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Australia Southern Railroad Document Number: RS-PLN-001 Rail Safety Document - Plan Area of Application: NSW and SA

Issue Number: 3 Issue Date: 01.12.2004

Issued by: ASR Compliance Section

Australia Southern Railroad

RAIL SAFETY MANAGEMENT PLAN

This plan is not controlled when copied, or printed from an electronic version.

Authorised by:

Regional Transportation Manager – Eastern Region

Australia Southern Railroad Document Number: RS-PLN-001

Amendments Page Number Issue

Number Date of Issue Amendment Details

All 1 1 April 2003 Annual Review. Allocation of new document number.

All 2 1 August 2004 Annual Review. All 3 1 December 2004 Modified to reflect restructure

and creation of ARG Eastern Region.

Table of Contents

Section Title Page 1. General 4 1.1. Purpose 4 1.2. Safety Principles 4 1.3. Overview of the Business 5 1.3.1. The ASR Railway Network 5 1.3.2. Freight and Passenger Services 6 1.4. Accreditation 6 1.5. References 7 1.6. Definitions 8 1.7. Responsibilities Associated with this Plan 8 1.7.1. Regional Transportation Manager – Eastern Region 8 1.7.2. Rail Safety & Compliance Coordinators 8 1.7.3. Line Managers 9 1.7.4. Major Contractors 9 1.7.5. Rail Safety Workers 9 2. Requirements of AS 4292 11 2.1. Safety Management Policy 11 2.2. Management 12 2.3. Responsibilities and Authorities 12 2.4. Safety Documentation 20 2.5. Financial Capacity 21 2.6. Regulatory Compliance 22 2.7. Document and Data Control 22 2.8. Management System Review 23 2.9. Rail Safety Audit 23 3. Risk and Incident Management 25 3.1. Identification of Risks 25 3.2. Risk Control Measures 25 3.3. Major Incident Management 26 3.3.1. Emergency Response 26 3.3.2. Investigation 27 3.3.3. Recording and Analysis 27 3.3.4. Review and Rectification Procedures 28 4. Personnel Management 28 4.1. General 28 4.2. Workers Competence 28

Issue Number: 3 Issue Date: 1 December 2004 of 68


Section Title Page

4. Personnel Management (Cont) 4.3. Health and Fitness 29 4.4. Drug and Alcohol Control 29 4.5. Literacy and Language Skills 30 5. Procurement of Goods and Services 30 5.1. Contract Management 30 5.2. Purchasing 31 6. Operational and Engineering Systems Safety 31 6.1 General 31 6.2. Process Control 44 6.3. Design and Development 44 6.4. Inspection and Testing 45 6.4.1. General Requirements 45 6.4.2. Inspection Frequency 45 6.4.3. Inspection and Test Records 46 6.4.4. Inspection and Test Status 46 6.5. Method of Assessment 46 6.6. Corrective Actions 47 6.7. Detailed Requirements 47 7. Interstate Operations 47 7.1. General 47 7.2. Route Designation 48 7.3. Safety Management of the Interstate System 48 7.3.1. General Requirements 48 7.3.2. Common Essential Requirements 48 8. Interface Coordination Plans 48 8.1. General 48 8.2. Interface Between Engineering and Operational

Functions 49

Appendices Appendix A Map of the ASR Railway Network 50 Appendix B List of Management System Procedures and

Documents 51

Appendix C List of Interface Coordination Plans and Safety Interface Agreements

66

Figures 1. Rail Safety Management Process Model 10 2.1. ARG Executive Structure 14 2.2. ARG Senior Management Structure 15 2.3. ARG Eastern Region (and ASR) South Australian

Structure 16

2.4. ARG Eastern Region (and ASR) New South Wales Structure

17

2.5 ARG Safety & Technical Training Department Structure

18

2.6 ARG Rollingstock Services Department Structure 19 3. Hierarchy of ASR Rail Safety Documents 21 4. NT Rail Safety Committee 26



1. GENERAL 1.1. Purpose This plan has been developed to demonstrate compliance with Australian Standard AS 4292:1995 Railway safety management, Part 1 General and interstate requirements. In doing so, it will also enable Australia Southern Railroad (ASR) to meet its obligations under the various Rail Safety and Transport Acts that apply to its activities throughout Australia and the conditions that attach to its rail safety accreditation. ASR shall achieve the purpose by identifying the processes and standards that collectively form the organisation’s Rail Safety Management System. 1.2. Safety Principles The ASR Rail Safety Management System aims to adequately control risk by adherence to the following, fundamental safety management principles: • • •

•

•

•

•

• •

•

•

• •

The identification and management of risk, The proper management of incidents and emergencies, The adequate definition and management of interfaces between the organisation’s rail safety activities and those of other parties, The provision of appropriate levels of protection to workers and members of the wider community, and The protection of property, assets and the environment from damage.

To this extent ASR shall:

Establish and foster a commitment to the principles of Rail Safety Management within the organisation, Develop and maintain standards, procedures and risk control measures commensurate with acceptable levels of risk, Implement the requirements of AS 4292:1995, Part 1, Develop and apply a structured review process to maintain and improve existing systems and procedures, Develop appropriate interface coordination plans and interface safety agreements which define rail safety-related activities and responsibilities, Develop appropriate levels of worker competence through training and assessment for all functions relating to rail safety , Implement controls and measures to monitor appropriate performance levels, and Conduct regular audits of the Rail Safety Management System to ensure ongoing compliance.

Note: This plan addresses only those elements of AS 4292 that impact on Rail Safety Management within ASR. Clause numbers in Section 2 of this document have been aligned to the relevant clause numbers in AS 4292:1995, Part 1.



A flow chart of the Rail Safety Management Process Model employed by ASR is detailed in figure 1. The Executive and Senior Management structure of the Australian Railroad Group (ARG) and the reporting relationship that exists between ARG and ASR’s senior manager, the Regional Transportation Manager – Eastern Region, is detailed in figures 2.1 to 2.4. The Regional Transportation Manager – Eastern Region has the defined responsibility and authority for rail safety within ASR. Figures 2.5. and 2.6. detail the structures of the ARG Safety and Technical Training and Rollingstock Services Departments, which provide support to ASR. The Rail Safety & Compliance Coordinators (SA) and (NSW) report to the Regional Transportation Manager – Eastern Region and support this officer in the management of ASR’s Rail Safety Management System and maintenance of its rail safety accreditation. The Organisational Structure is subject to periodical change in response to ongoing operational requirements. The Hierarchy of rail safety documentation in use within the organisation is detailed in figure 3. Appendix A contains a map of the ASR railway network. Appendix B contains a list of the management system documents, which are in place to address the essential requirements of AS 4292:1995, Part 1. Appendix C provides a list of the Interface Coordination Plans and Interface Safety Agreements that apply to ASR’s railway network and operations. 1.3. Overview of the Business Australia Southern Railroad (ASR) is a subsidiary company of the Australian Railroad Group (ARG). 1.3.1. The ASR Railway Network ASR owns and operates approximately 1290 kilometres of track and civil infrastructure in South Australia. It also owns the Parkeston Railway Yard in Western Australia. Under the “Open Access” regime that applies in South Australia, arrangements are in place for other Operators to access the ASR railway network. Access to company-owned terminals, marshalling yards and sidings is controlled by a set of conditions entitled “Yard Pre-Entry and Access Requirements” and location specific operating procedures. ASR has adopted the Code of Practice for the Australian Railway Network – formerly the Code of Practice for the Defined Interstate Rail Network - and the ASR Addendum to the Operations Code of Practice as the principal systems of safe working on the ASR railway network.

Train separation and movement across the ASR railway network is managed from Dry Creek (South Australia) by ASR Transport Control.



Transport Control also provides train control services on the Tarcoola – Darwin railway under contract to the railway’s owner Freight Link Pty Ltd. To facilitate train control on the Tarcoola – Darwin railway, ASR maintains accreditation as an Owner of Limited Infrastructure ie satellite telecommunications for train control purposes.

The ASR railway network including track, civil infrastructure, signalling and telecommunications is maintained under contract by Transfield Services in South Australia and Western Australia.

ASR also owns operational depots and freight handling terminals in these jurisdictions.

1.3.2. Freight and Passenger Services

ASR operates freight services and Hook and Pull services (for other Operators) on company-owned infrastructure and on the railway networks of other Owners in South Australia, Western Australia, Victoria, New South Wales and the Northern Territory. ASR also operates passenger services in South Australia and, on occasion, in New South Wales. The company owns and operates its own locomotive and rolling stock fleets and leases units from, and to, other Operators. The ASR locomotive and rolling stock fleets are maintained under contract by EDI Rail, Pacific Rail Engineering and Australia Western Railroad. All trains are crewed and marshalled by qualified and competent Rail Safety Workers, who drive locomotives, marshal trains and perform ground-shunting tasks.

Train planning, logistics and the rostering of crews is carried out by ASR from the Operations Service Centre at Dry Creek; Auburn (Sydney); and at various country depot locations throughout South Australia, New South Wales and Western Australia. 1.4. Accreditation ASR achieved accreditation as an Operator of Railway Services from the Department of Infrastructure in Victoria on 17 November 1997 by demonstrating compliance with the requirements of Australian Standard AS 4292 Railway safety management.

Since then, ASR has sought and obtained accreditation from other regulatory bodies to cover its various intrastate and interstate operations.



ASR currently holds the following rail safety accreditations: Jurisdiction Accredited Activity Rail Safety Act

South Australia Owner of Track and Civil Infrastructure and Operator of Railway Services

Rail Safety Act (1996)

Western Australia As above Rail Safety Act (1998) Victoria

Operator of Railway Services Transport Rail Safety Act (1996)

New South Wales As above Rail Safety Act (2002) Northern Territory Owner of Limited Infrastructure and

Operator of Railway Services Rail Safety Act (1998)

Queensland Operator of Railway Services Transport Infrastructure Act (1994)

In order to maintain these accreditations, it is necessary for ASR to: • Comply at all times with the provisions of the above mentioned legislature; any

other relevant Act or Bill impacting on its accredited activities; and any conditions attached to its accreditation by a Regulatory Authority.

• Maintain sufficient financial capacity for railway operations and insurance cover for any risks reasonably expected to be encountered in the course of its activities.

• Maintain its access rights to other railway networks on which it operates and continue to meet its safety obligations in accordance with any associated terms and conditions.

• Remain accountable for the rail safety activities undertaken by Contractors and Sub-contractors on its behalf, or at its direction.

• Give notice and obtain prior approval from the appropriate Regulatory Authority of its intention to implement a material change to its accredited method of operating.

1.5. References • Northern Territory Rail Safety Act (1998) • South Australian Rail Safety Act (1996) • New South Wales Rail Safety Act (2002) • Victorian Transport Rail Safety Act (1996) • Western Australian Rail Safety Act (1998), • Queensland Transport Infrastructure Act (1994) • AS 4292: 1995 and 1997 Railway safety management • AS 4360:2004 Risk management • AS 3931:1998 Risk analysis of technological systems. • AS 5022: 2001 Guidelines for railway safety investigation • AS/NZS ISO 9002 Quality System Standard • AS/NZS ISO 14001 Environmental Management System Standard • Code of Practice for the Australian Rail Network (formerly the Defined Interstate

Rail Network) • ASR Addendum to the Operations Code of Practice OP-COP-001 • ASR Network Operating Guide ASR-RSD-019.



1.6. Definitions Apart from the following definitions, this Plan uses terminology contained in Australian Standard AS 4292 Railway safety management: External Party: An organisation other than ASR. Major Contract: a contract that involves an extensive, complex and long-term

activity, with the potential for significant impact on rail safety eg the maintenance of ASR’s rollingstock fleet.

Major Contractor: an organisation, party or person(s) engaged in the performance

of major contract work. 1.7. Responsibilities Associated with this Plan 1.7.1. Regional Transportation Manager – Eastern Region The Regional Transportation Manager - Eastern Region is responsible for ensuring that the requirements of this plan are implemented and maintained.

The Regional Transportation Manager - Eastern Region is supported in this regard by the Rail Safety & Compliance Coordinators (SA) and (NSW). 1.7.2. Rail Safety & Compliance Coordinators The Rail Safety & Compliance Coordinators (SA) and (NSW) are responsible for ensuring that this plan meets the requirements of AS 4292 Railway safety management and that it is reviewed on a regular basis. This review process is deemed necessary to ensure the ongoing suitability of the plan and its ability to meet the stated purpose. The review of this plan will be incorporated into ASR’s Audit Program and will be discussed and documented as part of ASR’s formal Risk Management Review Process. Examples of Verification: •

•

Reference to this plan and its review in minutes of Risk Management Review Meetings. RS-PRC-005 Management System Review procedure.




1.7.3. Line Managers Line Managers engaged in any form of rail safety work associated with ASR’s operations shall be responsible for ensuring that employees and contractors under their control are familiar with, and adhere to, the requirements of this plan and any related procedures. Examples of Verification: • Issue of policy documents and procedures, and the development of

complimentary operational bulletins and work instructions. 1.7.4. Major Contractors

Major contractors and service providers shall be responsible for adhering to the requirements of this plan and any associated procedures, and where appropriate, for developing and maintaining their own complimentary management systems. Examples of Verification:

• Evidence of an effective management system by major contractors and

service providers. • The availability of this plan and the issue of associated procedures and

operational guidelines to ASR’s Major Contractors. 1.7.5. Rail Safety Workers Whether directly employed by ASR, or an external party, as part of a contract for the provision of goods and services, workers engaged in any form of rail safety work associated with ASR’s operations shall be required to comply with the requirements of this plan and any related procedures.

All rail safety workers are obliged and empowered to identify, report and where appropriate, manage potential hazards.

Examples of Verification:

• Existence of controlled safety and operating procedures. • References to safety in position descriptions for rail safety workers.



S e t P o lic yS e t P o lic y

D e f in e O b je c t iv e sD e f in e O b je c t iv e s

R e s p o n s ib il i ty a n d

A u th o r i t ie s

R e s p o n s ib il i ty a n d

A u th o r i t ie s

G o o d s a n d S e rv ic e s

P r o c u r e m e n t

G o o d s a n d S e r v ic e s

P ro c u r e m e n t E x te r n a lA u d it

E x te r n a lA u d it

Im p le m e n t P r o c e s s e sIm p le m e n t P r o c e s s e s

M e a s u r e A c h ie v e m e n t

M e a s u r e A c h ie v e m e n t

A n a ly s eE ffe c t iv e n e s s

A n a ly s eE f fe c t iv e n e s s

C o r r e c t /A d ju s t

C o r r e c t /A d ju s t

P r o c e s sA u d i t

P r o c e s sA u d it

R e v ie w &R e c o m m e n d a t io n


S y s te mM a n a g e m e n t

R e v ie w

S y s te mM a n a g e m e n t

R e v ie w

E n g in e e r in g & O p e r a t io n a l

S y s te m s

E n g in e e r in g & O p e r a t io n a l

S y s te m s



P o l ic y M a n a g e m e n t

R e v ie w

P o l ic y M a n a g e m e n t

R e v ie w

D o c u m e n ta t io n a n d

D a t a C o n t r o l

D o c u m e n ta t io n a n d

D a ta C o n t r o l

P e r s o n n e l M a n a g e m e n tP e r s o n n e l

M a n a g e m e n tR is k a n d

In c id e n tM a n a g e m e n t

R is k a n d In c id e n t

M a n a g e m e n t

Figure 1. Rail Safety Management Process Model


2. REQUIREMENTS OF AS 4292

2.1. Safety Management Policy (AS4292.1, Section 2, 2.1) The management and staff of ASR endorse, conform and are committed to the ARG Rail Safety Policy.

External parties involved in major contracts shall be requested to develop and demonstrate the existence of a corporate policy that supports a commitment to safety and the protection of property from damage. Safety policies shall be implemented and maintained at all levels within the organisation. Policy language shall be clear, concise and easily understood. Examples of Verification: •

•

Copies of ARG’s Rail Safety Policy statement are displayed in prominent locations throughout the organisation. Line Managers reinforce the role and responsibility that individuals have in rail safety activities.




2.2. Management (AS 4292.1, Section 2, 2.2.)

The Regional Transportation Manager – Eastern Region is the Senior Manager within ASR who has defined authority and responsibility for ensuring that the requirements of Australian Standard AS 4292 Railway safety management and this Plan are implemented and maintained. The Regional Transportation Manager – Eastern Region is responsible for all operations that occur within, or emanate from South Australia and New South Wales. This officer is also responsible for the company’s operations in Western Australia. The Regional Transportation Manager – Eastern Region shall be responsible for ensuring that all rail safety work carried out by ASR is managed effectively and in accordance with regulatory requirements. Similarly, Major Contractors engaged by ASR in the performance of rail safety work shall be required to nominate a Senior Manager within their organisation who, irrespective of other duties, has defined authority and responsibility for safety. This Manager shall be responsible for ensuring that all staff under his/her control – including Sub-contractors, are aware of, and comply with, the requirements of this document and any related procedures. The Rail Safety & Compliance Coordinators (SA) and (NSW) have defined responsibility and authority for ensuring that the endorsed Rail Safety Management System incorporating the requirements of AS 4292:1995, Part 1, is developed, implemented and maintained within their respective operational areas. ASR has endorsed a Rail Safety Management System Process Model (refer figure 1) incorporating effective system controls and a capacity for the implementation, analysis, review and auditing of processes associated with the management of rail safety. Examples of Verification: • •

• •

Position descriptions for ASR operational personnel. RS-PRC-027 Management, Responsibilities and Authorities Relative to Rail Safety Rail safety procedures reflecting authorities and responsibilities. Procedures that support the ASR Rail Safety Management System – refer Appendix B.

2.3. Responsibilities and Authorities (AS 4292.1, Section 2, 2.3.) Responsibilities, authorities and the interrelation of all ASR employees who manage, perform and verify work affecting rail safety are defined in documents such as Position Description Forms; discipline-specific procedures; Interface Coordination Plans and Safety Interface Agreements; and service contracts between discipline-specific parties.



The definitions contained in these documents empower ASR employees with the necessary organisational freedom and authority to:

initiate action to prevent the occurrence of unsafe incidents – including rail

safety incidents, identify and record any rail safety problems, initiate actions to address rail safety issues through structured mechanisms, verify the implementation of rail safety initiatives, manage on-going design, construction, commissioning, operation or

maintenance activities to correct any adverse rail safety issues, and identify resource levels and training requirements to ensure rail safety issues

are adequately addressed. External parties involved with major contracts shall be required to define the responsibility; authority and interrelation of their own employees who manage, perform and verify work affecting rail safety.

Example of Verification: • Responsibilities and Authorities for managers, coordinators, supervisors,

contractors and staff have been generated to reflect rail safety requirements in discipline specific procedures and agreements.

• RS-PRC-027 Management, Responsibilities and Authorities Relative to Rail Safety

• The rail safety responsibilities and reporting relationships of all operational

positions within the organisation have been documented in Position Description Forms, which are individually issued to incumbent employees.

• Train Control Incident Reports and Fault Logs record rail safety problems and

act as a trigger for the initiation of corrective action.


ARG EXECUTIVE STRUCTURE

Figure 2.1. Executive Structure of the Australian Railroad Group (ARG) – ASR’s parent company.



ARG SENIOR MANAGEMENT STRUCTURE

Figure 2.2. Senior Management Structure of ARG showing position of Regional Transportation

Manager – Eastern Region. This officer is the senior manager within ASR who has the defined authority and responsibility for ensuring that the requirements of Australian Standard AS 4292 Railway safety management and this Plan are implemented and maintained.



ARG EASTERN REGION STRUCTURE – SOUTH AUSTRALIA

Figure 2.3. ARG Eastern Region (and ASR) Structure for

South Australia



ARG EASTERN REGION STRUCTURE – NEW SOUTH WALES

Figure 2.4. ARG Eastern Region (and ASR) structure for

New South Wales



ARG SAFETY & TECHNICAL TRAINING DEPARTMENT

Figure 2.5. ARG Safety & Technical Training Department.

(Provides support to ASR with regards to the development, delivery and maintenance of rail safety worker training).


uthern Railroad Document Number: RS-PLN-001


Figure 2.6. ARG Rollingstock Services Department provides support to ASR in relation to the management of the company’s rollingstock fleet.

ARG ROLLINGSTOCK SERVICES

Australia So



2.4. Safety Documentation (AS 4292.1 Section 2, 2.4.) ASR produces and maintains documentation, which addresses the organisation’s Rail Safety Management requirements. These documents are allocated a unique identifying code and title, which clearly distinguishes them as rail safety documents. ASR rail safety documents are developed in accordance with established templates, which are generated by the Rail Safety & Compliance Coordinators (SA) and (NSW) and typically incorporate: • a purpose or objective, • definitions, • references, • responsibilities, • a detailed description of the protocol involved, and • mechanisms for review and the implementation of identified changes. Contractors and other external parties involved in the performance of rail safety work for ASR are required, through agreements, to identify where documentation is needed and then develop, implement, monitor and structure continuous improvement initiatives to ensure compliance with rail safety requirements.


•

•

Procedures and Agreements have been and will continue to be developed to address Rail Safety Management System requirements. Reference to rail safety procedures within this plan – refer to Appendix B.



Australian Standard AS 4292

Code of Practice for the Australian Railway Network

Volume One Volume Two

Volume Three – Part One Operations & Safeworking

Volume Four Volume Five

ASR Rail Safety Management Plan

ASR Addendum Other Network Addenda

Interface Coordination Plans & Safety Interface

Agreements

ASR Emergency Response & Incident Management Plans

Various Rail Safety Procedures

ASR Operations Bulletins

ASR Air Brake and Train Handling Rules

ASR Network Operating Guide

Other Network Emergency Response & Incident Management Plans and rail safety procedures.

Other Network Appendices

Figure 3. Hierarchy of ASR Rail Safety Documents

2.5. Financial Capacity (AS 4292.1, Section 2.5.) ASR maintains adequate financial capacity and insurance cover to sustain safe railway operations. External parties involved with major contracts are obliged to demonstrate their financial capacity to undertake rail safety work for ASR. Examples of Verification: • Certificates of Currency for third party property and public liability insurance. • Annual reports and financial statements.



2.6. Regulatory Compliance (AS 4292.1, Section 2, 2.6)

ASR is aware of its statutory and regulatory responsibilities for rail safety as detailed in the various Rail Safety and Transport Acts and Regulations that apply to its operations and has established procedures and systems to ensure compliance with them. Wherever changes to current safe working practices; procedures; the scope and location of operations; or the technology used in rail safety work demonstrates a potential for material change, increasing previously determined risk levels, ASR shall consult the appropriate Regulatory Authority to determine whether its accreditation requires a variation or a new condition. The written approval of the appropriate Regulatory Authority shall be obtained before any material change is implemented.

External parties involved in major contracts shall be made aware of ASR’s responsibilities and regulatory requirements. These parties will be required to adopt ASR rail safety procedures, or develop their own complimentary systems and processes for ensuring compliance with them.


•

•

•

Routine review of rail safety-related legislation in a bid to identify changes that demonstrate a potential for impact on the organisation’s accreditation. Actions and processes that demonstrate compliance with conditions of accreditation issued by Regulatory Authorities. Distribution of this plan and related procedures as controlled documents to external parties.

2.7. Document and Data Control (AS 4292.1, Section 2, 2.7) The ASR Rail Safety & Compliance Coordinators (SA) and (NSW) manage a document control system that includes the registration, distribution and maintenance of controlled documents including rail safety procedures, plans and work instructions. These officers also manage the updating and withdrawal of documents consistent with the Management System procedure for Document and Data Control. The procedure for Document and Data Control outlines the protocol to be observed for updating or revising existing documentation as the result of feedback or structured review. Employees authorised to approve safety-related documents for issue are required to ensure that their contents are accurate, clear and concise. ASR rail safety-related documents and data are routinely reviewed and approved for adequacy by authorised officers prior to issue. Wherever possible, documents that require alteration are reviewed and approved by the originating officer, or an officer that has had adequate opportunity to familiarise themselves with pertinent background information. Controlled documents are allocated an identifying number from a master register.



This number and the current revision status are clearly displayed on the document in a bid to prevent the use of invalid or obsolete documents. The master register also records details of the document recipient(s) and the date of issue.

System procedures based on Quality Management principles are in place to ensure that safety records are captured, tabled, monitored and reviewed. External parties involved with major contracts will be required to comply with ASR procedures for document and data control, or demonstrate the existence of similar processes within their own management systems. Examples of Verification:

• •

RS-PRC-002 Procedure for Document Control. Regular audits of the organisation’s operations.

2.8. Management System Review (AS 4292.1, Section 2, 2.8) ASR employs a structured review process to ensure the ongoing effectiveness of its Railway Safety Management System. To this extent, regular Rail Safety Management System Review meetings are held. Meeting membership is drawn from ASR’s operations and marketing personnel. Meetings typically consider, but are not limited to: • the overall status of identified rail safety issues, • audit observations and recommendations for corrective action, • incident statistics and trends, and • accreditation issues and requirements for regulatory compliance. Minutes of Rail Safety Management System Review Meetings are recorded and retained by the Rail Safety & Compliance Coordinators (SA) and (NSW). External parties are invited to participate in Rail Safety Management System Review Meetings where the topic for consideration relates to their area of responsibility. External parties engaged on major contracts are required to develop and maintain similar processes for the ongoing review of their own management systems. Examples of Verification: • Minutes of Rail Safety Management System Review Meetings. • RS-PRC-005 Procedure for Management System Review. • RS-PRC-003 Procedure for Performing Internal Audits.

2.9. Railway Safety Audit (AS 4292.1, Section 2, 2.9) ASR has developed a program for monitoring compliance with documentation and procedures applicable to Rail Safety Management. Internal and where deemed necessary, external audits, are carried out in accordance with schedules, which are developed and managed by the Rail Safety & Compliance Coordinators (SA) and (NSW). Audits are scheduled on the basis of the status and importance of the activity being performed.



Audits may be conducted in accordance with Australian Standard AS 3911.1 Guidelines for auditing quality systems. The results of audits are documented and brought to the attention of the employee(s) having responsibility in the area being audited. The responsible employee(s) is required to take corrective action on any deficiencies found by the audit. The Regional Transportation Manager – Eastern Region is required to authorise all audit reports generated within ASR. These reports are retained by the respective Rail Safety & Compliance Coordinator and are considered as part of ASR’s Management System Review process. Major Contractors involved in the performance of rail safety work for ASR shall be required to provide ASR with evidence of the existence of a similar system of internal auditing. ASR may elect to conduct its own audit of a Major Contractors’ management system, relative to rail safety. This audit may be conducted by ASR personnel, or a third-party organisation and shall be arranged in conjunction with the party being audited. As further proof of the effectiveness of an organisation’ s management system, external parties possessing rail safety or quality accreditation (AS/NZS ISO 9002 Quality System Standard) may be required to provide ASR with evidence of their accreditation. Examples of Verification • Evidence of audit schedules and audit reports. • Evidence of non-conformance reports and “closed out” requests for corrective

action. • Evidence of current accreditation. • RS-PRC-003 Procedure for Performing Internal Audits. • RS-PRC-019 – Procedure for the Procurement of Goods and Services. • ASR-RSD-025 – Procedure for the Reporting of Non Conformances.



3. RISK AND INCIDENT MANAGEMENT 3.1. Identification of Risks (AS 4292.1, Section 3, 3.1) ASR has established procedures for the identification and management of risk in accordance with the requirements of Australian Standard AS/ NZ 4360:2004 Risk management and ARG Corporate Procedure C010-000-011. These procedures are systematically applied to all activities associated with ASR’s operations in a bid to identify any process that demonstrates a potential for detrimental impact on rail safety. Managers and Coordinators are responsible for conducting risk assessments prior to the introduction of a new service, function, or activity under their control and for identifying altered levels of risk associated with changes to existing practices. The latter may be carried out in response to specific circumstances, or as part of a scheduled review of a previously performed risk assessment. The identification of interface hazards and the management of any associated risk is carried out in conjunction with other affected parties as part of a formal risk management process. The Rail Safety & Compliance Coordinators (SA) and (NSW) are responsible for developing and maintaining a Register of Risks relative to the organisation’s rail safety activities. External parties involved in major contract work for ASR shall be required to develop and implement similar risk management processes and assist ASR in the performance of risk assessments and the development of treatment plans and schedules for activities and functions which are either under their control or, involve them in some capacity. 3.2. Risk Control Measures (AS 4292.1, Section 3, 3.2) ASR applies risk control measures consistent with the requirements of its procedure for Risk Management. This process involves the identification, analysis and quantification of risk. Medium and High levels of risk, or any increase in the level of a previously determined risk, requires management intervention and the development of a dedicated treatment plan. Responsibilities and timeframes for the implementation of treatment strategies and control measures are assigned as part of this process. A variety of techniques are employed to mitigate identified risks including operational controls, engineering modifications and changes to procedures. Example of Verification: • ASR Risk Register. • Plan for systematic review of risk associated with the organisation’s operations. • Risk Evaluation Worksheets and Risk Treatment Plans/Schedules. • Development and implementation of processes and control measures for the

management of risk. • Review of risk levels associated with analysis of incident trends. • ASR-RSD-012 – Procedure for Risk Management.


3.3. Major Incident Management (AS 4292.1, Section 3.3.) 3.3.1. Emergency Response ASR maintains detailed procedures for the management of emergencies and incidents that may occur on the ASR Railway Network. ASR also complies with the incident management requirements of other network providers when operating on their systems and where required, as part of an access agreement, interface coordination plan or safety interface agreement, develops and maintains its own complimentary emergency response and incident management protocols. The ASR Emergency Response Plan and Incident Management Procedure contain details of the organisation’s response to emergencies and incidents; its call out protocol; guidelines for site management and liaison with emergency services personnel; and the steps to be taken for initiating an investigation. In a bid to enhance its emergency response preparedness, ASR routinely participates in emergency response workshops and simulated incident exercises. It is also a key member of the Northern Territory Rail Safety Committee, which is actively involved in developing and maintaining the emergency response capabilities of all organisations operating on the Tarcoola – Darwin Railway. Examples of Verification; • •

RS-PRC-006 ASR Plan for ‘On-Rail’ Emergencies RS-PRC-007 ASR Procedure for the Management of ‘On-Rail’ Incidents

Figure 4. ASR is a member of the NT Rail Safety Committee. Committee representatives are seen here attending a freight train familiarity workshop at Roe Creek siding near Alice Springs.




3.3.2. Investigation ASR investigates occurrences relative to its operations in accordance with established corporate and regional protocols. The authority for initiating and managing investigations into the cause of rail safety accidents and incidents and developing and implementing recommendations to prevent a recurrence - including those arising from independent investigations commissioned by a Regulatory Authority - resides with the Regional Transportation Manager - Eastern Region in line with established procedures. Major Contractors engaged in the performance of rail safety work for ASR shall be required to comply with the requirements of ASR’s incident investigation procedures, regardless of the existence of any other systems that they may already maintain for the management of incidents. Major Contractors will be obliged to participate in the ASR incident investigation process relative to their area of involvement and implement any corrective actions that may be identified as being required to prevent a re-occurrence of a rail safety incident. Examples of Verification: • RS-PRC-008 Procedure for Incident Reporting • Existence of investigation reports, complete with recommended corrective

actions and confirmation of incident closure.

3.3.3. Recording and Analysis The Regional Transportation Manager – Eastern Region is responsible for ensuring that details of rail safety incidents as defined in AS 4292:1995 Part 1 (Appendix ‘C’) and/or any applicable Act or Regulation, are captured and recorded. To facilitate this process, the Rail Safety & Compliance Coordinators (SA) and (NSW) have developed and maintain databases of the organisation’s rail safety incidents relative to their respective areas of responsibility. The resultant statistical information is used to explore the existence of trends, which in turn may be evidence of an underlying systematic or systemic failure. These incident trends are considered as part of the ASR Management System Review process. Examples of Verification: • Transport Control Incident Report Log (containing details of all incidents involving

ASR). • Minutes of Risk Management Review Meetings detailing incident trends for period

under review. • ASR Annual Rail Safety Report.



3.3.4. Review and Rectification Procedures In accordance with established protocols, Business Managers and Coordinators are required to prepare investigation reports, including recommendations for corrective action, for any significant incident that occurs in their area of responsibility. The Regional Transportation Manager - Eastern Region reviews all rail safety investigation reports and has the authority to accept, reject or request modifications to proposed corrective actions. Once approved, the onus is on the relevant Manager or Coordinator to implement the recommended remedial action. Upon verification that corrective action has been implemented, the Regional Transportation Manager – Eastern Region will recommend closure of the incident investigation. If deemed necessary, this officer may convene a working party to investigate and report on an incident and/or consider recommended corrective action. Alternatively, he/she may commission an external investigation and report, conducted by a suitably qualified and experienced third party. Investigation reports and recommendations may be considered as part of the ASR Management System Review Process.

Examples of Verification: • RS-PRC-008 Procedure for Incident Reporting. • Investigation reports, containing evidence of the implementation of corrective

actions. • Risk Management Review Meeting minutes.

4. PERSONNEL MANAGEMENT (AS 4292.1, Section 4)

4.1. General

ASR rail safety workers are required to possess and maintain adequate levels of fitness and competence in order to carry out the work required of them. Major Contractors engaged in rail safety work for ASR are required to provide evidence of their employees’ ability to meet nominated fitness standards. They are also required to demonstrate appropriate levels of technical knowledge, communication skills and competence to preform rail safety work.

4.2. Worker Competence ASR establishes, assesses, maintains and records the competence of its employees and those of Major Contractors who are engaged in rail safety work for the company. Rail Safety Worker training programs are accredited and delivered by suitably qualified and recognised training providers. Position Description Forms, detailing the required levels of competency, have been developed for all operational positions within the organisation. Example of Verification: • ASR Certificates of Competency and associated record system.



•

•

RS-PRC-013 Procedure for the Development and Maintenance of Worker Competency RS-PRC-014 Verification of Competency – Contract Rail Safety Workers.

4.3. Health and Fitness ASR has adopted the National Transport Commission (NTC) National Standard for the Health Assessment of Rail Safety Workers as its principal protocol for assessing and maintaining the health of its operational personnel. ASR also applies the Victorian Code of Practice for the Health Assessment of Rail Safety Workers to all staff engaged in rail safety work in that State. In conjunction with the ARG Human Resource department, Regional Depot Officers and staff maintain an electronic database that records the medical status of all ASR employees and where appropriate, that of contract employees, engaged in rail safety work. This database is accessible by certain nominated personnel including Roster Coordinators and Transport Control for the purpose of ensuring that employees have the requisite fitness to carry out tasks allocated to them. ASR has developed and maintains a Fatigue Management system, which embraces a shared responsibility (employer/employee) approach to the issue of fatigue management and is designed to ensure that operational employees receive adequate restorative sleep between shifts. As part of this system, rosters are routinely reviewed by Line Managers in a bid to identify fatigue-inducing shifts and work practices and establish appropriate risk-mitigation strategies.

Consistent with the Australian Railroad Group's Fatigue Management Policy, ASR has incorporated a fatigue management module into its training program for all operational grades and continues to support research into the subject of work-related fatigue via ARG’s membership in the Railway Industry Sleep Research Consortia.

Examples of Verification: • ARG Corporate Policies on Fatigue Management and the Health Assessment of

Rail Safety Workers. • RS-PRC-011 Procedure for Performance of Health Assessments. • RS-PRC-030 Procedure for Fatigue Management. • Minutes of ASR Fatigue Management Review Meetings. • Risk categorisation of rail safety work for health assessment purposes. • ASR medical record database. 4.4. Drug and Alcohol Control ASR has adopted the ARG Corporate Policy for the Control of Alcohol and other Drugs and Procedure for Alcohol and Other Drug Testing. The Policy and procedure have been developed as part of an overall strategy which is designed to ensure that employees engaged in rail safety work are not affected by alcohol or other drugs. Both documents have been written to reflect the specific requirements of the jurisdictions in which ASR operates. Breath analysis and drug testing of ASR rail safety workers is conducted randomly and in response to certain incidents such as derailments and safeworking breaches.



ASR Authorised Officers are approved by the appropriate Regulatory Authority to collect breath and urine samples for analysis and receive regular training in the collection of such samples by qualified and suitably experienced collection agencies. Examples of Verification: • ARG Corporate Policy for Alcohol and Other Drugs C002-000-001. • ARG Corporate procedure for Alcohol and Other Drugs Testing C010-000-003. • List of Authorised Officers. 4.5. Literacy and Language Skills

The ASR interview and recruitment process ensures that all employees engaged in rail safety work possess adequate literacy and language skills. In addition, regular employee performance reviews are used to identify and address any shortcomings in these areas. Examples of Verification: • RS-PRC-012 Procedure for Literacy and Language Skills. 5. PROCUREMENT OF GOODS AND SERVICES 5.1 Contract Management (AS 4292.1, Section 5, 5.1.) ASR has established and maintains procedures for the selection of contractors and the management of contracts in respect to rail safety. The ongoing review of a contractor’s ability to perform rail safety work, including the coordination of these activities across all parts of the organisation, forms a critical part of ASR’s contract management process. The type and degree of control exercised by ASR over its contractors is dependent upon the type of activity involved and the level of risk this activity poses to rail safety. Where appropriate, consideration may also be given to the demonstrated capability and safety performance of a contractor. ASR manages the performance of its contractors by:

• •

•

• •

convening regular meetings with them, setting key performance indicators (in conjunction with the Contractor) relevant to

rail safety, conducting random inspections/audits of contractor product against KPI’s and

nominated specifications, directly overseeing the activities of contractors eg at work sites, and seeking verifiable evidence of their capabilities and safety performance.

Verification of a contractor’s capabilities and safety performance may include, but not be limited to: • the possession of a current rail safety or quality accreditation, • the existence of an active rail safety/quality management plan/system,



• the existence of an active internal audit process that includes a capacity to address identified system/process deficiencies in an effective and timely manner,

• a demonstrated understanding of, and ability to meet product/service specifications and standards for worker competence,

• a demonstrated financial capacity to undertake the work being performed, • listing as a preferred tenderer and/or provider of goods and services, and • references from reliable industry sources. Any failure on the part of a Major Contractor to deliver a requested product, or any part of it – including compliance with specified rail safety requirements - will be cause for immediate and direct intervention on the part of ASR. The nature of this intervention will be directly proportionate to the extent of the non-conformance. At no stage will rail safety be compromised. Major Contractors and other external parties can sub-contract work at their discretion to either accredited or non-accredited bodies, but shall remain responsible for the safety performance of the sub-contractor at all times. Examples of Verification: • RS-PRC-019 Procedure for the Procurement of Goods and Services. • Audit of Major Contractor performance relative to rail safety. • Minutes of meetings with Contractors. • Register of preferred tenderer and/or providers of goods and services. 5.2. Purchasing (AS 4292.1, Section 5, 5.2.) ASR and its Major Contractors shall maintain procedures for ensuring that services and products associated with, or demonstrating a potential for impact upon rail safety, conform to nominated standards and specified requirements, including any relevant conditions of accreditation.

Where appropriate, records enabling the traceability of supplied items are maintained and purchasing documents reference standards and adequately detailed rail safety requirements.

Examples of Verification: • Personnel with discipline specific expertise work closely with Suppliers so that

engineering, safety and compliance requirements for critical items of inventory are in place.

• Purchasing documents are endorsed with details of applicable standards that need to be met.

• RS-PRC-019 Procedure for the Procurement of Goods and Services. 6. ENGINEERING AND OPERATIONAL SYSTEMS SAFETY

(AS 4292.1, Section 6) 6.1. General (AS 4292.1, Section 6, 6.1.)

ASR has established and maintains engineering and operational standards, which it applies to its discipline-specific functions and activities.



These same standards are imposed on Major Contractors via specific conditions in commercial agreements and the establishment of Interface Coordination Plans and Safety Interface Agreements. Managers and Coordinators in the civil, electrical and mechanical engineering disciplines, as well as in the operations and train control areas, have the responsibility to ensure that standards and codes of practice are adhered to and monitored for effectiveness. The authority to initiate any changes deemed necessary also resides with these personnel. Descriptions and requirements applicable to Life Cycle Phases, as described in Table B1 of Australian Standard AS 4292 parts 1 and 2 and Table A1 of parts 4 and 5, are used as appropriate. Examples of Verification: The following Tables summarise the designated positions within ASR with the discipline-specific responsibility and authority to ensure that engineering and operational systems safety standards are developed, implemented, monitored, updated and maintained in the areas of track and civil infrastructure; rollingstock; signalling and telecommunications; operations and train control; and interfaces with other transport modes.

Designated Position Responsibility and

Authority Engineering and

Operational Standards Regional Transportation Manager – Eastern Region

Overall responsibility for: • Rail safety relating to ASR’s

railway operations in all relevant jurisdictions.

• Rail safety relating to ASR’s railway network in SA and WA Provision of Train Control services and systems for safe working on the ASR railway network.

• Maintenance and operation of the company’s rollingstock fleet, including items of leased rollingstock, in accordance with the requirements of network owners and industry standards.

• Ensuring the recovery of company owned/leased locomotives and rollingstock involved in incidents/failures.

•

•

•

•

•

•

•

•

•

•

•

Australian Standard AS 4292 Parts 1-6. ASR Rail Safety Management Plan RS-PLN-001. Code of Practice for the Australian Railway Network. ASR Addendum to the Operations CoP, OP-COP-001. ASR Network Operating Guide ASR-RSD-019.

ROA Manual of Engineering, Standards and Practices (Vol 1 & 2). AAR (Operations & Maintenance Dept, Mechanical Division) Manual of Standards and Recommended Practices. ROA Minimum Train Examination Requirements for Interstate Trains (1989). Agreements and contracts with various maintenance contractors. RIC Train Operating Conditions Manual and Rollingstock Standards. Other railway network standards for the operation and maintenance of rollingstock.



Designated Position Responsibility and Authority

Engineering and Operational Standards

Regional Transportation Manager – Eastern Region • Availability and effectiveness of

all track, telecommunications, electrical (signalling) and civil infrastructure which collectively forms the ASR railway network.

• Operation of all ASR freight and

passenger services. • Operation of all ASR Terminals

and Depots. • Timetabling and logistics relative

to ASR’s railway network. • Ensuring regulatory compliance

with Rail Safety-related legislature, applicable to the organisation’s activities.

• Ensuring the health and

competency of ASR rail safety workers in accordance with the requirements of network owners and regulatory authorities.

• Ensuring that Emergency and

Incident Management procedures are in place for the ASR Railway Network and for operation on other railway networks.

• Participation in and review of incident Investigations relative to the organisations operations and railway network.

• Development and maintenance of Interface Coordination Plans and Safety Interface Agreements.

•

•

•

•

•

•

•

•

•

FRA Track Safety Standards. AN Rail Track Maintenance Guide. ASR/Transfield Services Maintenance Contract (SA Region only). Requirements of the ACA governing the use and maintenance of radio and telecommunication systems.

Various network rule books, operating manuals, codes of practice and interface coordination plans.

Rail Safety Acts, Bills and Regulations as detailed in Section 1.3 above.

• Transport and Distribution Training Australia Rail Operations Units.

• NTC National Standard and Victorian Code of Practice for Health Assessment of Rail Safety Workers.

ASR and other network’s emergency response and incident management plans.

Various operating procedures and work instructions. Various standards, engineering and technical specs, and drawings.

• ASR Rail Safety Management Plan RS-PLN-001





Operational Standards Transportation Managers • Management of all ASR freight

and passenger services operating in the Transportation Manager’s area of responsibility.

• Operation of all ASR Terminals and Depots within the Transportation Manager’s area of responsibility.

• Maintenance and operation of

the company’s rollingstock fleet, including items of leased rollingstock in the Transportation Manager’s area of responsibility, in accordance with the requirements of network owners and industry standards.

• Ensuring the recovery of company owned/leased locomotives and rollingstock involved in incidents/failures in the Transportation Manager’s area of responsibility.

• Ensuring that Rail Safety

Workers operating within the Transportation Manager’s area of responsibility are fit and competent to carry out their allotted rail safety duties.

• Ensuring that Emergency and Incident Management procedures are developed and maintained for the defined operational area.

• Initiation of incident Investigations and reports relative to the defined operational area.

• Developing, maintaining and

monitoring ICP’s relative to the defined operational area.

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

Management of all ASR freight and passenger services operating in the Business Manager’s area of responsibility. Australian Standard AS 4292 Parts 1-6. ASR Rail Safety Management Plan RS-PLN-001. Code of Practice for the Australian Railway Network ASR Addendum to the Operations CoP, OP-COP-001. ASR Network Operating Guide ASR-RSD-019.

ROA Manual of Engineering, Standards and Practices (Vol 1 & 2). RIC Train Operating Conditions Manual and Rollingstock Standards. AAR (Operations & Maintenance Dept, Mechanical Division) Manual of Standards and Recommended Practices. ROA Minimum Train Examination Requirements for Interstate Trains (1989). Other railway network standards for the operation and maintenance of rollingstock. Contracts and agreements with various maintenance contractors.

Transport and Distribution Training Australia Rail Operations Units. NTC National Standard and Victorian Code of Practice for Health Assessment of Rail Safety Workers. Various network rule books, operating manuals, codes of practice and interface coordination plans.

• Various standards, engineering and technical specifications, and drawings.

• ASR Rail Safety

Management Plan RS-PLN-001.





Train Management Coordinator

• Provision of Train Control services for ASR railway network and Tarcoola – Darwin railway (under commercial contract to FreightLInk

• Provision of train planning and logistical services relative to ASR’s SA-based operations.

• Develop, maintain, apply, monitor and update operational procedures and safe working systems relative to Train Control on the ASR rail network and Tarcoola – Darwin railway.

• Develop, maintain, apply, monitor and update operational procedures and safe working systems relative to Train Planning.

• Convey system requirements to staff and monitor their activities to ensure compliance.

• Rostering of staff on the

Adelaide and Port Augusta permanent and casual rosters in conjunction with the appropriate Operations Coordinators.

• Ensure the competency and health of all staff under the Manager’s direct supervision.

• Conduct/participate in incident investigations relative to the Manager’s area of responsibility.

• Apply appropriate emergency

response and incident management plans as required.

• Ensure the reporting of rail safety incidents via the issue of TCIR’s.

• Ensure the reporting and promulgation of track conditions and abnormal operating circumstances to all railway users of the ASR rail network and Tarcoola – Darwin railway.

• Compilation of various financial and statistical reports relative to train operations and network availability.

•

•

•

•

•

•

•

•

•

•

•

Australian Standard AS 4292 Parts 1-6. ASR Rail Safety Management Plan

RS-PLN-001. Code of Practice for the Australian Railway Network. ASR Addendum to the Operations CoP, OP-COP-001. ASR Network Operating Guide ASR-RSD-019. ROA Minimum Train Examination Requirements for Interstate Trains (1989). Various network operating manuals, codes of practice and interface coordination plans. ASR and other network’s emergency response and incident management plans.

Regulatory requirements, EBA and various industrial agreements.

Transport and Distribution Training Australia Rail Operations Units. NTC National Standard and Victorian Code of Practice for Health Assessment of Rail Safety Workers.

• Various network rule books, operating manuals, codes of practice and interface coordination plans.

• Various regulatory

requirements, Rail Safety Acts and ASR Rail Safety Management Plan

RS-PLN-001. • ICP’s, Safety Interface

Agreements and various commercial contracts.





Operational Standards Operations Coordinators • Management of ASR rail safety

workers, including Depot Coordinators and Driver Coordinators in the Operations Coordinator’s area of responsibility.

• Develop, maintain, apply, monitor and update operational procedures and safe working systems relative to the Operations Coordinator’s area of responsibility.

• Conveying operational and safeworking requirements to staff under the Operations Coordinator’s direct supervision and monitoring their activities to ensure compliance.

• Rostering of staff under the

direct supervision of the Operations Coordinator in conjunction with train planning, deployment and rostering staff.

• Ensure the competency and

health of all staff under the Operations Coordinator’s direct supervision.

• Assist the Coordinator Technical Training (ER) to develop training programs in response to new initiatives and identified deficiencies.

• Conduct/participate in incident

investigations relative to the Operations Coordinator’s area of responsibility.

•

•

•

•

•

•

•

•

•

•

•

•


RS-PLN-001. Code of Practice for the Australian Railway Network. ASR Addendum to the Operations CoP, OP-COP-001. ASR Network Operating Guide ASR-RSD-019. ROA Minimum Train Examination Requirements for Interstate Trains (1989). Various network operating manuals, codes of practice and interface coordination plans. ASR and other network’s emergency response and incident management plans. Various operating procedures and work instructions.












Operational Standards Depot Coordinators • Coordination of all rail safety

activities that take place in, emanate from, or involve the resources of the Depot Coordinator’s depot(s) and/or area of responsibility.

• Develop, maintain, apply, monitor and update operational procedures and safe working systems relative to the Depot Coordinator’s area of responsibility.

• Conveying operational and safeworking requirements to staff under the Depot Coordinator’s direct supervision and monitoring their activities to ensure compliance.

• Rostering of staff under the

direct supervision of the Depot Coordinator or in conjunction with train planning, deployment and rostering staff.

• Ensure the competency and health of all staff under the Depot Coordinator’s direct supervision.

• Assist the Coordinator Technical Training (ER) and Driver Coordinators develop training programs in response to new initiatives and identified deficiencies.

• Conduct/participate in incident

investigations relative to the Depot Coordinator’s area of responsibility.

•

•

•

•

•

•

•

•

•

•

•

•


RS-PLN-001. Code of Practice for the Australian Railway Network. ASR Addendum to the Operations CoP, OP-COP-001. ASR Network Operating Guide ASR-RSD-019. ROA Minimum Train Examination Requirements for Interstate Trains (1989). Various network operating manuals, codes of practice and interface coordination plans. ASR and other network’s emergency response and incident management plans. Various operating procedures and work instructions.












Driver Coordinators • Develop, implement, monitor and maintain plans for the assessment and training of ASR rail safety workers in operational and safeworking protocols.

• Conduct on-job assessments of ASR rail safety workers and deliver theoretical training to ASR rail safety workers in accordance with operational and safeworking requirements.

• Deliver training in response to the implementation of new initiatives/protocols.

• Deliver remedial training in response to identified deficiencies in rail safety worker competence.

• Generate assessment reports and training records.

• Verify/assess the competency of contract rail safety workers and arrange for remedial training where required.

• Assist the Coordinator Technical Training (ER) in developing training programs in response to new initiatives and identified deficiencies.

• Conduct/participate in incident investigations relative to the Driver Coordinator’s area of responsibility.

•

•

•

•

•

•

•

•

•

•


RS-PLN-001. Code of Practice for the Australian Railway Network. ASR Addendum to the Operations CoP, OP-COP-001. ASR Network Operating Guide ASR-RSD-019. ROA Minimum Train Examination Requirements for Interstate Trains (1989). Various network operating manuals, codes of practice and interface coordination plans. ASR and other network’s emergency response and incident management plans. Various operating procedures and work instructions. Transport and Distribution Training Australia Rail Operations Units.

• Various regulatory requirements, Rail Safety Acts and ASR Rail Safety Management Plan







Operational Standards Coordinator Technical Training (Eastern Region)

• Develop, implement and review competency-based training programs in response to identified needs and new initiatives.

• Coordinate the delivery of training and assessment programs in conjunction with Driver Coordinators, Depot Coordinators and Operations Coordinators.

• Conduct on-job assessments of ASR rail safety workers and deliver theoretical training to ASR rail safety workers in accordance with operational and safeworking requirements.

• Maintain training and assessment records.

• Operate scheduled train services to maintain competency as a Locomotive Driver.

• Deliver training in response to the implementation of new initiatives/protocols.

• Deliver remedial training in response to identified deficiencies in rail safety worker competence.

• Verify/assess the competency of contract rail safety workers and arrange for remedial training where required.

• Conduct/participate in incident investigations relative to the Coordinator Technical Training’s area of responsibility.

•

•

•

•

•

•

•

•

•

•


RS-PLN-001. Code of Practice for the Australian Railway Network. ASR Addendum to the Operations CoP, OP-COP-001. ASR Network Operating Guide ASR-RSD-019. ROA Minimum Train Examination Requirements for Interstate Trains (1989). Various network operating manuals, codes of practice and interface coordination plans. ASR and other network’s emergency response and incident management plans. Various operating procedures and work instructions. Transport and Distribution Training Australia Rail Operations Units.

• Various regulatory requirements, Rail Safety Acts and ASR Rail Safety Management Plan







Operational Standards Perway Superintendent (SA) • Maintain ASR track and civil

infrastructure to nominated standards.

• Develop, maintain, monitor and update standards and procedures for the maintenance and review of ASR’s track, civil and electrical (signalling) infrastructure – including the design, commissioning and construction of new sidings and line sections.

• Convey system requirements to contract service providers and external parties and monitor their activities to ensure compliance.

• Participate in incident Investigation and reporting relative to the track and civil infrastructure disciplines.

•

•

•

•

•

•

•

•

•

•

•

•

• •


RS-PLN-001. FRA Track Safety Standards. AN Rail Track Maintenance Guide. Code of Practice for the Australian Railway Network. ASR Addendum to the Operations CoP, OP-COP-001. ASR Network Operating Guide ASR-RSD-019. ROA Manual of Engineering, Standards and Practices (Vol 1 & 2). ASR/Transfield Maintenance Agreement. Various interface coordination plans. ASR emergency response and incident management plans. Civil engineering technical specifications and drawings. Rail network plans. Training manuals, work instructions and handbooks.

• ICP’s, Safety Interface Agreements and various commercial contracts.




Authority Engineering and Operational Standards

Equipment Manager (SA) and Assistant Equipment Manager (SA)

• Maintain ASR’s locomotive and rolling stock fleets, including items of leased rollingstock, to nominated standards.

• Develop, maintain, apply, monitor and update standards and procedures for the maintenance and review of ASR’s locomotive and wagon fleets – including the design, commissioning and construction of new units and componentry.

• Develop, maintain, monitor and update standards and procedures for the maintenance and review of ASR’s telecommunication system – including the design, construction and commissioning of new telecommunication systems, equipment and component parts.

• Maintain ASR’s communications systems and equipment to nominated standards.

• Convey system requirements to contract service providers and external parties and monitor their activities to ensure compliance.

• Participate in incident Investigation and reporting relative to the rolling stock discipline.

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

Australian Standard AS 4292 Parts 1-6. ASR Rail Safety Management Plan RS-PLN-001. Code of Practice for the Australian Railway Network. ASR Addendum to the Operations CoP, Op-COP-001. ASR Network Operating Guide ASR-RSD-019. ROA Manual of Engineering, Standards and Practices (Vol 1 & 2). AAR (Operations & Maintenance Dept, Mechanical Division) Manual of Standards and Recommended Practices. ROA Minimum Train Examination Requirements for Interstate Trains (1989). RIC Train Operating Conditions Manual and Rollingstock Standards. Requirements of the ACA governing the use and maintenance of radio and telecommunication systems. Contractual agreements with contract maintenance providers. Various network operating manuals, codes of practice and interface coordination plans. ASR and other network’s emergency response and incident management plans. Manufacturers’ specifications and service bulletins. Mechanical engineering and telecommunications technical specifications and drawings. Training manuals, work instructions and handbooks.






Rail Safety & Compliance Coordinators (SA) and (NSW)

• Develop, implement, monitor and maintain ASR’s Rail Safety Management System relative to the Rail Safety & Compliance Coordinator’s area of responsibility.

• Develop, maintain, monitor and update rail safety, engineering and operational standards and procedures relative to the Rail Safety & Compliance Coordinator’s area of responsibility.

• Develop, maintain, monitor and update ASR’s Internal Audit program relative to the Rail Safety & Compliance Coordinator’s area of responsibility.

• Develop, maintain, monitor and update interface coordination plans.

• Convey system requirements to appropriate staff and monitor their activities to ensure compliance.

• Participate in incident Investigation and reporting relative to the region involved.

•

•

•

•

•

•

•

•

•

•

•

Australian Standard AS 4292 Parts 1-6. ASR Rail Safety Management Plan RS-PLN-001. Code of Practice for the Australian Railway Network. ASR Addendum to the Operations CoP, OP-COP-001. ASR Network Operating Guide ASR-RSD-019. Rail Safety legislature and standards. Transport and Distribution Training Australia Rail Operations Units. NTC National Standard and Victorian Code of Practice for Health Assessment of Rail Safety Workers. Various network rule books and operating manuals, codes of practice, technical specifications. ASR and other network’s emergency response and incident management plans. Policies, procedures and work instructions.






Regional Depot Officer • Develop, implement, monitor and maintain plans for rail safety worker health assessments in conjunction with roster and deployment officers, Depot Coordinators, etc.

• Ensure rail safety workers present for health assessments in accordance with the above mentioned health assessment plan and ASR protocols.

• Maintain health assessment records for ASR rail safety workers including dates for re-assessment.

• Develop and maintain hard copy files on rail safety worker competence in conjunction with the Technical Trainer East and Driver Coordinators.

• Maintain and monitor position descriptions for rail safety workers.

• Perform various human resource and OH&S functions that have some relevance to rail safety.

•

•

•

•

•

•

•

•

•

•

Australian Standard AS 4292 Parts 1-6. ASR Rail Safety Management Plan RS-PLN-001. Code of Practice for the Australian Railway Network. ASR Addendum to the Operations CoP, OP-COP-001. ASR Network Operating Guide ASR-RSD-019. Rail Safety legislature and standards. Transport and Distribution Training Australia Rail Operations Units. NTC National Standard and Victorian Code of Practice for Health Assessment of Rail Safety Workers. Various network rule books and operating manuals, codes of practice, technical specifications. Policies, procedures and work instructions.




6.2. Process Control (AS 4292.1, Section 6, 6.2.) ASR ensures adherence to the Standards referred to in clause 6.1. General above by establishing processes and documented procedures for the performance of activities related to rail safety in a controlled manner. Compliance with these processes and procedures are subject to routine review as part of the ASR Internal Audit program and Management System Review process. Similarly, the procedures that detail these processes are subject to regular review by technical officers and operational personnel to ensure the ongoing adequacy and accuracy of subject matter. Examples of Verification:

• Appendix B identifies discipline specific procedures and documents, which

address relevant issues such as service delivery, installation and maintenance activities.

6.3. Design and Development (AS 4292.1, Section 6, 6.3.) Officers involved in discipline-specific activities are responsible for the identification, adoption/development and implementation of procedures to control and verify the design of engineering and operational systems. Design and Development work carried out for ASR by Major Contractors, consultants and other parties is controlled via the establishment of strict commercial agreements that stipulate ASR’s requirements for product quality; the need to meet nominated standards and codes of practice; service delivery; installation and maintenance. Contractor performance in meeting ASR’s requirements is routinely assessed against agreed Key Performance Indicators. Regular progress meetings are convened to track contractor performance and review process documentation for demonstrated compliance with nominated standards and delivery schedules. Where required, engineering and operational system procedures are developed which: • • •

allocate responsibility for each design or development activity, schedule safety reviews at both the design input and output stages, assign responsibility for design verification functions, and the control of design changes.

Examples of Verification: • Where applicable, responsibilities and authorities for Rail Safety Management are

documented which identify the designated positions that have responsibility for discipline specific design and development functions.

• Minutes of contract meetings associated with rollingstock modification projects

detail quality control issues and track delivery progress to date.



• •

6.4. Inspection and Testing (AS 4292.1, Section 6, 6.4.) 6.4.1. General Requirements ASR applies existing standards and where necessary, develops and implements its own procedures to ensure that appropriate levels of inspection and testing of engineering and operational systems are carried out by suitably qualified personnel.

Inspection and testing is performed on both a scheduled basis in accordance with established specifications and standards and in response to defined events and abnormal operating conditions. All equipment used for testing purposes undergoes periodic calibration to ensure that measurement capability is achieved and maintained. In the rolling stock area, train examinations are carried out at planned intervals at depots and in the field to ensure that equipment is functioning within nominated standards. Service and maintenance programs, based upon industry standards, manufacturer’s recommended practice and operational experience, are applied to ensure that safety-related parameters are met. Inspections of track condition and maintenance activities are carried out in accordance with an established plan, which is based on the requirements of nominated industry standards and commercial requirements. Inspections associated with defined events are carried out whenever circumstances dictate. Similarly, in the train control and communications areas, regular inspections and audits are carried out to ensure ongoing compliance with engineering and operational standards. In-service monitoring is carried out wherever the integrity of a system or the operational capacity of a piece of equipment cannot be established prior to commissioning. In all cases, criteria for in-service monitoring are established and documented for reference purposes. ASR’s requirements for Inspection and Testing are conveyed to Major Contractors via the inclusion of specific conditions in commercial agreements and the nomination of standards and specifications in Interface Coordination Plans and Safety Interface Agreements, letters of intent and purchase orders.

6.4.2. Inspection Frequency ASR maintains inspection and testing schedules, based on the requirements of established standards and the nature/known condition of the system element involved. In the civil infrastructure and rollingstock areas, variables such as traffic volume, operational speed and axle loading are constantly reviewed to determine if scheduled inspection periods are adequate. Other variables are also considered when determining the frequency of inspections. These include:

The existence of adverse environmental factors, the known or estimated rate of deterioration of critical system elements,



• •

•

•

the consequence of the failure of any part of the system, and experience of previous incidents and accidents.

Inspections carried out in response to abnormal operating conditions and incidents are not considered part of ASR’s scheduled inspection and testing programs. 6.4.3. Inspection and Test Records

ASR maintains inspection and test records that provide verifiable evidence of the condition of all system elements critical to rail safety. These records are routinely reviewed to ensure system compliance against nominated standards, Key Performance Indicators and commercial objectives. They may also be reviewed in a bid to identify the existence of failure modes and the need for increased monitoring and/or the implementation of corrective action. Inspection and Test records are maintained in accordance with the requirements of ASR’s document control protocols. Inspection and Test Records of Major Contractors are reviewed as part of ASR’s Internal Audit program and Contract Management process. 6.4.4. Inspection and Test Status ASR uses a variety of means to identify the inspection and test status of items of infrastructure, rolling stock and operational equipment to ensure that only those items that have passed inspection and testing are made available for use. These mechanisms include, but are not be limited to:

use of the electronic Freight Management System (FMS) to record rollingstock classes that meet nominated operating parameters on the ASR rail network and the Tarcoola – Darwin railway. Rollingstock classes that have not been qualified and therefore pose a potential risk to the network, its users and the public, generate a flag when they are entered onto train consist documentation. the green and red carding of rolling stock,

• the noting of defective vehicles on train consist sheets, • the issuing of train running and track condition reports, • the erection of track-side signage, speed restriction boards, flags and detonators, • the issuing of non-conformance reports in response to identified system or

process deficiencies. 6.5. Method of Assessment (AS 4292.1. Section 6, 6.5.) ASR applies standards and protocols for assessing the condition of operational and engineering system elements - especially in relation to track and civil infrastructure, telecommunications and rollingstock - and the rate of their deterioration as determined by scheduled inspections and testing. These standards define the response interval between inspection and assessment and are designed to ensure the ongoing integrity and availability of system elements.



• • • • •

6.6. Corrective Actions (AS 4292.1, Section 6, 6.6.) ASR initiates corrective action whenever the assessed safety condition of a system element: • causes the infringement of safety standards, • causes risk to exceed acceptable levels, or • reaches prescribed levels for intervention. The effectiveness of remedial action is monitored to ensure that the residual risk is consistent with the acceptable level of risk for the system element involved.

This process is consistent with the methodology detailed in Australian Standards AS/NZS 4360:2004 Risk management and AS/NZS 3931:1998 Risk analysis of technological systems. Prescribed intervention levels for safety-related items are reviewed for adequacy. Non Conformance Reports are generated to prevent re-occurrence when prescribed intervention levels or safety standards have been breached.

6.7. Detailed Requirements (AS 4292.1, Section 6, 6.7.) Systems and procedures have been developed to ensure ongoing compliance of system elements with the standards and procedures referred to above. These systems and procedures address the following technical areas: • track and civil infrastructure, • signalling and telecommunications, • rollingstock, • operational systems, and • interfaces with other transport modes.

7. INTERSTATE OPERATION (AS 4292, Section 7) 7.1. General (AS 4292, Section 7, 7.1.) ASR operates interstate train services in the following jurisdictions:

South Australia (on track owned by ARTC Ltd) Western Australia (on track owned by ARTC Ltd and WestNet Rail) New South Wales (on track owned by ARTC Ltd and RIC) Northern Territory ( on track owned by FreightLInk) Victoria (on track owned by ARTC Ltd).

ASR is familiar with, and adheres to, the common essential safety requirements for access to the abovementioned railways, as stipulated by the Network Providers. Although connected to the Australian Rail Network at several interface points, the ASR railway network is an intrastate railway.



•

•

•

•

•

• • •

7.2. Route Designation (AS 4249, section 7, 7.2.) Not applicable. 7.3. Safety Management of the Interstate System (AS 4292, section 7, 7.3.) 7.3.1. General requirements (AS 4292, section 7, 7.3.1.) As an interstate operator of railway services, ASR applies, develops, implements and maintains systems which provide for rail safety in accordance with the requirements of Australian Standard AS 4292 Railway safety management. 7.3.2. Common Essential Requirements (AS 4292, section 7, 7.3.2.) In addition to the general requirements for operation on the Australian Rail Network, ASR is also required to meet the specific conditions for access to a railway network that are contained in running right (access) agreements. These conditions typically relate to:

the ability of company-operated rollingstock to meet defined civil and infrastructure parameters – usually detailed in standards and train operating condition manuals, the competency of company employees and their ability to satisfy nominated health assessment standards and meet safeworking system requirements, awareness of and adherence to emergency response and incident management plans by company employees. The availability and suitability of routes including details of track characteristics ie permissible speed, axle loads, etc, The need for additional equipment eg way-side detection tags.

ASR routinely reviews its ability to meet the common essential requirements for access to a particular interstate railway network. These reviews are often carried out in conjunction with the Network Provider and typically involve:

Audits of worker credentials such as Certificates of Competency, Inspections of rollingstock and complete trains, Reviews of KPI’s such as late train running.

8. INTERFACE COORDINATION PLANS (AS 4292, Part 2, 3, 4, 5 and 6) 8.1. General Interface Coordination Plans and Safety Interface Agreements have been established for all existing and planned railway operations involving ASR. These plans typically include the following elements: • determination of the functional areas involved and the interface coordination

required, • definition of the subject matter(s) involved in the interface coordination, • the competency and health requirements for personnel involved in operations at

the interface, • determination of the party responsible for each item of subject matter,



• protocols for the exchange of safety information including the investigation and reporting of rail safety incidents,

• procedures for assessing and monitoring the compatibility of engineering and operational parameters, and

• a review process. The Rail Safety & Compliance Coordinators (SA) and (NSW) maintain a register of Interface Coordination Plans and Safety Interface Agreements and conduct a regular review of these documents with Line Managers to ensure the ongoing accuracy and effectiveness of subject matter.

Examples of Verification: • The existence of Interface Coordination Plans and Safety Interface Agreements

as detailed in the ASR Controlled Document Register RS-PRC-001. • ASR Procedure for Developing and Maintaining Interface Coordination Plans

RS-PRC-023. 8.2. Interfaces between Engineering and Operational Functions Interface Coordination Plans and Safety Interface Agreements include, but are not limited to the following: • track and civil infrastructure, • rolling stock considerations, • signalling and telecommunications, • traffic and train management, • other interface matters. Examples of Verification:

Interface Coordination Plans and Safety Interface Agreements have been prepared to address the discipline specific aspects of the interface. Appendix C provides a list of Interface Coordination Plans and Safety Interface Agreements that have been developed.



APPENDIX A

Map of the ASR Railway Network

The ASR Railway Network includes the Parkeston Railway Yard (WA).


APPENDIX B - List of Management System Procedures and Documents

AS 4292.1 CLAUSE NO

SUBJECT

SUPPORTING DOCUMENTATION

DOCUMENT NO

REVISION NO.

SECTION 2 MANAGEMENT POLICY AND STRUCTURE

2.1 Safety Management Policy • ARG Corporate Rail Safety Policy C102-000-003 Rev 1 2.2 Management • ASR RSM Plan. RS-PLN-001 Rev 3 2.3 Responsibilities and

Authorities • ASR RSM Plan. • Procedure ‘Management Responsibilities and

Authorities Relative to Rail Safety’.

RS-PLN-001 RS-PRC-027

Rev 3 Rev 3

• ASR RSM Plan RS-PLN-001 Rev 3 • Various ARG Corporate Policy documents Various N/a • Document Control Procedure. RS-PRC-002 Rev 2 • Code of Practice Australian Rail Network. N/a N/a • ASR Addendum to Operations Code of

Practice. OP-COP-001 Rev 1

• Controlled Document Register. RS-PRC-001 N/a • ASR Network Operating Guide ASR-RSD-019 Various • Management System Review. RS-PRC-005 Rev 1

2.4 Safety Documentation

• ASR Response Plan for ‘On-Rail’ Emergencies. RS-PRC-006 Rev 3



AS 4292.1

CLAUSE NO SUBJECT SUPPORTING DOCUMENTATION DOCUMENT NO REVISION NO

• ASR Procedure for Management of ‘On-Rail’ Incidents.

RS-PRC-007 Rev 2

• Procedure for Performing Internal Audits. RS-PRC-003 Rev 1 • Procedure for Incident Reporting. RS-PRC-008 Rev 1 • Risk Management. ASR-RSD-012 Rev 2 • Procedure for Yard Access. ASR-RSD-013 Rev 3 • Network Operating Guide. ASR-RSD-019 N/a • Procedure for the Procurement of Goods and

Services. RS-PRC-019 Rev 2

• Procedure for Engineering and Operational System Safety.

RS-PRC-021 Rev 1

• Procedure for Developing and Maintaining Interface Coordination Plans.

RS-PRC-023 Rev 1

• Procedure for Reporting NCR’s. ASR-RSD-025 Rev 1 • Procedure ‘Management Responsibilities and

Authorities Relative to Rail Safety’. RS-PRC-027 Rev 3

• Procedure for Attaining Route Competency. RS-PRC-028 Rev 1 • Procedure for the Management of Fatigue. RS-PRC-030 Rev 1 • ASR Rostering Principles. RS-PRC-031 Rev 1 • Procedure for Assessing the Condition of Crew

Cars. RS-PRC-032 Rev 1

2.4 Safety Documentation (Cont)

• Procedure for Ensuring the Accuracy of Measuring of Equipment.

RS-PRC-033 Rev 1



AS 4292.1 CLAUSE NO

SUBJECT SUPPORTING DOCUMENTATION DOCUMENT NO REVISION NO

• Procedure for Maintaining Interstate Operations ASR-RSD-026 Rev 1 • ARG Procedure for Alcohol and Other Drugs

Testing. C010-000-003 Rev 1.01

• Development and Maintenance of Worker Competence.

RS-PRC-013 Rev 2

• Verification of Competency – Contract RSW. RS-PRC-014 Rev 1 • NTC National Standard for Health Assessment

of Rail Safety Workers. N/a July 2004

• Victorian Code of Practice for Health Assessment of Rail Safety Workers.

N/a Version 2

• Procedure for Health Assessment of Rail Safety Workers

RS-PRS-011 Rev 3

• Literacy and language Skills. RS-PRC-012 Rev 1

2.4 Safety Documentation (Cont.)

• Various other documents detailed in Section 6.1. above.

• Certificates of Currency for:- Public Liability. Professional Indemnity

2.5 Financial Capacity

Workers Compensation

Not Applicable

2.6 Regulatory Compliance • Letters and Certificates confirming accreditation.

Not Applicable

2.7 Document and Data Control • •

Document Control Procedure. Controlled Document Register.

RS-PRC-002 RS-PRC-001

Rev 2 Not Applicable

2.7.2 Accuracy, Clarity and Language • Document Control Procedure. RS-PRC-002 Rev 2 2.7.3 Document and Data Approval &

Issue • Document Control Procedure.

RS-PRC-002 Rev 2

2.7.4 Document and Data Changes • Document Control Procedure. RS-PRC-002 Rev 2 2.7.5 Retention of Safety Records • Document Control Procedure. RS-PRC-002 Rev 2



AS 4292.1 CLAUSE NO


• Procedure for Management System Review. RS-PRC-005 Rev 1 2.8 Management System Review • Minutes of Management System Review

Meetings.

2.9 Railway Safety Audit • Procedure for Performing Internal Audits. RS-PRC-003 Rev 1 2.9.1 General • Documented Audit Findings.

2.9.2 Scheduling • Procedure for Performing Internal Audits. RS-PRC-003 Rev 1 • Procedure for Performing Internal Audits. RS-PRC-003 Rev 1 • Minutes of Management System Review

Meetings

2.9.3 Reporting

• Procedure for Reporting NCR’s. ASR-RSD-025 Rev 1 SECTION 3 RISK AND INCIDENT

MANAGEMENT

ARG Risk Management Policy. C502-000-001 Rev 1.02 • Procedure for Risk Management. ASR-RSD-012 Rev 2 • Reporting and Trending of Notifiable Occurrences.

RS-PRC-008 Rev 1 •

• Minutes of Management System Review Meetings.

3.1 Identification of Risks

• Corporate Risk Register. Procedure for Risk Management. ASR-RSD-012 Rev 2 •

• Risk Treatment Schedules and Plans. 3.2 Risk Control Measures

• Corporate Risk Register. 3.3 Major Incident Management

• ASR Response Plan for ‘On-Rail’ Emergencies. RS-PRC-006 Rev 3 3.3.1 Emergency Response • ASR Procedure for the Management of ‘On-

Rail’ Incidents. RS-PRC-007 Rev 2



AS 4292.1 CLAUSE NO

SUBJECT SUPPORTING DOCUMENTATION DOCUMENT NO

REVISION NO

Procedure for Incident Reporting. RS-PRC-008 Rev 1 • ASR Procedure for the Management of ‘On-Rail’ Incidents.


ASR Response Plan for ‘On-Rail’ Emergencies. RS-PRC-006 Rev 3 • Register of ASR and Other Network TICR’s. •

• ASR Incident Report Form. RS-FRM-008 Rev 1.0

3.3.2 Investigation

• Incident Checklist and Interim Report Form. ASR-RSD-007 Rev 2 Procedure for Incident Reporting. RS-PRC-008 Rev 1 • ASR Procedure for the Management of ‘On-Rail’ Incidents.


ASR Response Plan for ‘On-Rail’ Emergencies. RS-PRC-006 Rev 3 • Register of ASR and other Network TCIR’s. •

• ASR Incident Report Form. RS-FRM-008 Rev 1.0 • Transport SA Notifiable Occurrence DataBase.

3.3.3 Recording and Analysis

• Minutes of Management System Review Meeting. • Procedure for Incident Reporting. RS-PRC-008 Rev 1 3.3.4 Review and Rectification

Procedures • Minutes of Management System Review Meeting. SECTION 4 PERSONNEL MANAGEMENT

4.1 General • Refer to documentation listed below in Sections 4.2 – 4.5.

Procedure for Development and Maintenance of Worker Competency.


• Procedure for Verification of Competency – Contract Rail Safety Workers.

RS-PRC-014 Rev 1

4.2 Worker Competence

• Procedure for Attaining Route Competency. RS-PRC-028 Rev 1



AS 4292.1


Recommended Route Standards RS-PRC-028 Appendix A

Rev 1 •

Achievement of Competency Statement and Route Competency – On Job Assessment Report.

RS-PRC-028 Appendix B

Rev 1 •

Training and competency records. • Records of route knowledge. • Code of Practice ARN and Other Network Rules and Procedures

•

ASR Addendum to Operations Code of Practice.

OP-COP-001 Rev 1 •

Network Operating Guide. ASR-RSD-019 N/a • Job Description Forms. •

• Staff Training in the Operation of Locomotives/Railcars.

4.2. Worker Competence (Cont)

• Operations Staff Training, General. • NTC National Standard for Health Assessment

of Rail Safety Workers. N/a July 2004

• Victorian Code of Practice for Health Assessment of Rail Safety Workers.

N/a Version 2

• Procedure for Health Assessment of Rail Safety Workers

RS-PRS-011 Rev 3

• Procedure for Management of Fatigue. RS-PRC-030 Rev 1

4.3 Health and Fitness

• ASR Rostering Principles RS-PRC-031 Rev 1



AS 4292.1


• Procedure for Assessing the Condition of Crew Cars.

RS-PRC-032 Rev 1

• Risk categorisation documentation for rail safety work.

4.3. Health and Fitness (Cont)

• Medical Assessment Records of ASR and Contract Rail Safety Workers.

ARG Corporate Policy for the Control of Alcohol and Other Drugs.

C002-000-001 Rev1.00

•

ARG Procedure for Alcohol and Other Drugs Testing.

C010-000-003 Rev 1.01 •

Records of Random Alcotests and Drug Screenings.

•

• List of Authorised Officers.

4.4 Drug and Alcohol Control

• Register of Alcotest Units. RS-PRC-033 Rev 1 • Procedure for Literacy and Language Skills. RS-PRC-012 Rev 1 4.5 Literacy and Language Skills • Evaluation of Comprehension and Literacy

Skills as part of employment screening. RS-PRC-012 Rev 1

SECTION 5 GOODS AND SERVICES PROCUREMENT

5.1 Contract Management • Corporate Procedure for the Procurement of

Goods and Services. RS-PRC-019 Rev 2

Contract Checklist. RS-PRC-019.1 Rev 2 • Preferred Contractor Listing. RS-PRC-019 Rev 2 •

• Certificates of Accreditation.

5.1.1 General

• Agreements / Contracts.



AS 4292.1


Procedure for the procurement of Goods and Services.

RS-PRC-019 Rev 2

•

Contract Checklist. RS-PRC-019.1 Rev 1 • Preferred Contractor Listing. RS-PRC-019 Rev 2 •

• Certificates of Accreditation.

5.1.2 Assessment of Contractors and Sub-contractors

• Agreements / Contracts. Procedure for the procurement of Goods and Services.

RS-PRC-019

Rev 2 •

Contract Checklist. RS-PRC-019.1 Rev 1 • • Preferred Contractor Listing. RS-PRC-019 Rev 2

5.2 Purchasing

• Purchase and Service Orders endorsed with details of governing standards and

specifications.

SECTION 6 ENGINEERING AND OPERATIONAL SYSTEMS SAFETY

Procedure for Engineering and Operational System Safety.


Code of Practice for the ARN and Other Network Rules and Procedures.

•

ASR Addendum to the Operations Code of Practice.

OP-COP-001 Rev 1 •

ASR Network Operating Guide. ASR-RSD-019 N/a • FRA and AN Track Maintenance Guidelines. • Civil engineering technical instructions. •

• Engineering drawings.

6.1 General

♦ AN Mechanical Standards.



AS 4292.1 CLAUSE NO


ROA Manual of Engineering, Standards and Practices (Volumes 1 & 2).

•

ASR Track Awareness Training Manual. • ASR Interface Coordination Plans and Safety Interface Agreements.

•

ASR Response Plan for ‘On-Rail’ Emergencies. RS-PRC-006 Rev 3 • ASR Procedure for the Management of ‘On-Rail’ Incidents.


Other Network Emergency Response and Incident Management Plans.

•

Network Interface Coordination Plans and Safety Interface Agreements (SIA’s).

•

• Network Standards, Plans and Operating procedures

6.1 General (Cont)

• Manufacturer’s standards and guidelines.



AS 4292.1



RS-PRC-021 Rev 1

• Procedure for the Procurement of Goods and Services.

RS-PRC-019

Rev 2

• Contracts and agreements. • Contractor’s procedures and manufacturer’s

specifications for control of manufacturing, installation and maintenance processes.

• Procedure for Performing Internal audits. RS-PRC-003 Rev 1 Internal Audit findings. • Minutes of Management System Review Meetings.


• Procedure for Risk Management ASR-RSD-012 Rev 2 • Risk Assessments • Procedure for Incident Reporting RS-PRC-008 Rev 1

Reporting of Notifiable Occurrences. • • Train Control Reports.

6.2

Process Control

• Inspection and Testing records.



AS 4292.1



RS-PRC-021

Rev 1 •

Contracts and Agreements. • Interface Coordination Plans and SIA’s. RS-PRC-016 Rev 1 •

• Standards and specifications (refer 6.1. above) for the Control and verification of discipline- specific functions.

• Allocation of management responsibilities for discipline-specific functions.

RS-PRC-027 Rev 2

6.3 Design and Development

• Minutes of meetings with Contractors 6.4 Inspection and Testing


RS-PRC-021

Rev 1

Procedure for the Procurement of Goods and services.

RS-PRC-019

Rev 2 •

Agreements and Contracts. • • Standards and specifications (refer 6.1. above) for the inspection and testing of systems and

equipment.

• Regulatory Compliance. Accreditation. • Maintenance schedules – planned and in

response to defined events.

6.4.1 General Requirements

• Internal audits. RS-PRC-003 Rev 1 • Procedure for Engineering and Operational

System Safety. RS-PRC-021

Rev 1

• FRA and AN Track Maintenance Guides.

6.4.2 Inspection Frequency

• ARA, Manual of Engineering Standards.



AS 4292.1


• AN Mechanical Standards and Rolling stock Maintenance Instructions.

• Various network rollingstock and engineering standards, train operating condition manuals and guidelines.

• Manufacturer’s specifications. • Audits and inspections (condition reports). RS-PRC-003 Rev 1 • Trending Data and Incident Reporting. RS-PRC-008 Rev 1 • Risk Assessments, treatment plans and schedules. ASR-RSD-012 Rev 2 • Minutes of Management System Review Meetings. RS-PRC-005 Rev 1

6.4.2 Inspection Frequency (Cont)

♦ Minutes of meetings with contractors and service providers.


RS-PRC-021 Rev 1

•

Internal Audits. RS-PRC-003 Rev 1 • • Track maintenance and repair records. • Level crossing warning device and signal equipment inspection and maintenance logs.

• Rolling stock maintenance and repair records. • Train examination records.

6.4.3 Inspection and Test Records

• Records for maintenance of radios and telecommunication systems.


RS-PRC-021 Rev 1 6.4.4 Inspection and Test Status

• Red and Green carding of vehicles. RS-PRC-021 Rev 1



AS 4292.1


Speed Restriction Reports. • • Tagging of equipment with status details. RS-PRC-021,

RS-PRC-033 Rev 1 Rev 1

6.4.4 Inspection and Test Status (Cont)

• Fault logs. • Procedure for Engineering and Operational

System Safety. RS-PRC-021 Rev 1

Risk Assessments, treatment plans and schedules.

ASR-RSD-012 Rev 1 •

• Internal Auditing. RS-PRC-003 Rev 1

6.5

Method of Assessment

• Inspection and Test reports. • Procedure for Engineering and Operational

System Safety. RS-PRC-021 Rev 1

Procedure for Management System Review. RS-PRC-005 Rev 1 • Internal Auditing. RS-PRC-003 Rev 3 • Risk Assessments, Treatment Schedules and Plans.

•

Incident Reporting Form. RS-FRM-008 Rev 1.0 • Non-conformance Report. ASR-RSD-025.1 Rev 1 •

• Minutes of Management System Review Meetings.

6.6 Corrective Action

• Minutes of meetings with contractors.



AS 4292.1



RS-PRC-021

Rev 1

Contracts and Agreements. • • Procedure for Developing Interface

Coordination Plans. RS-PRC-023 Rev 1

6.7 Detailed Requirements

• Interface Coordination and SIA’s. Register of ICP’s Various SECTION 7 INTERSTATE OPERATIONS

TARCOOLA – DARWIN RAILWAY ONLY

For Train Control Purposes only – under contract to FreightLink.

• ASR Rail Safety Management Plan RS-PLN-001 Rev 3 • Code of Practice ARN • ASR Addendum to Operations CoP. OP-COP-001 Rev 1 • Access Agreements. ASR-RSD-026 Rev 1 • Procedure for Developing Interface


7.1 General

• Interface Coordination and SAI’s. Register of ICP’s Various 7.2 Route Designation • Access Agreements. ASR-RSD-026 Rev 1

• Access Agreements. ASR-RSD-026 Rev 1 • Procedure for Developing Interface


7.3.1 Safety Management of the Interstate System

• Interface Coordination Plans.



AS 4292.1


Network Operating Procedures and guidelines – various (refer to 6.1 above).

ASR-RSD-019 Parts 32 and 33

Rev 1 •

Development and promulgation of operating parameters and confirmation of critical dimensions.

•

Regular meetings with railway operators and major contractors.


Advice of Temporary speed restrictions. • • ASR Response Plan for ‘On-Rail’ Emergencies. RS-PRC-006 Rev 3

7.3.1 Safety Management of the Interstate System (Cont)

• ASR Procedure for the Management of ‘On-Rail’ Incidents.

RS-PRC-007 Rev 2

Access Agreements. ASR-RSD-026 Rev 1 • Procedure for Developing Interface Coordination Plans.


• Interface Coordination Plans and SAI’s. Register of ICP’s Various

7.3.2 Common Essential Requirements

• Network and Operating Procedures – various (refer to 6.1. above).

• Procedure for Developing Interface Coordination Plans.

RS-PRC-023 Rev 1 PARTS 2, 3, 4, 5 and 6

Interface Coordination

• Interface Coordination Plans and SAI’s. Register of ICP’s Various



APPENDIX C

LIST OF INTERFACE COORDINATION PLANS AND SAFETY INTERFACE AGREEMENTS

Document Number

Other Reference External Party Subject Matter

RS-ICP-001 AusBulk Ltd Loading, haulage and discharge of rollingstock at various sites throughout South Australia

RS-ICP-002 Transfield Services Maintenance of Track, Civil and Electrical Infrastructure and Telecommunications on the ASR Network

RS-ICP-003 Gypsum Resources Aust. Definition and Management of Freight Services at Kevin and Thevenard

RS-ICP-004 Penrice Soda Products Definition and Management of Freight Services at Angaston and Osborne

RS-ICP-005 Loongana Lime Pty Ltd Freight Services at Parkeston and Rawlinna (WA) RS-ICP-006 FreightCorp Operational Systems - Junee RS-ICP-007 FreightCorp Operational Systems - Parkes RS-ICP-008 FreightCorp Operational Systems - Cootamundra RS-ICP-009 Zinifex / Pacific National Freight Services at Port Pirie Zinifex Tippler Siding RS-ICP-010 EDI RAIL-ICP-ASR EDI Rail Maintenance, Examination and Recovery of Rollingstock RS-ICP-011 ADR-1A-002-La ADrail Management of Rail Safety during the Construction Defects

Liability Period of the Alice Springs – Darwin railway. RS-ICP-013 BJB-ICP-001 (4) BJB Joint Venture Reporting of track conditions and the management of ‘On Rail’

movements associated with the performance of track maintenance activities on the Tarcoola – Darwin railway.

RS-ICP-014 OneSteel Management of Railway Services at Whyalla RS-ICP-015 Moritz Marine Freight Services and Yard Access at Tailem Bend RS-ICP-016 Pacific National Ltd Freight Services at Port Augusta, Port Pirie and Whyalla



Document Number


RS-ICP-017 N/a State Mine Railway Operation of Passenger Trains on the Tarcoola – Darwin Railway

RS-ICP-020 Port Dock Definition and Management of services at Port Adelaide RS-ICP-021 RSA Rail Services at Islington Workshops. RS-ICP-022 Bluebird Services Rail Services at Islington Workshops RS-ICP-023 TA02 ARTC Ltd Network Interface Coordination Plan RS-ICP-024 RIP 001, RIP 007,

RIP 010 and RIP 011. TransAdelaide Management of railway services and network interfaces at

various locations. RS-ICP-027 WestNet Rail Operation of freight services between Kalgoorlie and Perth RS-ICP-028 A101-400-090 AWR Operation of ASR accredited trains at Forrestfield, WA RS-ICP-029 A101-400-096 AWR Institution of Emergency/Incident Management by ARG

personnel and the recovery of services on the ARTC and WestNet Rail networks

RS-ICP-031 Pacific National Ltd Provision of terminal and railway services on Tarcoola – Darwin railway

RS-ICP-032 Manildra Group The operation of ASR accredited trains at Manildra Group’s loading and unloading locations

RS-ICP-033 FL-ICP-002 FreightLInk Management of Train Control, provision of communication systems and promulgation of network operating parameters on the Tarcoola – Darwin railway

RS-ICP-034 FL-ICP-003; EDI RAIL-ICP-ASR-FL

FreightLink and EDI Rail Provision of rail operation services and the supply and maintenance of rollingstock for FreightLink rail freight services

RS-ICP-037 Great Southern Railway Operation of passenger trains on the Tarcoola – Darwin railway

RS-ICP-040 IA63; FL-ICP- 005 ARTC Ltd and FreightLink Operation of movements at Tarcoola and between Tarcoola and Carnes



Document Number


RS-ICP-056 Silverton Rail Institution of emergency/incident management by ARG personnel and the recovery of services on the RIC Network

RS-ICP-067 GrainCorp Generic protection of GrainCorp staff loading and unloading grain at various sidings, terminals and ports

RS-ICP-068 EDI Rail Placement and clearance of rollingstock (locomotives or wagons) at Rollingstock Repair Depots in NSW

RS-ICP-070 AWB GrainFlow Generic protection of AWB GrainFlow staff loading and unloading grain at various sidings, terminals and ports

End of Plan
