment fee is 5% of the amount, calculated in accordance with the following formula— B 365 A × 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. -- 42 of 64 -- Part 7—Consequential amendments Rail Safety (Local Operations) (Accreditation and Safety) Regulations 2017 S.R. No. 77/2017 40 Authorised by the Chief Parliamentary Counsel Part 7—Consequential amendments 54 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 2014— (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 ". -- 43 of 64 -- Schedule 1—Fees Rail Safety (Local Operations) (Accreditation and Safety) Regulations 2017 S.R. No. 77/2017 41 Authorised by the Chief Parliamentary Counsel Schedule 1—Fees Regulations 46–50 Table Item Description of fees Fee 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 -- 44 of 64 -- Schedule 1—Fees Rail Safety (Local Operations) (Accreditation and Safety) Regulations 2017 S.R. No. 77/2017 42 Authorised by the Chief Parliamentary Counsel Item Description of fees Fee units and method for calculating fees Regulation reference 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) 1⋅9 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 -- 45 of 64 -- Schedule 1—Fees Rail Safety (Local Operations) (Accreditation and Safety) Regulations 2017 S.R. No. 77/2017 43 Authorised by the Chief Parliamentary Counsel Item Description of fees Fee units and method for calculating fees Regulation reference 6 Annual fees for accredited operators 50 The annual accreditation fee with respect to— (a) an accredited rail infrastructure manager an 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) 1⋅9 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 operate rolling stock, a pro rata fee calculated in -- 46 of 64 -- Schedule 1—Fees Rail Safety (Local Operations) (Accreditation and Safety) Regulations 2017 S.R. No. 77/2017 44 Authorised by the Chief Parliamentary Counsel Item Description of fees Fee units and method for calculating fees Regulation reference 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. -- 47 of 64 -- Schedule 2—Matters and information to be contained in a safety management system of an accredited rail transport operator Rail Safety (Local Operations) (Accreditation and Safety) Regulations 2017 S.R. No. 77/2017 45 Authorised by the Chief Parliamentary Counsel Schedule 2—Matters and information to be contained in a safety management system of an accredited rail transport operator Regulations 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 -- 48 of 64 -- Schedule 2—Matters and information to be contained in a safety management system of an accredited rail transport operator Rail Safety (Local Operations) (Accreditation and Safety) Regulations 2017 S.R. No. 77/2017 46 Authorised by the Chief Parliamentary Counsel (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. -- 49 of 64 -- Schedule 2—Matters and information to be contained in a safety management system of an accredited rail transport operator Rail Safety (Local Operations) (Accreditation and Safety) Regulations 2017 S.R. No. 77/2017 47 Authorised by the Chief Parliamentary Counsel 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. -- 50 of 64 -- Schedule 2—Matters and information to be contained in a safety management system of an accredited rail transport operator Rail Safety (Local Operations) (Accreditation and Safety) Regulations 2017 S.R. No. 77/2017 48 Authorised by the Chief Parliamentary Counsel 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. -- 51 of 64 -- Schedule 2—Matters and information to be contained in a safety management system of an accredited rail transport operator Rail Safety (Local Operations) (Accreditation and Safety) Regulations 2017 S.R. No. 77/2017 49 Authorised by the Chief Parliamentary Counsel 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. -- 52 of 64 -- Schedule 2—Matters and information to be contained in a safety management system of an accredited rail transport operator Rail Safety (Local Operations) (Accreditation and Safety) Regulations 2017 S.R. No. 77/2017 50 Authorised by the Chief Parliamentary Counsel 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. -- 53 of 64 -- Schedule 2—Matters and information to be contained in a safety management system of an accredited rail transport operator Rail Safety (Local Operations) (Accreditation and Safety) Regulations 2017 S.R. No. 77/2017 51 Authorised by the Chief Parliamentary Counsel 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 -- 54 of 64 -- Schedule 2—Matters and information to be contained in a safety management system of an accredited rail transport operator Rail Safety (Local Operations) (Accreditation and Safety) Regulations 2017 S.R. No. 77/2017 52 Authorised by the Chief Parliamentary Counsel 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 -- 55 of 64 -- Schedule 2—Matters and information to be contained in a safety management system of an accredited rail transport operator Rail Safety (Local Operations) (Accreditation and Safety) Regulations 2017 S.R. No. 77/2017 53 Authorised by the Chief Parliamentary Counsel (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 -- 56 of 64 -- Schedule 2—Matters and information to be contained in a safety management system of an accredited rail transport operator Rail Safety (Local Operations) (Accreditation and Safety) Regulations 2017 S.R. No. 77/2017 54 Authorised by the Chief Parliamentary Counsel 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. -- 57 of 64 -- Schedule 2—Matters and information to be contained in a safety management system of an accredited rail transport operator Rail Safety (Local Operations) (Accreditation and Safety) Regulations 2017 S.R. No. 77/2017 55 Authorised by the Chief Parliamentary Counsel 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 -- 58 of 64 -- Schedule 2—Matters and information to be contained in a safety management system of an accredited rail transport operator Rail Safety (Local Operations) (Accreditation and Safety) Regulations 2017 S.R. No. 77/2017 56 Authorised by the Chief Parliamentary Counsel 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. -- 59 of 64 -- Schedule 2—Matters and information to be contained in a safety management system of an accredited rail transport operator Rail Safety (Local Operations) (Accreditation and Safety) Regulations 2017 S.R. No. 77/2017 57 Authorised by the Chief Parliamentary Counsel 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. -- 60 of 64 -- Schedule 3—Matters and information to be contained in the system and arrangements of a registered rail transport operator of a private siding Rail Safety (Local Operations) (Accreditation and Safety) Regulations 2017 S.R. No. 77/2017 58 Authorised by the Chief Parliamentary Counsel 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 arrangements or regulations. -- 61 of 64 -- Schedule 3—Matters and information to be contained in the system and arrangements of a registered rail transport operator of a private siding Rail Safety (Local Operations) (Accreditation and Safety) Regulations 2017 S.R. No. 77/2017 59 Authorised by the Chief Parliamentary Counsel 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. -- 62 of 64 -- Schedule 4—Investigation reports Rail Safety (Local Operations) (Accreditation and Safety) Regulations 2017 S.R. No. 77/2017 60 Authorised by the Chief Parliamentary Counsel Schedule 4—Investigation reports Regulation 40(1) Matters to be included in investigation reports having regard to the severity of the accident or incident Column 1 Item Column 2 Accident 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. ═════════════ -- 63 of 64 -- Endnotes Rail Safety (Local Operations) (Accreditation and Safety) Regulations 2017 S.R. No. 77/2017 61 Authorised by the Chief Parliamentary Counsel Endnotes 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. —— Table of Applied, Adopted or Incorporated Matter The following table of applied, adopted or incorporated matter was included 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 -- 64 of 64 --