Rail Safety Regulations 2006

i Rail Safety Regulations 2006 S.R. No. 96/2006 TABLE OF PROVISIONS Regulation Page PART 1—PRELIMINARY 1 1. Objective 1 2. Authorising provisions 2 3. Commencement 2 4. Definitions 2 5. Scope of meaning of "rail safety work" 3 PART 2—ACCREDITATION 4 Division 1—Application for accreditation 4 6. Application for accreditation 4 7. Combined applications for accreditation 7 8. Ongoing notification of change of details 7 Division 2—Emergency Plans 8 9. Preparation and communication of an emergency plan 8 10. Matters to be included in an emergency plan 9 11. Keeping, maintaining and testing an emergency plan 10 12. Review and revision of emergency plan 11 PART 3—SAFETY MANAGEMENT SYSTEMS 12 13. Content of a SMS 12 14. Review and revision 12 15. Provision of SMS to Safety Director 13 16. Copies of SMS to be kept 13 PART 4—INTERFACE CO-ORDINATION PLANS 14 17. Interface co-ordination plans 14 18. Content of interface co-ordination plans 14 -- 1 of 65 -- Regulation Page ii PART 5—RAIL SAFETY WORKERS 17 Division 1—Alcohol and Drug controls 17 19. Preliminary breath test devices 17 20. Procedure for breath analysis 17 21. Procedure for taking blood sample 18 22. Procedure after taking blood samples 18 23. Certificate under section 78(5) 20 24. Particulars of report of assessment of drug impairment 20 25. Certificate under section 83(5) 22 26. Certificate under section 83(6) 23 27. Certificate under section 83(7) 23 28. Certificate under section 83(8) 24 29. Procedure for collecting urine samples 24 30. Procedures after collecting urine samples 25 31. Certificate under section 84(5) 25 32. Certificate under section 84(6) 26 33. Certificate under section 84(7) 27 34. Duty to provide indicative positive results to Safety Director 27 Division 2—Health and Fitness of Rail Safety Workers 28 35. Rail operator to ensure workers are fit to carry out rail safety work 28 36. Fatigue management 28 37. Health assessments 29 Division 3—Competence 30 38. Competence of rail safety workers 30 39. Assessment of rail safety worker competence 30 40. Records of competence and training 31 PART 6—REPORTING 33 Division 1—Duties relating to Railway Accidents and Incidents 33 41. Definitions 33 42. Safety Director may specify notifiable accident or incident or notifiable circumstance 34 43. Duty to notify railway accidents or incidents 35 44. Duty to notify notifiable circumstances 35 45. Investigation report 35 46. Monthly reports 36 47. Exemptions from reporting requirements 37 48. Duty to preserve accident or incident site 37 Division 2—Annual Reviews and Reports 38 49. Annual reviews and reports 38 -- 2 of 65 -- Regulation Page iii PART 7—FEES 40 50. Accreditation application fee 40 51. Fee for temporary accreditation 40 52. Fee for accreditation exemption for private siding 40 53. Accreditation fee 41 54. Annual fees 41 55. Late payment fees 42 56. Refund of application or annual fees 42 __________________ SCHEDULES 43 SCHEDULE 1—Fees 43 SCHEDULE 2—Matters and information to be contained in a Safety Management System of an accredited rail operator 47 SCHEDULE 3—Matters and Information to be Contained in a SMS of a Non-accredited Rail Operator 57 SCHEDULE 4—Investigation Reports 58 ═══════════════ ENDNOTES 59 INDEX 60 -- 3 of 65 -- 1 STATUTORY RULES 2006 S.R. No. 96/2006 Rail Safety Act 2006 Rail Safety Regulations 2006 The Governor in Council makes the following Regulations: Dated: 25 July 2006 Responsible Minister: PETER BATCHELOR Minister for Transport RUTH LEACH Clerk of the Executive Council PART 1—PRELIMINARY 1. Objective The objective of these Regulations is to promote safe rail operations in Victoria by prescribing requirements for— (a) accreditation of rail infrastructure managers and rolling stock operators; (b) emergency plans; (c) safety management systems; (d) alcohol and drug controls for rail safety workers; (e) the health, fitness and competence of rail safety workers; -- 4 of 65 -- Part 1—Preliminary Rail Safety Regulations 2006 S.R. No. 96/2006 2 (f) reporting of accidents, incidents and inquiries; (g) fees for services. 2. Authorising provisions These Regulations are made under Division 5 of Part 9 of the Rail Safety Act 2006. 3. Commencement (1) These Regulations (except Part 4, regulations 36, 39, 45 to 48 and Division 2 of Part 6) come into operation on 1 August 2006. (2) Part 4, regulations 36, 39, 45 to 48 and Division 2 of Part 6 come into operation on 1 November 2006. 4. Definitions In these Regulations— "accredited tourist and heritage railway operator" has the same meaning as it has in section 66(1) of the Act; "approved" means approved in writing by the Safety Director; "control measure" means a measure used to control the likelihood, magnitude and severity of consequences of incidents; "running line" means any railway track on which rolling stock operates other than a railway track in a depot or yard, or a railway track that is a siding; "SMS" means safety management system; "the Act" means the Rail Safety Act 2006. r. 2 -- 5 of 65 -- Part 1—Preliminary Rail Safety Regulations 2006 S.R. No. 96/2006 3 5. Scope of meaning of "rail safety work" For the purposes of section 7 of the Act, the following work, if not undertaken on railway premises, is not rail safety work for the purposes of Part 6 of the Act and Part 4— (a) designing— (i) rolling stock; or (ii) civil or electric traction infrastructure; or (iii) signalling or telecommunications equipment; (b) any work relating to the design of rail infrastructure or associated works, or equipment; (c) any work involving the development of safe working systems for railways. __________________ r. 5 -- 6 of 65 -- Part 2—Accreditation Rail Safety Regulations 2006 S.R. No. 96/2006 4 PART 2—ACCREDITATION Division 1—Application for accreditation 6. Application for accreditation (1) For the purposes of section 38(3)(b) of the Act, a rail infrastructure manager must provide the following with an application for accreditation— (a) a description of the nature, character and scope of the rail infrastructure manager's proposed rail infrastructure operations; (b) the name of the person making the application and the contact details of that person; (c) evidence of competence and capacity, including— (i) details of the knowledge, skills and experience of persons who will be responsible for the development, management and maintenance of the SMS so that those persons perform their allocated tasks and discharge their allocated responsibilities effectively; and (ii) details about the resources and systems that will be relied upon by the rail operator to carry out its rail operations safely; (d) documentary evidence that the rail infrastructure manager complies with section 26 of the Act; r. 6 -- 7 of 65 -- Part 2—Accreditation Rail Safety Regulations 2006 S.R. No. 96/2006 5 (e) documentary evidence that the rail infrastructure manager's SMS complies with Division 4 of Part 3 of the Act; (f) evidence to the satisfaction of the Safety Director that the rail infrastructure manager has— (i) the financial capacity; or (ii) public risk insurance arrangements— to meet reasonable potential accident liabilities arising from the carrying out of the rail operations; (g) information identifying potential risks to the safety of rail operations that may require the development of an interface co-ordination plan. Note 1: Part 4 prescribes matters pertaining to interface co-ordination plans. Note 2: The application must also be accompanied by the relevant fee: see regulation 50(1). (2) For the purposes of section 38(3)(b) of the Act, a rolling stock operator must provide the following with an application for accreditation— (a) a description of the nature, character and scope of the rolling stock operator's proposed rolling stock operations; (b) the name of the person making the application and the contact details of that person; r. 6 -- 8 of 65 -- Part 2—Accreditation Rail Safety Regulations 2006 S.R. No. 96/2006 6 (c) evidence of competence and capacity, including— (i) details of the knowledge, skills and experience of persons who will be responsible for the development, management and maintenance of the SMS so that those persons perform their allocated tasks and discharge their allocated responsibilities effectively; and (ii) details about the resources and systems that will be relied upon by the rail operator to carry out its rail operations safely; (d) documentary evidence that the rolling stock operator complies with section 26 of the Act; and (e) documentary evidence that the rolling stock operator's SMS complies with Division 4 of Part 3 of the Act; (f) evidence to the satisfaction of the Safety Director that the rolling stock operator has— (i) the financial capacity; or (ii) public risk insurance arrangements— to meet reasonable potential accident liabilities arising from the carrying out of the rail operations; (g) information identifying potential risks to the safety of rail operations that may require the development of an interface co-ordination plan; Note: Part 4 prescribes matters pertaining to interface co-ordination plans; r. 6 -- 9 of 65 -- Part 2—Accreditation Rail Safety Regulations 2006 S.R. No. 96/2006 7 (h) evidence of any agreement with the rail infrastructure manager who controls the rail infrastructure on which the rolling stock operator wishes to operate particular rolling stock. Note: The application must also be accompanied by the relevant fee: see regulation 50(2). 7. Combined applications for accreditation A rail infrastructure manager who is also a rolling stock operator may combine the information required under regulation 6(1) and (2) into one application. 8. Ongoing notification of change of details (1) An accredited rail operator must, within 28 days, notify in writing, the Safety Director of any change to information— (a) relating to the operator's application for accreditation; or (b) relating to item 3.2 of Schedule 2; or (c) that was included in the application submitted by the operator for that accreditation. Example Changes with respect to the name of the accredited person, the registered business name or trading name of the accredited person, the name of directors, or the registered business address. (2) Sub-regulation (1) is a condition of accreditation. r. 7 -- 10 of 65 -- Part 2—Accreditation Rail Safety Regulations 2006 S.R. No. 96/2006 8 Division 2—Emergency Plans Note: An emergency plan required under the Act and referred to in this Division is different to a risk management plan required under section 29 of the Terrorism (Community Protection) Act 2003. 9. Preparation and communication of an emergency plan (1) An emergency plan under section 52 of the Act must be prepared in conjunction with— (a) any government agencies with emergency management functions in the area to which the plan relates; and Example The Victorian WorkCover Authority has responsibility for dangerous goods. (b) other rail 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 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. r. 9 -- 11 of 65 -- Part 2—Accreditation Rail Safety Regulations 2006 S.R. No. 96/2006 9 (3) A rail operator who has developed an emergency plan must communicate the content of the plan to— (a) rail safety workers, rail contractors and employees of the rail operator who may be required to implement the emergency plan; and (b) the relevant emergency services; and (c) the government agencies referred to in sub- regulation (1). 10. Matters to be included in an emergency plan An emergency plan must address— (a) the consequences of a major incident occurring; (b) methods to prevent an emergency from escalating; (c) initial response procedures for dealing with an emergency and the provision of rescue services; (d) recovery procedures for the restoration of rail operations and for the assistance of persons affected by the occurrence of an emergency; (e) the allocation of roles and responsibilities to persons employed by the rail operator relating to emergency management, including arrangements for communication and co-operation between organisations in the event of an emergency; (f) processes for the training of personnel who will be responsible for implementing the emergency plan and arrangements to maintain the competence of those persons in emergency management; r. 10 -- 12 of 65 -- Part 2—Accreditation Rail Safety Regulations 2006 S.R. No. 96/2006 10 (g) call-out procedures; (h) the allocation of personnel for the on-site management of the emergency; (i) procedures for liaison with relevant emergency services, including information about the circumstances in which the emergency services should be immediately contacted; (j) procedures to ensure that emergency services are provided with all the information that is reasonably required to enable them to respond effectively to an emergency; (k) the intervals within which the plan must be reviewed, being intervals not longer than 3 years. 11. Keeping, maintaining and testing an emergency plan (1) A rail operator must ensure, so far as is reasonably practicable, that training in the relevant elements of the plan is provided to rail safety workers, rail contractors and employees of the rail operator who may be required to implement the emergency plan. Penalty: 10 penalty units. (2) A rail operator must test the emergency plan or elements of the plan to ensure the plan remains effective— (a) at intervals determined by the operator in conjunction with the emergency services when preparing the emergency plan; and (b) after any significant changes are made to the plan. r. 11 -- 13 of 65 -- Part 2—Accreditation Rail Safety Regulations 2006 S.R. No. 96/2006 11 (3) A rail operator must, so far as is reasonably practicable, arrange for participation in the testing of the emergency plan or elements of the plan by relevant emergency services. (4) A rail operator must ensure that in-house exercises to test the plan are undertaken on a regular basis. (5) A rail operator must ensure that the emergency plan is comprehensible, and is readily accessible, to— (a) all employees of the operator, rail safety workers and rail contractors engaged by the operator, who may be required to implement any emergency response procedures in the emergency plan; and (b) any utilities that may be required to implement any part of the emergency plan; and (c) emergency services. Penalty: 10 penalty units. 12. Review and revision of emergency plan A rail operator must review, and if necessary revise, the emergency plan— (a) at intervals specified in the emergency plan; and (b) following the occurrence of a major incident; and (c) if testing of the emergency plan reveals that the plan should be reviewed. Penalty: 5 penalty units. __________________ r. 12 -- 14 of 65 -- Part 3—Safety Management Systems Rail Safety Regulations 2006 S.R. No. 96/2006 12 PART 3—SAFETY MANAGEMENT SYSTEMS 13. Content of a SMS For the purposes of section 25 of the Act— (a) a SMS established by an accredited rail operator must contain the matters and information contained in Schedule 2; (b) a SMS established by a rail operator who is not accredited must contain the matters and information contained in Schedule 3. 14. Review and revision (1) A rail operator must ensure that its SMS is reviewed— (a) at intervals that do not exceed 5 years; or (b) at shorter intervals as specified in its SMS. Penalty: 15 penalty units. (2) A rail operator must review, and revise where necessary, its SMS if— (a) the rail operator is required to apply for a variation of accreditation under section 54(1) of the Act; or (b) a major incident occurs; or (c) a recommendation of a safety audit is that the SMS should be reviewed. Penalty: 15 penalty units. (3) The rail 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 49. r. 13 -- 15 of 65 -- Part 3—Safety Management Systems Rail Safety Regulations 2006 S.R. No. 96/2006 13 15. Provision of SMS to Safety Director (1) The Safety Director may request a rail operator to— (a) provide a copy of, or parts of, the SMS to the Safety Director; or (b) provide a summary of the SMS to the Safety Director. (2) A rail operator must comply with a request under sub-regulation (1) within 7 days after receiving the request. Penalty: 15 penalty units. 16. Copies of SMS to be kept A rail operator must keep an up to date copy of the SMS. Penalty: 15 penalty units. __________________ r. 15 -- 16 of 65 -- Part 4—Interface Co-ordination Plans Rail Safety Regulations 2006 S.R. No. 96/2006 14 PART 4—INTERFACE CO-ORDINATION PLANS 17. Interface co-ordination plans (1) A rail operator must develop and implement an interface co-ordination plan in relation to any potential risks to the safety of the rail operations. (2) An interface co-ordination plan may relate to one or more risks to safety. (3) Sub-regulation (1) is a condition of accreditation. 18. Content of interface co-ordination plans (1) An interface co-ordination plan must— (a) identify potential risks to the safety of rail operations carried out by that rail operator at a place that may be caused or contributed, wholly or in part by— (i) the activities or rail operations of another rail operator or activities of another person at that place; or (ii) the ownership, occupation or management of that place by another rail operator or another person; (b) identify and assess the potential risks to safety; (c) describe the measures to control those risks to safety and the person responsible for implementing and monitoring the performance of each of the control measures; (d) describe how the risks to safety will be managed under the interface co-ordination plan; (e) include arrangements for the provision of information by the rail operator to another person about the risks to safety; r. 17 -- 17 of 65 -- Part 4—Interface Co-ordination Plans Rail Safety Regulations 2006 S.R. No. 96/2006 15 (f) include arrangements for the exchange of information between the rail operator and any person affected by the plan relating to matters that may affect the effectiveness of the interface co-ordination plan, including but not limited to a change in the ownership of the rail operations concerned; (g) specify intervals for the review of the interface co-ordination plan that do not exceed 5 years. (2) A rail operator must ensure, so far as is reasonably practicable, that a rail contractor is aware of the contents of the interface co-ordination plan and complies with the interface co-ordination plan when engaged in rail operations to which the interface co-ordination plan relates. (3) A rail operator must review, and where necessary revise, the interface co-ordination plan if— (a) a major incident occurs; or (b) the Safety Director directs the rail operator to conduct a review of the plan. Penalty: 10 penalty units. (4) A rail operator must ensure the plan is reviewed at intervals specified in the plan. Penalty: 10 penalty units. (5) A rail operator must record the date the plan is reviewed. Penalty: 5 penalty units. (6) A rail operator must ensure that a copy of the interface co-ordination plan is made available for inspection free of charge to any person affected by the plan. Penalty: 10 penalty units. r. 18 -- 18 of 65 -- Part 4—Interface Co-ordination Plans Rail Safety Regulations 2006 S.R. No. 96/2006 16 (7) Nothing in this regulation prevents additional matters from being included in an interface co-ordination plan. __________________ r. 18 -- 19 of 65 -- Part 5—Rail Safety Workers Rail Safety Regulations 2006 S.R. No. 96/2006 17 PART 5—RAIL SAFETY WORKERS Division 1—Alcohol and Drug controls 19. Preliminary breath test devices The devices prescribed for the purposes of section 77 of the Act are the breath testing devices known as— (a) the Alcotest 80/A; or (b) the Lion Alcolmeter also known as the lion alcolmeter S-D2; or (c) the lion alcolmeter SD-400PA. 20. Procedure for breath analysis It is a requirement for the proper operation of a breath analysing instrument that a person authorised under section 78(4) of the Act to operate a breath analysing instrument— (a) does not require a person to provide a breath sample for analysis until the authorised person is satisfied that the person has not consumed any alcohol for a period of at least 15 minutes before the analysis; and (b) provides a fresh mouthpiece for use by each person required to provide a breath sample; and (c) uses only a mouthpiece which, until required for taking the breath sample, has been kept in a sealed container. r. 19 -- 20 of 65 -- Part 5—Rail Safety Workers Rail Safety Regulations 2006 S.R. No. 96/2006 18 21. Procedure for taking blood sample If a blood sample is taken by a registered medical practitioner or an approved health professional for the purposes of the Act, the site of the puncture must be cleansed with a swab taken from a container which— (a) appears to be sealed against contamination; and (b) bears a label stating that the container holds an aqueous solution of chlorohexidine and cetrimide and no methylated spirits, alcohol, tincture of iodine or other substance containing alcohol. 22. Procedure after taking blood samples (1) A registered medical practitioner or an approved health professional who takes a blood sample must ensure that— (a) the sample of blood is placed in 3 dry containers, each containing approximately the same amount of blood; and (b) each container is vacuum sealed or sealed with a septum seal; and (c) each container in which the sample is placed bears a label stating— (i) that the container holds a specific anti- coagulant and preservative such as potassium oxalate and sodium fluoride; and (ii) the name of the chemist, laboratory or pharmaceutical organisation that prepared the container; and r. 21 -- 21 of 65 -- Part 5—Rail Safety Workers Rail Safety Regulations 2006 S.R. No. 96/2006 19 (d) each container has attached to it a label bearing the signature of the registered medical practitioner or approved health professional, the date and the time the blood sample was taken, and the name of the person from whom the sample was taken or, if the name of the person is not known, sufficient information to enable the sample to be identified with the person from whom it was taken. (2) If a blood sample is taken under section 78 of the Act, the registered medical practitioner or approved health professional must give one of the containers to a member of the police force and another to the person from whom the sample was taken. (3) If a blood sample is taken under section 82 of the Act and has, in accordance with this regulation, been placed in containers which have been sealed and labelled, the registered medical practitioner or approved health professional must ensure that— (a) one container is placed in a locked receptacle provided for the purpose at the place at which the sample was taken; and (b) one container is placed and sealed in a container labelled "screening sample"; and (c) one container is delivered to the person from whom the blood sample was taken or placed with that person's personal property at the place at which the sample was taken. r. 22 -- 22 of 65 -- Part 5—Rail Safety Workers Rail Safety Regulations 2006 S.R. No. 96/2006 20 23. Certificate under section 78(5) A certificate given under section 78(5) of the Act must contain the following particulars— (a) the serial number of the breath analysing instrument; and (b) the sample number; and (c) the location of the test; and (d) the name and date of birth of the person whose breath is analysed; and (e) the surname of the operator; and (f) the results of the self tests conducted by the breath analysing instrument before and after the person's breath is analysed; and (g) the results of zero tests conducted by the breath analysing instrument before and after the person's breath is analysed; and (h) the date and time the person's breath was analysed. 24. Particulars of report of assessment of drug impairment For the purposes of section 80(6) of the Act, a report of assessment of drug impairment must contain the following particulars— (a) particulars of the identity of the person on whom the assessment was carried out, including, if known, the person's name, address, date of birth and gender; (b) the date and time at which the person underwent the assessment; (c) the place at which the person underwent the assessment; r. 23 -- 23 of 65 -- Part 5—Rail Safety Workers Rail Safety Regulations 2006 S.R. No. 96/2006 21 (d) the time (if any) reported to the transport safety officer or member of the police force (as the case requires) carrying out the assessment as the latest time the person carried out rail safety work; (e) whether the person underwent a preliminary breath test in accordance with section 77 of the Act or furnished a sample of breath for analysis by a breath analysing instrument and, if so, the result of the test or analysis, if known; (f) the record of interview of the person carried out by the transport safety officer or the member of the police force carrying out the assessment; (g) particulars of any medical treatment sought by or for the person; (h) any statements made by the person concerning a drug or drugs; (i) any observations made by the transport safety officer or member of the police force carrying out the assessment of the person in relation to— (i) any apparent injury or illness of the person; (ii) whether the person smelt of intoxicating liquor; (iii) the person's speech; (iv) the person's eyes; (v) the person's breathing; (vi) the person's skin; (vii) the person's movement; (viii) the person's balance; r. 24 -- 24 of 65 -- Part 5—Rail Safety Workers Rail Safety Regulations 2006 S.R. No. 96/2006 22 (ix) the state of the person's clothing; (x) the person's actions; (xi) the person's demeanour; (xii) any physical signs of drug use by the person; (xiii) the person's ability to comprehend instructions; (xiv) the person's ability to divide attention; (xv) whether the person, during the assessment, exhibited signs that indicated that the person was impaired by a drug or drugs; (j) whether the assessment, in the opinion of the transport safety officer or member of the police force carrying it out, indicates that the person may be impaired by a drug or drugs; (k) the name, identification number and signature of the transport safety officer, or the name, rank, station and signature of the member of the police force (as the case requires) carrying out the assessment. 25. Certificate under section 83(5) A certificate for the purposes of section 83(5) of the Act must contain the following particulars— (a) a statement by the registered medical practitioner or approved health professional that the requirements of these Regulations for the taking of blood samples have been complied with; and (b) the name of the person from whom the blood sample was taken; and r. 25 -- 25 of 65 -- Part 5—Rail Safety Workers Rail Safety Regulations 2006 S.R. No. 96/2006 23 (c) the time and date the blood sample was taken; and (d) the name and signature of the registered medical practitioner or approved health professional who took the blood sample. 26. Certificate under section 83(6) A certificate for the purposes of section 83(6) of the Act must contain, in addition to a statement as to the concentration of alcohol found in the sample of blood, the following particulars— (a) a statement by the analyst that he or she is a properly qualified analyst within the meaning of section 83 of the Act; and (b) a statement as to the method of analysis used; and (c) the name and signature of the analyst; and (d) the date the analysis was conducted; and (e) a description of the contents of the identification label referred to in regulation 22(1)(d) attached to the container in which the blood sample is placed. 27. Certificate under section 83(7) A certificate under section 83(7) of the Act must contain the following particulars— (a) a statement by the approved analyst that he or she is an approved analyst within the meaning of section 83 of the Act; and (b) a statement as to the method of analysis used; and (c) a statement that a substance that is, or is capable of being, a drug for the purposes of the Act was present in the sample of blood analysed; and r. 26 -- 26 of 65 -- Part 5—Rail Safety Workers Rail Safety Regulations 2006 S.R. No. 96/2006 24 (d) the name of the substance found to be present in the sample of blood analysed; and (e) the name and signature of the approved analyst; and (f) the date on which the analysis was conducted; and (g) a description of the identification label referred to in regulation 22(1)(d) attached to the container in which the blood sample is placed. 28. Certificate under section 83(8) A certificate under section 83(8) of the Act must contain the following particulars— (a) a statement by the approved expert that he or she is an approved expert within the meaning of section 83 of the Act; and (b) a statement as to the usual effect of a specified substance or substances on behaviour when consumed or used (including the effect on a person's ability to carry out rail safety work properly); and (c) the name and signature of the approved expert. 29. Procedure for collecting urine samples A registered medical practitioner or an approved health professional who collects a urine sample for the purposes of the Act must ensure that the sample is collected in a container which is clean and dry and which has not previously been used. r. 28 -- 27 of 65 -- Part 5—Rail Safety Workers Rail Safety Regulations 2006 S.R. No. 96/2006 25 30. Procedures after collecting urine samples A registered medical practitioner or an approved health professional who collects a urine sample must ensure that (a) the urine sample is placed in 2 dry containers, each containing approximately the same amount of urine; and (b) each container is fitted with a tamper proof locking seal; and (c) each container has attached to it a label bearing— (i) the signature of the registered medical practitioner or approved health professional who collected the urine sample; (ii) the date and the time the sample was collected; (iii) the name of the person from whom the sample was collected or, if the name of the person is not known, sufficient information to enable the sample to be identified with the person from whom it was collected. 31. Certificate under section 84(5) A certificate under section 84(5) of the Act must contain the following particulars— (a) a statement by the registered medical practitioner or approved health professional as to whether the requirements of the Act and these Regulations for the collection of urine samples have been complied with; r. 30 -- 28 of 65 -- Part 5—Rail Safety Workers Rail Safety Regulations 2006 S.R. No. 96/2006 26 (b) the name of the person from whom the urine sample was collected or, if the name of the person is not known, sufficient information to enable the sample to be identified with the person from whom it was collected; (c) the time and date the urine sample was collected; (d) the name and signature of the registered medical practitioner or approved health professional who collected the urine sample. 32. Certificate under section 84(6) A certificate under section 84(6) of the Act must contain the following particulars— (a) a statement by the analyst that he or she is an approved analyst within the meaning of section 84 of the Act; (b) a statement as to the method of analysis used; (c) a statement that a substance that is, or is capable of being, a drug for the purposes of the Act was present in the urine sample analysed; (d) the name of the substance found to be present in the urine sample analysed; (e) the concentration of the substance found to be present in the urine sample analysed; (f) the name and signature of the analyst; (g) the date on which the analysis was conducted; r. 32 -- 29 of 65 -- Part 5—Rail Safety Workers Rail Safety Regulations 2006 S.R. No. 96/2006 27 (h) a description of the contents of the identification label referred to in regulation 30(c) attached to the container in which the urine sample is placed. 33. Certificate under section 84(7) A certificate under section 84(7) of the Act must contain the following particulars— (a) a statement by the expert that he or she is an approved expert within the meaning of section 84 of the Act; (b) a statement as to the usual effect of a specified substance or substances on behaviour when consumed or used in that concentration (including its effect on a person's ability to carry out rail safety work properly); (c) the name and signature of the approved expert. 34. Duty to provide indicative positive results to Safety Director (1) A rail operator must, within 48 hours after becoming aware, notify the Safety Director if a rail safety worker carrying out rail safety work for the rail operator has undergone a breath test or an assessment of drug impairment and— (a) a preliminary breath test indicates that the rail safety worker's breath contains alcohol; or (b) an assessment of drug impairment indicates that the rail safety worker may be impaired by a drug. Penalty: 10 penalty units. r. 33 -- 30 of 65 -- Part 5—Rail Safety Workers Rail Safety Regulations 2006 S.R. No. 96/2006 28 (2) A notification under sub-regulation (1) must contain a statement of action specifying the response and proposed action to be taken by the rail operator against the rail safety worker as a consequence of the positive test results. Division 2—Health and Fitness of Rail Safety Workers 35. Rail operator to ensure workers are fit to carry out rail safety work A rail operator must ensure, so far as is reasonably practicable, that a rail safety worker who is employed or engaged by the rail operator, or a rail contractor who supplies rail infrastructure operations or rolling stock operations to that rail operator, is of sufficient good health and fitness to carry out that rail safety work. Penalty: 10 penalty units. 36. Fatigue management (1) A rail operator must develop and implement strategies for the control of any risks to safety associated with the fatigue of rail safety workers carrying out rail safety work for the rail operator. Penalty: 10 penalty units. (2) Strategies under sub-regulation (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. r. 35 -- 31 of 65 -- Part 5—Rail Safety Workers Rail Safety Regulations 2006 S.R. No. 96/2006 29 (3) A rail operator, when developing strategies under sub-regulation (1) must consult, so far as is reasonably practicable, with rail safety workers who carry out rail safety work for the rail operator and any other persons who are or are likely to be directly affected, in relation to the development and implementation of those strategies. Penalty: 10 penalty units. Note: Section 35(1)(b) of the Occupational Health and Safety Act 2004 requires an employer, so far as is reasonably practicable, to consult with employees when making decisions about the measures to be taken to control risks to health or safety. 37. Health assessments (1) A rail operator must cause to be conducted regular health assessments of rail safety workers who carry out rail safety work for the operator. Penalty: 10 penalty units. (2) Sub-regulation (1) does not apply if the rail safety worker provides the rail operator with the results of a health assessment conducted by another rail operator in the 12 months prior to the date the rail operator intends for a health assessment to be conducted on the rail safety worker. (3) A rail operator must ensure that a health assessment conducted in accordance with sub- regulation (1) is at the operator's expense. Penalty: 10 penalty units. (4) Sub-regulation (3) does not apply if the rail operator agrees with a rail safety worker who is a volunteer that the health assessments conducted of the worker may be conducted wholly or partly at the expense of a person other than the operator. r. 37 -- 32 of 65 -- Part 5—Rail Safety Workers Rail Safety Regulations 2006 S.R. No. 96/2006 30 Division 3—Competence 38. Competence of rail safety workers (1) A rail operator must ensure, so far as is reasonably practicable, that a person does not carry out rail safety work for the operator unless the person is competent to do so. Penalty: 15 penalty units. (2) A rail 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. 39. Assessment of rail safety worker competence (1) A rail operator must assess, or cause to be assessed, the competence of each rail safety worker who is employed or engaged by the rail operator, or a rail contractor who supplies rail infrastructure operations or rolling stock operations to that rail operator, by reference to— (a) any applicable units of competence or qualification recognised under the Australian Quality Training Framework within the meaning of the Skilling Australia's Workforce Act 2005 of the Commonwealth; or (b) if paragraph (a) does not apply, any other competence specified by the Safety Director under sub-regulation (2) as applicable with respect to a rail safety worker. (2) The Safety Director, by notice published in the Government Gazette, may specify a competence for a class of rail safety worker. r. 38 -- 33 of 65 -- Part 5—Rail Safety Workers Rail Safety Regulations 2006 S.R. No. 96/2006 31 (3) If a rail safety worker is assessed as not having demonstrated a required competence to carry out rail safety work of a particular class for a rail operator, the rail operator must ensure that— (a) the rail safety worker undertakes an appropriate course of training to achieve that competence; or (b) the competence is attained by a means other than training. 40. Records of competence and training A rail operator must prepare and maintain records of the following activities, matters or things that relate to rail safety— (a) the training undertaken by each rail safety worker carrying out rail safety work for the operator, including the date of training and duration of that training; and (b) the qualifications of each rail safety worker carrying out rail safety work for the operator, including— (i) units of competence undertaken to achieve the qualification; and (ii) the level of qualification attained; and (iii) if and when re-training is due; and (iv) the date any re-training is undertaken; and (c) the name of the organisation conducting the training or re-training; and (d) the results of any assessment of competence of the rail safety worker carrying out rail safety work for the operator; and r. 40 -- 34 of 65 -- Part 5—Rail Safety Workers Rail Safety Regulations 2006 S.R. No. 96/2006 32 (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. __________________ r. 40 -- 35 of 65 -- Part 6—Reporting Rail Safety Regulations 2006 S.R. No. 96/2006 33 PART 6—REPORTING Division 1—Duties relating to Railway Accidents and Incidents 41. Definitions In this Division— "notifiable accident or incident" means a railway accident or incident which the Safety Director has specified under regulation 42(1); "notifiable circumstance" means a circumstance, act or omission that resulted in, or had the potential to result in, the death or serious injury to any person, or significant damage to property and includes— (a) any defect in, or failure of, any part of the rail infrastructure; (b) any defect in, or failure of, any rolling stock or part of any rolling stock; (c) any failure or breach of any rail operations practice, procedure or rule; (d) any other circumstance, act or omission that the Safety Director has specified under regulation 42(2) to be a notifiable circumstance; "railway accident or incident" means— (a) an accident or incident on railway premises that results in— (i) the death of a person; (ii) serious injury to a person resulting in that person requiring immediate medical treatment by a registered r. 41 -- 36 of 65 -- Part 6—Reporting Rail Safety Regulations 2006 S.R. No. 96/2006 34 medical practitioner within the meaning of the Medical Practice Act 1994; (b) a running line derailment of any unit of rolling stock; (c) a collision between any rolling stock and any person; (d) a collision between any rolling stock and any other vehicle, infrastructure, obstruction or object which resulted in significant property damage; (e) an implosion, explosion, fire or other occurrence which resulted in significant property damage; (f) a notifiable accident or incident. 42. Safety Director may specify notifiable accident or incident or notifiable circumstance (1) The Safety Director, by instrument, may specify an accident or incident to be a notifiable accident or incident for the purposes of this Division. (2) The Safety Director, by instrument for the purposes of paragraph (d) of the definition of "notifiable circumstance", may specify a circumstance, act or omission to be a notifiable circumstance for the purposes of this Division. (3) The Safety Director must give a copy of the instrument to the rail operator of any accident or incident or circumstance that the Safety Director has specified to be a notifiable accident or incident or notifiable circumstance within 7 days after making that instrument. r. 42 -- 37 of 65 -- Part 6—Reporting Rail Safety Regulations 2006 S.R. No. 96/2006 35 43. Duty to notify railway accidents or incidents (1) An accredited rail operator must notify the Safety Director immediately after becoming aware that a railway accident or incident has occurred. Penalty: 20 penalty units. (2) An accredited rail operator must give the Safety Director a record of the railway accident or incident in an approved form within 72 hours after the railway accident or incident, unless the Safety Director agrees in writing to an extension of time. Penalty: 5 penalty units. 44. Duty to notify notifiable circumstances A rail operator must notify the Safety Director in writing of a notifiable circumstance that has occurred in relation to the rail operations for which the rail operator is accredited within 72 hours after becoming aware of the notifiable circumstance. Penalty: 15 penalty units. 45. Investigation report (1) For the purposes of section 67 of the Act, an accredited rail operator must prepare a report containing the information specified in column 3 of the Table in Schedule 4 for a railway accident or incident of a severity level set out in column 2 of that Table opposite that information. Penalty: 10 penalty units. (2) An accredited rail operator must provide the Safety Director with a copy of the report as soon as practicable after completing the report. Penalty: 10 penalty units. r. 43 -- 38 of 65 -- Part 6—Reporting Rail Safety Regulations 2006 S.R. No. 96/2006 36 (3) The Safety Director may require an accredited rail operator to— (a) conduct a more detailed investigation into an accident or incident; or (b) provide further information in a report of an investigation; or (c) clarify certain matters contained within a report. (4) An accredited rail operator must comply with a requirement under sub-regulation (3) within 7 days after the request. Penalty: 10 penalty units. 46. Monthly reports (1) A rail operator must for each calendar month give the Safety Director a report in the approved form and manner detailing— (a) the total number of rail safety workers in that month; (b) the total number of passenger journeys travelled in that month; (c) the total number of track kilometres; (d) the total number of passenger train kilometres; (e) the total number of freight train kilometres. (2) A report prepared under sub-regulation (1) must be given to the Safety Director within 10 days after the end of the previous calendar month. (3) For the purposes of sub-regulation (1)(b), the Safety Director may allow a rail operator to provide the information every 3 months. (4) Compliance with this regulation is a condition of accreditation. r. 46 -- 39 of 65 -- Part 6—Reporting Rail Safety Regulations 2006 S.R. No. 96/2006 37 47. Exemptions from reporting requirements (1) An accredited tourist and heritage railway operator may apply to the Safety Director for an exemption from the requirement to submit a monthly report under regulation 46. (2) The Safety Director may grant an exemption from this regulation in whole or in part subject to any terms, conditions or limitations specified in the exemption. 48. Duty to preserve accident or incident site (1) An accredited rail operator who is required to notify the Safety Director of an accident or incident under regulation 43(1) must ensure that the site where the accident or incident occurred is not disturbed until directed by— (a) a transport safety officer; or (b) the Safety Director. Penalty: 10 penalty units. (2) It is a defence to a charge under sub-regulation (1) if an accredited rail operator allows the site to be disturbed or disturbs the site for the purpose of— (a) protecting the health or safety of a person; or (b) aiding an injured person involved in a railway accident or incident; or (c) taking necessary action to make the site safe or to prevent a further occurrence of an accident or incident; or (d) allowing emergency services to manage the emergency. r. 47 -- 40 of 65 -- Part 6—Reporting Rail Safety Regulations 2006 S.R. No. 96/2006 38 Division 2—Annual Reviews and Reports 49. Annual reviews and reports (1) An accredited rail operator must, by 30 September of each year— (a) review all of the rail operator's rail operations carried out in the financial year preceding that date; and (b) prepare a report detailing the findings of the review and that includes the things required under sub-regulation (2). Penalty: 15 penalty units. (2) An annual review and report must include— (a) information about— (i) the extent to which an accredited rail operator satisfies the key safety performance targets as specified in its SMS for the year; and (ii) the incidence of notifiable accidents or incidents and analyses of safety trends; and (iii) recommendations (if any) of audits conducted in accordance with the rail operator's SMS; and (iv) recommendations (if any) of the findings of inspections conducted in accordance with the rail operator's SMS; and (v) findings of inquiries and investigations into railway accidents or incidents and subsequent implementation of actions to prevent a recurrence of any such occurrence; and r. 49 -- 41 of 65 -- Part 6—Reporting Rail Safety Regulations 2006 S.R. No. 96/2006 39 (b) a summary of any changes made to the SMS in the previous financial year. (3) A copy of the annual report must be provided to the Safety Director within 30 days after the completion of the report. Penalty: 10 penalty units. (4) Compliance with this regulation is a condition of accreditation. __________________ r. 49 -- 42 of 65 -- Part 7—Fees Rail Safety Regulations 2006 S.R. No. 96/2006 40 PART 7—FEES 50. Accreditation application fee (1) An application for accreditation by a rail infrastructure manager must be accompanied by the relevant fee set out in item 1 of the Table in Schedule 1. (2) An application for accreditation by a rolling stock operator must be accompanied by the relevant fee set out in item 1 of the Table in Schedule 1. 51. Fee for temporary accreditation (1) The Safety Director may charge the fee set out in item 2 of the Table in Schedule 1 for the issue of a temporary accreditation under section 47(2) of the Act. (2) A fee charged under sub-regulation (1) must be paid by the rail operator within 7 days after receiving a temporary accreditation. (3) Sub-regulation (2) is a condition of accreditation. 52. Fee for accreditation exemption for private siding (1) The fee that must accompany an application for exemption from the requirement to be accredited under section 63 of the Act is the fee set out in item 3 of the Table in Schedule 1. (2) An applicant under section 63 of the Act may apply to the Safety Director for an exemption from the requirement under sub-regulation (1). (3) On receipt of an application under sub- regulation (2), the Safety Director may grant or refuse to grant an exemption. (4) Sub-regulation (1) is a condition of accreditation unless an applicant under section 63 of the Act is granted an exemption under sub-regulation (3). r. 50 -- 43 of 65 -- Part 7—Fees Rail Safety Regulations 2006 S.R. No. 96/2006 41 53. Accreditation fee (1) An accredited rail infrastructure manager and an accredited rolling stock operator must pay the relevant fee set out in item 4 of the Table in Schedule 1 within 7 days after being accredited. (2) An accredited tourist and heritage railway operator may apply to the Safety Director for an exemption from the requirement under sub- regulation (1). (3) On receipt of an application under sub- regulation (2), the Safety Director may grant or refuse to grant an exemption. (4) Sub-regulation (1) is a condition of accreditation unless the applicant is granted an exemption under sub-regulation (3). 54. Annual fees (1) An accredited rail infrastructure manager and an accredited rolling stock operator must pay the relevant annual fees set out in item 5 of the Table in Schedule 1 before 30 September of each year. (2) An accredited tourist and heritage railway operator may apply to the Safety Director for an exemption from the requirement under sub- regulation (1). (3) On receipt of an application under sub- regulation (2), the Safety Director may grant or refuse to grant an exemption. (4) Sub-regulation (1) is a condition of accreditation unless the applicant is granted an exemption under sub-regulation (3). r. 53 -- 44 of 65 -- Part 7—Fees Rail Safety Regulations 2006 S.R. No. 96/2006 42 55. Late payment fees (1) If a person does not pay a fee under this Part (other than the fee referred to in regulation 52) (the "unpaid fee") by the due date specified for the payment of that fee, the person must pay a fee ("late payment fee") calculated in accordance with sub-regulation (2). (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 sub-regulation (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 sub-regulation (2) consists of an amount less than a whole dollar, the amount of the late payment fee is to be rounded up to the next whole dollar. (4) The Safety Director may waive the late payment fee in whole or in part. 56. Refund of application or annual fees The Safety Director may, at his or her discretion, refund all or any part of an application fee or annual accreditation fee paid under this Part. __________________ r. 55 -- 45 of 65 -- Rail Safety Regulations 2006 S.R. No. 96/2006 43 SCHEDULES SCHEDULE 1 Regulations 50–54 FEES 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 6 is made by a tourist and heritage railway operator, the fee to accompany an application for accreditation 500 50 Fee to accompany an application made by a tourist and heritage railway operator under regulation 6 100 50 2. Fee for temporary 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 51 Sch. 1 -- 46 of 65 -- Rail Safety Regulations 2006 S.R. No. 96/2006 44 Item Description of fees Fee units and method for calculating fees Regulation Reference 3. Fee for exemption from accreditation for rail operations carried out in a private siding Fee to accompany an application for exemption from accreditation for the carrying out of rail operations in a private siding 50 52 4. Fees to be paid after accreditation granted 53 (a) In the case of an accredited rail infrastructure manager a pro rata fee of 2 fee units for each kilometre of railway track to be managed by the rail infrastructure manager in Victoria for the coming year; (b) In the case of an accredited rolling stock operator—a pro rata fee calculated in accordance with the following (i) 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 Sch. 1 -- 47 of 65 -- Rail Safety Regulations 2006 S.R. No. 96/2006 45 Item Description of fees Fee units and method for calculating fees Regulation Reference (ii) 1 fee unit for each 1000 kilometres, or part thereof, anticipated to be travelled by each passenger train or tramway car (including a light rail vehicle) to be operated by the rolling stock operator in Victoria for the coming year; (c) In the case of an accredited tourist and heritage operator 100 5. Annual fees for accredited operators 54 The annual accreditation fee with respect to— (a) an accredited rail infrastructure 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 Sch. 1 -- 48 of 65 -- Rail Safety Regulations 2006 S.R. No. 96/2006 46 Item Description of fees Fee units and method for calculating fees Regulation Reference (ii) 1 fee unit for each 1000 kilometres, or part thereof, traveled by each passenger train or tramway car (including light rail) to be operated by the person in Victoria for the coming year; (c) an accredited tourist and heritage railway operator 100 (d) In the case of a person acquiring an existing business to manage rail infrastructure or operate rolling stock, a pro rata fee calculated in accordance with the fees specified in items (a) and (b) above with reference to operations that formed part of the previous business in the previous year ending 30 June. __________________ Sch. 1 -- 49 of 65 -- Rail Safety Regulations 2006 S.R. No. 96/2006 47 SCHEDULE 2 Regulations 8(1)(b), 13(a) MATTERS AND INFORMATION TO BE CONTAINED IN A SAFETY MANAGEMENT SYSTEM OF AN ACCREDITED RAIL OPERATOR 1. Safety policy 1.1 A safety policy that is integrated with other organisational policies of the rail operator and that is endorsed by the CEO or a person in an equivalent position. 1.2 A safety policy that includes an express commitment to safety and to continuous improvement in all aspects of the SMS. 1.3 A safety policy that includes a commitment to develop key safety performance targets, and to report progress against those targets. 2. Governance and internal control arrangements 2.1 Safety governance arrangements to ensure that the CEO and Board (or any other person or body controlling the rail operator), or the persons managing the rail operations, have sufficient knowledge— (a) of the risk profile of the rail operations carried out by the rail operator to enable the rail operator to proactively manage the risks arising from those operations; (b) of the level of compliance by the organisation with its duties and obligations under the Act and these Regulations; and (c) to determine whether— (i) the safety management system is working effectively; (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. Sch. 2 -- 50 of 65 -- Rail Safety Regulations 2006 S.R. No. 96/2006 48 2.2 Procedures to ensure that decisions and directions made by the CEO and Board (or any other person or body controlling the rail operator), or of the persons managing the rail operations, that affect safety are being implemented effectively. 3. Management, accountabilities, responsibilities and authorities 3.1 Processes and systems to ensure that the persons who are to participate in the implementation and management of the SMS have the knowledge and skills necessary to enable them to perform their allocated tasks and discharge their allocated responsibilities. 3.2 The identification of the person who is responsible for the implementation and management of the SMS, evidence of the competence of that person to implement and manage the SMS and a description of the person's position description and location in the organisational structure in which the person works and of the specific tasks and responsibilities allocated to them. 3.3 Processes for the reporting of safety related matters by those with safety responsibilities. 4. Regulatory compliance 4.1 Systems and processes for the identification of safety requirements under the Act and other safety legislation relevant to rail operations. 4.2 Systems to ensure compliance with those safety requirements. 5. Document control arrangements and information management 5.1 A system to control and manage all documents and data relevant to the safe management of the rail operations. 5.2 Systems and procedures for the identification, creation and management of records and documents. 5.3 Processes to communicate any changes to document control systems and procedures specified in items 5.1 and 5.2 to rail safety workers and employees of the rail operator who are not rail safety workers who rely on those systems and procedures to carry out their work. Sch. 2 -- 51 of 65 -- Rail Safety Regulations 2006 S.R. No. 96/2006 49 6. Safety records 6.1 The identification and preparation of railway safety records. 6.2 A description of the railway safety records held by the rail operator. 6.3 Periods for the retention of railway safety records taking into account factors such as the lifecycle of the railway safety records identified and prepared under item 6.1, legal requirements for the retention of records and retrieval requirements relating to records. 6.4 In this item— "railway safety record" means a document that specifies an account of the day to day operations of the rail operator, and includes operational records, engineering records, and rail safety worker records, such as records of competence and training under regulation 40, and health assessment records under regulation 37. 7. Safety performance targets and performance measures 7.1 Safety performance targets for the rail operations. 7.2 Key performance indicators to be used to measure safety performance and determine whether the SMS is effectively delivering the safety performance targets. 7.3 A description of the systems, procedures and standards to be used by the rail operator to achieve safety performance targets. 7.4 Procedures for the collection, analysis, assessment and dissemination of safety related data kept by the rail operator. 8. Internal SMS audit arrangements 8.1 Documented audit arrangements to ensure there is a process for the collection of information to determine whether the rail operations comply with the SMS, and to determine the effectiveness of the SMS. 8.2 Provision for internal SMS audits as part of the audit arrangements, including giving priority to those matters that represent the greatest safety risk. 8.3 An internal audit timetable for the carrying out of audits that the rail operator must comply with. Sch. 2 -- 52 of 65 -- Rail Safety Regulations 2006 S.R. No. 96/2006 50 8.4 Processes to ensure the independence and qualification of the auditors. 8.5 Processes for— (a) the results of audits to be communicated to those responsible for the oversight of the rail operations for review and, where appropriate, for action; (b) effective implementation of recommendations for action identified by the internal SMS audits; (c) the review of the effectiveness of the audit arrangements. 9. Corrective action 9.1 Processes to ensure, so far as is reasonably practicable, that corrective action is taken in response to any safety risks identified following inspections, testing, internal SMS audits, investigations and reporting of hazards or incidents undertaken by the rail operator. 9.2 Processes for those matters representing the greatest safety risk to be given priority when undertaking corrective action. 9.3 Processes to ensure so far as is reasonably practicable, that corrective action is monitored by the rail operator. 10. Review and revision 10.1 Documented intervals for the review of the SMS, including information about whether the rail operator intends to review the SMS every 5 years or at shorter intervals under regulation 14. 10.2 Processes for the review and revision of the SMS. 11. Management of change Procedures for ensuring changes which may affect the safety of rail operations are identified and managed, including, but not limited to, procedures for ensuring, so far as is reasonably practicable— (a) that changes are fully identified and described in the context of the rail operations; and (b) affected parties are identified and, where practicable, consulted; and Sch. 2 -- 53 of 65 -- Rail Safety Regulations 2006 S.R. No. 96/2006 51 (c) the roles and responsibilities of the rail safety workers employed or engaged by the rail operator or a rail contractor who supplies rail operations to the rail operator, and employees of the rail operator, are clearly specified with respect to the change; and (d) the rail safety workers and employees of the rail operator, are fully informed and trained to understand and deal with the proposed change; and (e) any risks associated with the proposed change are appropriately managed; and (f) the change, once implemented, is reviewed and assessed by the rail operator to determine the change has been appropriately managed. 12. Security 12.1 Processes for the integration of security into all aspects of rail operations. 12.2 Processes for the identification of security risks and procedures for the control of those security risks. 12.3 Documented responsibilities and accountabilities of the rail operator with respect to security. 12.4 Processes for the consultation by the rail operator with the Chief Commissioner of Police and with government agencies that have security responsibilities when developing, implementing and evaluating measures relating to security. 13. Safety culture Methods to promote and maintain a positive safety culture, so far as is reasonably practicable, including methods— (a) that promote the management of rail operations in a safe manner; and (b) that encourage an environment that promotes the carrying out of rail operations in a safe manner; and (c) that encourage communication between rail safety workers, rail contractors and employees of the rail operator and senior management of the rail operator about the safety of the rail operations. Sch. 2 -- 54 of 65 -- Rail Safety Regulations 2006 S.R. No. 96/2006 52 14. Consultation Policies for the involvement of, and consultation with, rail safety workers and their health and safety representatives with respect to the rail operator's risk management requirements under Division 3 of Part 5 of the Act. Note: Part 4 of the Occupational Health and Safety Act 2004 sets out requirements for consultation with employees in relation to a range of health and safety matters, including hazard identification, and risk assessment and control. 15. Internal communication 15.1 Processes for the dissemination of safety information and information about the content of the SMS to rail safety workers who are employed or engaged by the rail operator or a rail contractor who supplies rail operations to the rail operator, employees of the rail operator, and those who may be affected by the information or who may need to implement the information. 15.2 Arrangements by which the rail operator's safety policy and specific safety objectives are to be communicated to all persons who are to participate in the implementation of the SMS. 16. Risk management 16.1 Processes to ensure, so far as is reasonably practicable, compliance with section 65 of the Act. 16.2 A description of the control measures adopted by the rail operator. 16.3 A risk register that includes— (a) a comprehensive listing of hazards; and (b) risks associated with each hazard; and (c) the control measures applicable to each hazard; and (d) nomination of the person responsible for each control measure; and (e) key engineering, operational and maintenance standards applicable to each control measure; and (f) any relevant cross-referencing to other related aspects of the SMS or regulations. Sch. 2 -- 55 of 65 -- Rail Safety Regulations 2006 S.R. No. 96/2006 53 16.4 Processes to ensure, so far as is reasonably practicable, that rail safety work is prioritized so that those hazards representing the greatest risk are given priority. 16.5 If the rail operator is a rolling stock operator and is accredited in another State or Territory, a document setting out the differences between risks to safety arising out of the carrying out of rolling stock operations in that State or Territory and the risks to safety arising out of the proposed rolling stock operations in Victoria, and the control measures to be used to manage those differences. 17. Personnel management Information indicating how the rail operator will or does comply with the following requirements— • Part 6 of the Act dealing with drug and alcohol controls; • Regulation 36 dealing with the fatigue management; • Regulation 35 dealing with the health and fitness of rail safety workers. 18. Rail safety worker competence Programs for the management of rail safety worker competence to ensure that rail safety workers are competent to carry out the rail safety work they are employed or engaged (whether by the rail operator or a rail contractor) to carry out. 19. Information, instruction and training 19.1 Processes for— (a) the provision of information to rail safety workers about the content of the SMS; (b) the training of rail safety workers who will be or are involved in the implementation of the SMS. 19.2 Programs to— (a) ensure, so far as is reasonably practicable, rail safety workers are aware and understand safety policy objectives as specified in the SMS; (b) encourage rail safety workers' awareness, understanding and participation in the SMS. Sch. 2 -- 56 of 65 -- Rail Safety Regulations 2006 S.R. No. 96/2006 54 19.3 Provision for induction, and ongoing, training with regard to rail safety, including information, instruction and training on new work practices, procedures, policies and standards, specific hazards and relevant control measures. 20. Procurement and contract management 20.1 Procedures for the review of tender documents and contracts for the supply of rail operations by rail contractors to ensure that the duties of a rail operator or rail contractor under the Act and Regulations are adequately defined and documented. 20.2 Procedures to ensure that the terms of any tender documents, contracts or purchasing arrangements do not lead to unsafe work or an activity that may affect the safe operation of the rail operations. 20.3 Procedures for the monitoring of the performance of rail contractors, including conducting or commissioning audits of the rail contractor's performance in relation to the safety aspects of the contract. 20.4 Procedures for ensuring that safety duties under the Act are being met under contracts and procedures for the taking of remedial action where necessary. 21. Engineering and operational safety systems 21.1 If available, a documented set of engineering standards and procedures, and operational systems safety standards, to cover the following, and, where relevant, the relationships between any 2 or more of them— (a) rail infrastructure; (b) rolling stock; (c) information technology systems that impact on rail safety. Note: "Rail infrastructure" is defined in the Act as "the facilities that are necessary to operate a railway safely and includes, but is not limited to, railway track, associated track structures and works (such as cuttings, tunnels, bridges, stations, platforms, tram stops, excavations, land fill, track support earthworks and drainage works), over-track structures, under- track structures, service roads, signalling systems, rolling stock control systems, communications systems, notices and signs, overhead electrical power supply systems, and associated buildings, workshops, Sch. 2 -- 57 of 65 -- Rail Safety Regulations 2006 S.R. No. 96/2006 55 depots, yards, plant, machinery and equipment, but does not include rolling stock". 21.2 Details of the implementation and updating of the documents specified in 21.1. 21.3 Procedures for the control and verification of the design of structures, vehicles, equipment, and systems, in accordance with the engineering standards and procedures, and operational systems safety standards as specified in item 21.1. 22. Process control 22.1 Procedures for the rail operator to monitor its compliance with the documented procedures specified in item 21, including procedures for the inspection and testing of safety related engineering and operational systems. 22.2 Procedures for the control, calibration and maintenance of all equipment used for the purposes of inspection and testing of rail infrastructure or rolling stock. 22.3 Arrangements for the establishment and maintenance of inspection and test records to provide evidence of the condition of rail infrastructure or rolling stock. 22.4 Procedures for the documentation of processes required by the SMS and undertaken by the rail operator, including— • safe working procedures; • operational procedures; • rolling stock management procedures; • traffic management procedures; • infrastructure integrity procedures; • electric traction infrastructure procedures. 22.5 If the rail operator is a rolling stock operator and is accredited in another State or Territory, a document setting out the differences between the rail operator's rolling stock operations in that other State or Territory with the proposed rolling stock operations in Victoria and the control measures to be used to manage those differences. 22.6 In this item, "differences" means differences in rail operations that give rise to a risk to safety. Sch. 2 -- 58 of 65 -- Rail Safety Regulations 2006 S.R. No. 96/2006 56 23. Asset management An asset management policy in relation to the rail infrastructure or rolling stock operations. 24. Interface co-ordination 24.1 Processes for the identification of potential risks to the safety of rail operations carried out by that rail operator for the purposes of developing an interface co-ordination plan. 24.2 Copies of all interface co-ordination plans developed by the rail operator. 25. Emergency management 25.1 A copy of an emergency plan in accordance with section 52 of the Act and Division 2 of Part 2. 25.2 A copy of the procedures for the notification of railway accidents and incidents in accordance with regulation 43. 26. Investigations 26.1 Processes for the investigating of accidents or incidents for the purposes of section 67 of the Act. 26.2 Processes for the management of the scene of an accident or incident and preservation of evidence. __________________ Sch. 2 -- 59 of 65 -- Rail Safety Regulations 2006 S.R. No. 96/2006 57 SCHEDULE 3 Regulation 13(b) MATTERS AND INFORMATION TO BE CONTAINED IN A SMS OF A NON-ACCREDITED RAIL OPERATOR 1. Interface co-ordination 1.1 Processes for the identification of potential risks to the safety of rail operations carried out by that rail operator for the purposes of developing an interface co-ordination plan. 1.2 Copies of all interface co-ordination plans developed by the rail operator. 2. Risk management 2.1 So far as is reasonably practicable, processes for the identification of incidents and hazards and the assessment of all possible incidents and hazards identified. 2.2 A description of the control measures adopted by the rail operator. 2.3 A risk register that includes— (a) a comprehensive listing of hazards; (b) risks associated with each hazard; (c) the control measures applicable to each hazard; (d) nomination of the person responsible for each control measure; (e) key engineering, operational and maintenance standards applicable to each control measure; and (f) any relevant cross-referencing to other related aspects of the SMS or regulations. 2.4 Processes to ensure, so far as is reasonably practicable, that rail safety work is prioritized so that those hazards representing the greatest risk are given priority. 3. Infrastructure maintenance Details about how rail infrastructure within the private siding is to be maintained by the rail operator. __________________ Sch. 3 -- 60 of 65 -- Rail Safety Regulations 2006 S.R. No. 96/2006 58 SCHEDULE 4 Regulation 45(1) INVESTIGATION REPORTS MATTERS TO BE INCLUDED IN INVESTIGATION REPORTS HAVING REGARD TO THE SEVERITY OF THE ACCIDENT OR INCIDENT Column 1 Column 2 Column 3 Item Accident or incident Severity Level Required Information 1. An accident or incident that results in major consequences, for example, fatalities, serious personal injuries or extensive property damage. Detailed report of a systemic nature. The report must include— • a description of the occurrence; • the consequences that resulted; • the contributing factors established by the investigation; and • the safety actions arising from it. 2. An accident or incident involving only minor injuries but with appreciable 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 incident of minor consequence with either no injury or damage or only superficial injury or damage where it is unlikely that a more serious incident may have occurred. An initial occurrence report prepared and retained for trend analysis, and where possible, a brief report including analysis of the incident. ═══════════════ Sch. 4 -- 61 of 65 -- Rail Safety Regulations 2006 S.R. No. 96/2006 59 ENDNOTES Fee Units These Regulations provide for fees by reference to fee units established under the Monetary Units Act 2004. The amount of the fee is to be calculated, in accordance with section 7 of that Act, by multiplying the number of fee units applicable by the value of a fee unit. The value of a fee unit for the financial year commencing 1 July 2006 is $10.75. The amount of the calculated fee may be rounded to the nearest 10 cents. The value of a fee unit for future financial years is to be fixed by the Treasurer under section 5 of the Monetary Units Act 2004. The value of a fee unit for a financial year must be published in the Government Gazette and a Victorian newspaper before 1 June in the preceding financial year. Endnotes -- 62 of 65 -- Rail Safety Regulations 2006 S.R. No. 96/2006 60 INDEX Subject Regulation Accreditation applications 6–8, 50 conditions 8, 17, 46, 49, 51–54 exemptions from requirement to pay fees 52–54 fees 50–56, Sch. 1 temporary accreditation fees 51 variation 14 Accredited tourist and heritage railway operators definition 4 exemptions from monthly reports 47 fees payable, exemptions from fees 50, 53, 54, Sch. 1 Act (def.) 4 Annual reviews and reports 14, 49 Blood tests and samples certificates 25–27 procedures 21–22 Breath tests and analysis certificates 23 prescribed devices 19 procedures 20 Safety Director to be notified of positive results 34 Definitions 4, 41 Drug impairment assessments certificates 27–28, 32–33 reports 24 Safety Director to be notified of positive results 34 Emergency plans collaboration with agencies, operators 9 matters to be included in 10 must be accessible and comprehensible 11 preparation and communication 9 review, revision 10, 12 training for, testing of 11 Emergency services 9–11 Fees amounts payable, table Sch. 1 annual fees 54 applications for accreditation 50 exemptions 52–54 late payment 55 refunds 56 temporary accreditation 51 Government agencies 9 Interface coordination plans 17–18 Major incidents consequences dealt with in emergency plans 10 review, revision of emergency plans, interface coordination plans, SMS as result of 12, 14, 18 -- 63 of 65 -- Rail Safety Regulations 2006 S.R. No. 96/2006 61 Subject Regulation Notifiable accidents and incidents, Notifiable circumstances See Railway accidents and incidents Offences regarding annual reviews and reports 49 emergency plans 11, 12 interface coordination plans 18 preliminary breath tests, drug assessments 34 rail safety workers 35–38, 40 railway accidents and incidents 43–45, 48 safety management systems 14–16 Private sidings 52, Sch. 1 Rail contractors assessment of competence 39 compliance with interface coordination plans 18 health and fitness 35 training in, communication of emergency plans to 9, 11 Rail infrastructure managers – Accreditation See Accreditation Rail operators functions, powers, duties regarding annual reviews and reports 49 emergency plans 9–12 interface coordination plans 17–18 rail safety workers 35–40 railway accidents and incidents, notifiable circumstances 42–45, 48 results of breath tests, drug assessments 34 safety management systems 13–16 Rail safety work 5 Rail safety workers communication of emergency plans to 9 competence 38–40 consultation with 36 health and fitness 35–37 in monthly reports 46 qualifications 39, 40 records 40 training 11, 38–40 volunteers 37 Railway accidents and incidents definition 41 exemptions from monthly reports 47 information in annual reviews and reports 49 investigation reports 45, Sch. 4 monthly reports 46 notifiable accidents and incidents 41, 42, 49 notifiable circumstances 41, 42, 44 preservation of accident, incident site 48 records 43 Safety Director to be notified 43–44 -- 64 of 65 -- Rail Safety Regulations 2006 S.R. No. 96/2006 62 Subject Regulation Regulations authorising provisions 2 commencement 3 objective 1 Rolling stock operators – Accreditation See Accreditation Safety audits 14, 49 Safety Director powers, functions regarding annual reviews and reports 49 competence of rail safety workers 39 exemptions 52–54 fees 51–56 interface coordination plans 18 railway accidents and incidents 42–48 results of breath tests, drug assessments 34 SMS 15 Safety management systems (SMS) annual review, reports 14, 49 content 13, Sch. 2, Sch. 3 copies 15, 16 definition of SMS 4 information in applications for accreditation 6, 8 requests from Safety Director 15 review, revision 14 Tourist and heritage railway operators See Accredited tourist and heritage railway operators Urine samples certificates 31–32 procedures 29–30 Utilities 11 -- 65 of 65 --