Transport (Rail Safety) Regulations 1998

i Transport (Rail Safety) Regulations 1998 S.R. No. 140/1998 TABLE OF PROVISIONS Regulation Page 1. Objective 1 2. Authorising provision 1 3. Definitions 1 4. Competence and capacity required by applicants for accreditation 2 5. Application for accreditation 2 6. Conditions of accreditation—general 6 7. Conditions of accreditation—notifiable occurrences 7 8. Conditions of accreditation—monthly reports of occurrences 9 9. Prescribed conditions of accreditation—competent personnel 10 10. Surrender of accreditation 10 11. Exemptions 11 12. Sidings 11 13. Inquiries into railway accidents and incidents 12 __________________ SCHEDULE—Fees 14 ═══════════════ -- 1 of 16 -- 1 STATUTORY RULES 1998 S.R. No. 140/1998 Transport Act 1983 Transport (Rail Safety) Regulations 1998 The Governor in Council makes the following Regulations: Dated: 17 November 1998 Responsible Minister: ROBIN COOPER Minister for Transport SHANNON DELLAMARTA Acting Clerk of the Executive Council 1. Objective The objective of these Regulations is to regulate the safe operation of rail-based transport services by ensuring that managers of rail infrastructure and providers and operators of rolling stock have the competence and capacity to carry out the services that they are accredited for through a rigorous process of evaluation, audit and review in respect of the services specified in the accreditation. 2. Authorising provision These Regulations are made under section 129Y of the Transport Act 1983. 3. Definitions In these Regulations— -- 2 of 16 -- S.R. No. 140/1998 Transport (Rail Safety) Regulations 1998 2 "Act" means the Transport Act 1983; "rail safety work" has the same meaning as in section 129X(1) of the Act. 4. Competence and capacity required by applicants for accreditation (1) A person seeking to be accredited to manage rail infrastructure must have the competence and capacity to manage the rail infrastructure in respect of which the person seeks to be accredited in a way that will ensure that any potential user of the rail infrastructure can use the rail infrastructure with confidence that the use will not result in any injury to the user or damage to the user's property. (2) A person seeking to be accredited to provide rolling stock must have the competence and capacity to provide rolling stock in a way that will ensure that any potential user of the rolling stock can use the rolling stock with confidence that the use will not result in any injury to the user or damage to the user's property. (3) A person seeking to be accredited to operate rolling stock must have the competence and capacity to operate rolling stock in a way that will ensure that any potential user of the rolling stock can use the rolling stock with confidence that the use will not result in any injury to the user or damage to the user's property. 5. Application for accreditation (1) For the purposes of section 111(2)(b)(ii) of the Act, the following things must accompany the application by a person seeking accreditation as a manager of rail infrastructure— (a) documentary evidence that demonstrates that the applicant is qualified to operate safely as r. 4 -- 3 of 16 -- S.R. No. 140/1998 Transport (Rail Safety) Regulations 1998 3 a manager of rail infrastructure, including whether— (i) the person— (A) is accredited in another State or Territory to manage a similar type of rail infrastructure; or (B) has the competency and capacity to meet the relevant safety standards concerning the management of the rail infrastructure; or (C) has the competency and capacity to manage the rail infrastructure safely; and (ii) the person has an appropriate safety management system; and (iii) the person has the financial capacity, or has public risk insurance arrangements, to meet reasonable potential accident liabilities arising from the use of the rail infrastructure; and (iv) the person has (or is in a position to obtain) a right of access to the land where the rail infrastructure is constructed and a right to use the rail infrastructure; and (b) documentary evidence that demonstrates that a safety management system is in place, or will be in place when the person commences operations; and (c) a copy of a risk management strategy that provides for the clear identification, analysis, assessment, treatment and monitoring of all risks associated with the activities in respect of which accreditation is sought; and r. 5 -- 4 of 16 -- S.R. No. 140/1998 Transport (Rail Safety) Regulations 1998 4 (d) the application fee set out in the Schedule. (2) For the purposes of section 111(2)(b)(ii) of the Act, the following things must accompany the application by a person seeking accreditation as a provider of rolling stock— (a) documentary evidence that demonstrates that the applicant is qualified to operate safely as a provider of rolling stock, including whether— (i) the person— (A) is accredited in another State or Territory to provide rolling stock in a manner similar to the manner that the person proposes to provide rolling stock in Victoria; or (B) has the competency and capacity to meet the relevant safety standards concerning the provision of rolling stock; or (C) has the competency and capacity to safely provide rolling stock; and (ii) the person has an appropriate safety management system; and (iii) the person has the financial capacity, or has public risk insurance arrangements, to meet reasonable potential accident liabilities arising from the provision of the rolling stock; and (b) documentary evidence that demonstrates that a safety management system is in place, or will be in place when the person commences operations; and r. 5 -- 5 of 16 -- S.R. No. 140/1998 Transport (Rail Safety) Regulations 1998 5 (c) a copy of a risk management strategy that provides for the clear identification, analysis, assessment, treatment and monitoring of all risks associated with the activities in respect of which accreditation is sought; and (d) the application fee set out in the Schedule. (3) For the purposes of section 111(2)(b)(ii) of the Act, the following things must accompany the application by a person seeking accreditation as an operator of rolling stock— (a) documentary evidence that demonstrates that the applicant is qualified to operate safely as an operator of rolling stock, including whether— (i) the person— (A) is accredited in another State or Territory to operate rolling stock on a railway for a similar type of service; or (B) has the competency and capacity to meet the relevant safety standards concerning the operation of rolling stock; or (C) has the competency and capacity to operate rolling stock on a railway safely; and (ii) the person has an appropriate safety management system; and (iii) the person has the financial capacity, or has public risk insurance arrangements, to meet reasonable potential accident liabilities arising from the operation of the rolling stock; and r. 5 -- 6 of 16 -- S.R. No. 140/1998 Transport (Rail Safety) Regulations 1998 6 (iv) the person has (or is in a position to obtain), unless the person is applying for accreditation as both the manager of the rail infrastructure of a railway and as an operator of rolling stock on that railway, an agreement with the manager of the rail infrastructure of the railway to operate particular rolling stock on the railway, and, if so, whether the agreement includes appropriate arrangements for the safe operation of the rolling stock; and (b) documentary evidence that demonstrates that a safety management system is in place, or will be in place when the person commences operations; and (c) a copy of a risk management strategy that provides for the clear identification, analysis, assessment, treatment and monitoring of all risks associated with the activities in respect of which accreditation is sought; and (d) the application fee set out in the Schedule. 6. Conditions of accreditation—general It is a condition of accreditation that the accredited person must— (a) ensure that all activities in respect of which the person is accredited are subjected to inspections within 12 months of the date of the person's accreditation and then at intervals not exceeding 12 months since the completion of the previous inspection; (b) review all activities relating to the activities in respect of which the person is accredited including in relation to those activities— r. 6 -- 7 of 16 -- S.R. No. 140/1998 Transport (Rail Safety) Regulations 1998 7 (i) the incidence of notifiable occurrences and analyses of safety trends; and (ii) findings of safety audits; and (iii) findings of inspections; and (iv) findings of inquiries and investigations into notifiable occurrences and subsequent implementation of actions to prevent a recurrence of any such occurrences— within 12 months of the date of the person's accreditation and then at intervals not exceeding 12 months since the previous review; (c) retain the records necessary to clearly demonstrate compliance with the conditions of accreditation and must— (i) make those records available for inspection upon demand to any member of the police force, the Secretary or a person authorised by the Secretary; and (ii) within a reasonable time, if asked by any member of the police force, the Secretary or a person authorised by the Secretary, provide the member of the police force, the Secretary or the person with an accurate copy of any of those records; (d) pay the annual accreditation fee— (i) within 7 days of the issue of the Certificate of Accreditation; and (ii) before the expiry of each 12 month period from the date the Certificate of Accreditation was granted. 7. Conditions of accreditation—notifiable occurrences r. 6 r. 7 -- 8 of 16 -- S.R. No. 140/1998 Transport (Rail Safety) Regulations 1998 8 It is a condition of accreditation that the accredited person must— (a) notify the Secretary as soon as is reasonably practicable of the following occurrences in relation to the activities for which the person is accredited and provide to the Secretary a written report about any occurrence within 72 hours of the occurrence unless a later time has been agreed to by the Secretary— (i) the death of any person; (ii) incapacitating injury to any person; (iii) any derailment of any unit of rolling stock for which the person is accredited which resulted in significant damage to any property or equipment; (iv) any collision between any rolling stock and any person, other vehicle, infrastructure or any other obstruction or cause resulting from the construction, maintenance or operation of the railway for which the person is accredited which resulted in significant damage to any property or equipment; or (v) any fire, explosion or any other occurrence which resulted in significant property damage; (b) if the person is accredited as an operator of rolling stock, notify the Secretary as soon as is reasonably practicable of any significant unplanned delays to the provision of rail services for which the person is accredited and the resultant emergency implementation of contingency arrangements and provide to the Secretary a written report about any such -- 9 of 16 -- S.R. No. 140/1998 Transport (Rail Safety) Regulations 1998 9 occurrence within 72 hours of the occurrence unless a later time has been agreed to by the Secretary. 8. Conditions of accreditation—monthly reports of occurrences (1) In this regulation, "notifiable occurrence" means any occurrence in relation to the activities for which a person is accredited which resulted in, or had the potential to result in, the death of, or incapacitating injury to, any person or damage to property or equipment including— (a) any derailment of any unit of rolling stock; (b) any collision between any rolling stock and any person, other vehicle, infrastructure or any other obstruction or cause resulting from the construction, maintenance or operation of the railway; (c) any defect in, or failure of, any part of the infrastructure; (d) any defect in, or failure of, any rolling stock or part of any rolling stock; (e) any failure or breach of any practice or procedure; (f) any fire, explosion or any other similar occurrence; and (g) any other occurrence of a type which the Secretary advises the accredited person in writing is required to be notified to the Secretary. (2) It is a condition of accreditation that the accredited person must give the Secretary a summary report of all notifiable occurrences that occurred in a calender month by the 10th day of the next calendar month. r. 8 -- 10 of 16 -- S.R. No. 140/1998 Transport (Rail Safety) Regulations 1998 10 (3) The accredited person— (a) must give the report in the form and manner required by the Secretary; and (b) must ensure that the report includes— (i) the total number of occurrences by category; (ii) the total number of deaths by category; (iii) the total number of incapacitating injuries by category; (iv) any detectable safety trend by category; and (v) the total number of tests conducted of the concentration of alcohol in the blood of employees carrying out rail safety work, and the number of findings identified in such tests of concentrations above the prescribed concentration. 9. Prescribed conditions of accreditation—competent personnel It is a condition of accreditation that the accredited person must ensure that any person who undertakes railway safety work in relation to railway activities in respect of which the person is accredited is competent for the task undertaken or is supervised by a person who is competent for the task undertaken. 10. Surrender of accreditation An accredited person proposing to surrender his, her or its accreditation must deliver to the Secretary a request in writing for the Secretary's r. 9 r. 10 -- 11 of 16 -- S.R. No. 140/1998 Transport (Rail Safety) Regulations 1998 11 consent to the surrender together with the Certificate of Accreditation. 11. Exemptions (1) The Secretary may exempt an accredited person from the need to comply with one or more of the requirements of these Regulations if the Secretary is satisfied that in relation to the requirement from which exemption is sought the accredited person has demonstrated that the systems, expertise, resources and methods to be employed by the accredited person are appropriate and reasonable and will not affect the safe conduct of the accredited activity. (2) In granting an exemption, the Secretary may impose any conditions, restrictions or time limits on the exemption that he or she considers to be reasonable and appropriate. (3) The Secretary may at any time vary or revoke a restriction, condition or time limit of an exemption or impose a new restriction, condition or time limit by giving written details of the change to the accredited person. (4) Failure to comply with a restriction, condition or time limit of an exemption voids the exemption. 12. Sidings (1) The Secretary may register a person to manage a private siding. (2) It is a condition of registration that a person comply with regulations 7 and 8 as if the person were an accredited person and with any written directions issued by the Secretary from time to time about the safe construction, operation and maintenance of sidings. (3) A person's application to the Secretary for registration as a manager of a private siding must -- 12 of 16 -- S.R. No. 140/1998 Transport (Rail Safety) Regulations 1998 12 be made in the manner and form required by the Secretary and must include documentary evidence— (a) describing the siding; and (b) identifying the location and configuration of the siding; and (c) demonstrating agreement with an accredited person for the siding to be connected to the accredited person's siding or railway. (4) It is a condition of registration that a person pay the annual fee for registration set in clause 2 of the Schedule— (a) within 7 days of the registration by the Secretary; and (b) before the expiry of each 12 month period from that date. (5) Failure to comply with a condition of registration voids the registration. (6) The Secretary may require a person who has applied for registration to supply further information as specified by the Secretary. 13. Inquiries into railway accidents and incidents (1) An accredited person must conduct any inquiry that he, she or it is required to conduct by section 129T of the Act in a manner agreed to by the Secretary. (2) An accredited person must report to the Secretary the findings of any such inquiry identifying all the factors that could reasonably be regarded as contributing towards the cause of the accident or incident. (3) An accredited person must report to the Secretary the findings of any coronial inquiry into the r. 13 -- 13 of 16 -- S.R. No. 140/1998 Transport (Rail Safety) Regulations 1998 13 accident or incident including any recommendations made by the Coroner to prevent the recurrence of any similar accidents or incidents. (4) An accredited person must implement any strategies reasonably necessary to prevent a recurrence of similar accidents or incidents, in a manner agreed to by the Secretary. (5) The accredited person must give the Secretary reports on the progress of any inquiry being conducted by, or on behalf of, the accredited person at the intervals required by the Secretary. Penalty: 20 penalty units. __________________ r. 13 -- 14 of 16 -- S.R. No. 140/1998 Transport (Rail Safety) Regulations 1998 14 SCHEDULE FEES 1. Application fee Fee to accompany applications for accreditation as Rail Infrastructure Manager or as Rolling Stock Provider or Operator $5000 2. Registration of manager of private siding Annual fee for the registration of manager of private siding $50 for each siding 3. Schedule of annual accreditation fees (a) the rate for temporary accreditation $500 for each week/part of a week (b) the annual accreditation fee for a not-for- profit organisation $1000 (c) the annual accreditation fee in all other cases is to be determined in accordance with the following procedure— (i) the total of all the following amounts that are relevant to the accredited person is to be calculated— (A) for accreditation as an operator of rolling stock, an amount of $0.006 for each kilometre travelled by each freight train operated by the person in Victoria during the 12 months preceding the calender year in which the application is made; (B) for accreditation as an operator of rolling stock, an amount of $0.007 for each kilometre travelled by each passenger train, or tramway car (including light rail vehicle) operated by the person in Victoria during the 12 months preceding the calender year in which the application is made; Sch. -- 15 of 16 -- S.R. No. 140/1998 Transport (Rail Safety) Regulations 1998 15 (C) for accreditation as a manager of infrastructure, an amount of $20.00 for each kilometre of railway track to be managed by the person in Victoria; (D) for accreditation as a provider of rolling stock, the following amounts for each item of rolling stock maintained by the person on a scheduled basis (that is excluding maintenance activities associated with the examination of trains or tramway cars (including light rail vehicles), the preparation of trains or tramway cars (including light rail vehicles), or minor defect rectification on trains or tramway cars (including light rail vehicles)) within Victoria— (a) locomotives $150 (b) self propelled diesel rail passenger car $100 (c) electric multiple unit (3 carriage unit) passenger train $200 (d) tramway cars (including light rail vehicles) $90 (e) hauled vehicles (i) passenger carriages (ii) freight wagons $50 $13 (f) track inspection vehicles/special vehicles $35 (ii) if the total of all those amounts is $5000 or less, the annual accreditation fee is $5000; (iii) if the total of all those amounts is more than $5000, the annual accreditation fee is that total of all those amounts. ═══════════════ Sch. -- 16 of 16 --