National Transport Commission (Model Rail Safety Regulations) Regulations 2007

These Regulations publish a model set of rail‑safety rules that flesh out duties in the Rail Safety Act: accreditation, safety‑management systems, emergency and security plans, worker fitness and incident reporting, interface arrangements and fees. They are aimed at rail transport operators, rail infrastructure managers, rolling‑stock operators and rail safety workers. The model creates procedural obligations (what must be documented, reported and paid) and gives regulators discretion over exemptions, time extensions and local variations, so operators bear most compliance, reporting and administrative costs.

Mechanically, this instrument establishes a Commonwealth regulation that contains a model set of rail safety regulations for adoption by the States and Territories. The Regulations are the National Transport Commission (Model Rail Safety Regulations) Regulations 2007 (Select Legislative Instrument 2007 No. 320), made 26 September 2007 and approved by the Australian Transport Council on 22 December 2006 (Regulations 1, 2; Schedule 1 preface). The Regulations operate in two layers. First, the Commonwealth regulations in Parts 1-6 set out specified rules (for example, requirements about accreditation applications, the content of certain notices, and the form of embargo notices). Second, Schedule 1 to the instrument is presented as model legislation, intended to provide the basis for nationally consistent rail safety laws but stated in the instrument itself to be “intended to provide the basis for nationally consistent transport laws” and “do not, of themselves, have any legal effect” (Schedule 1 preface; Reg 3). The Schedule is therefore a template for jurisdictions to adopt by reference or to use as the substantive content of their own rail safety regulations under the Rail Safety Act 2006 (the Act), as contemplated by section 7 of the National Transport Commission Act 2003 (Reg 3).

Substantively, the model regulations (Schedule 1 and the body of the instrument) prescribe the structure and minimum content of a safety management system (SMS) (Reg 10; Schedule 1), define accreditation application content (Reg 4), set conditions and notification obligations attaching to accreditation (Reg 7), require preparation and testing of emergency and security management plans (Divisions 4 and 5: Regs 16-19), set out categories and reporting timeframes for notifiable occurrences (Reg 28), and require periodic operational returns and safety performance reporting (Regs 27, 29). The instrument prescribes procedural elements such as the format of embargo notices (Reg 32), the matters that must be recorded for rail safety worker competence (Reg 26), and governance and document control arrangements to be reflected in the operator’s SMS (Schedule 1, Parts A-ZA). It also places a number of items into “local variation” or “reserved” status, signalling that jurisdictions may adopt different fee levels, alcohol and drug testing rules, fatigue rules, and other matters (multiple provisions flagged as local variations or reserved).

The Regulations therefore function as both a model regulatory code and a limited set of prescriptions for regulators and operators. Where the model is adopted, the result is a national-style set of obligations spanning accreditation, SMS content, interface agreements, emergency and security planning, worker health and competence, reporting and records, and fees. Where the model is not adopted or is locally varied, the Regulations require careful cross-checking because many operational details are left to jurisdictions to determine (see numerous “local variations” and “reserved” drafting notes throughout).

The instrument organises rail safety regulation around several core regulatory concepts. The concept of accreditation is central: rail transport operators must be accredited and the Regulations set out what an application must contain (Reg 4), what details an accreditation notice must specify (Reg 6), what conditions may be imposed on accreditation (Reg 7), the mechanics for surrender and variation of accreditation (Regs 8, 9), and fees connected to accreditation (Part 6, Regs 36-40 and Schedule 2). Accreditation operates as the licensing device through which the Rail Safety Regulator controls who delivers rail operations and under what conditions (see references throughout Part 2).

Safety management systems are the next principal concept. Reg 10 prescribes that an SMS must include the matters listed in Schedule 1 that are relevant to the operator’s activities and at an appropriate level of detail relative to scope and risk. Schedule 1 is highly detailed and sets out components that an SMS must cover if relevant, including safety policy, governance and internal controls, responsibilities and authorities, regulatory compliance, document control, review procedures, safety performance measures, audit arrangements, corrective action, change management, consultation, internal communication, risk management, human factors, procurement and contract management, engineering and operational systems, process control, asset management, interface coordination, management of notifiable occurrences, worker competence, security and emergency management, fatigue, drugs and alcohol, health and fitness, and resource availability (Schedule 1, Parts A-ZA). The instrument therefore embeds a systems-based regulatory approach: the regulator assesses the operator’s processes, controls and evidence rather than only normative technical standards.

Interface coordination is a recurring theme. The Regulations require operators to identify other operators with which they have interface risks and to develop interface co‑ordination plans and interface agreements that allocate responsibilities, set control measures, monitoring procedures and review triggers (Regs 12-13, Schedule 1 S and T). Private sidings receive specific attention: rail infrastructure managers must maintain a risk register and processes to maintain and update it and must document maintenance of private siding infrastructure (Reg 11).

Emergency and security planning are discrete obligations. Security management plans must list security risks and describe prevention/response measures, training, liaison arrangements and testing (Reg 16). Emergency management plans must be prepared in consultation with specified agencies and third parties (Reg 17), include a comprehensive list of matters from types of emergencies through recovery and preservation of evidence (Reg 18), and must be kept, maintained and tested at specified intervals and with participation from emergency services where practicable (Reg 19).

The Regulations, if adopted by a jurisdiction, affect a defined cast of participants in rail operations. The primary regulated parties are rail transport operators, rolling stock operators and rail infrastructure managers. These terms are used throughout the instrument and many obligations are cast directly upon them: accreditation application and conditions (Part 2, Regs 4-9), SMS contents (Reg 10; Schedule 1), private siding duties (Reg 11), interface obligations (Regs 12-14), security and emergency planning (Regs 16-19), worker programs (Regs 22-26), reporting obligations (Regs 27-28), and fees (Part 6).

Rail safety workers are directly affected by competence, health and fitness, and record-keeping obligations. Reg 22 requires operators to have health and fitness programs that comply, as far as reasonably practicable, with the National Standard for Health Assessment of Rail Safety Workers. Reg 26 mandates records of competence with specific entries such as training dates, qualifications, reassessment and re‑training dates, and the names of assessors.

Corporate governance bodies and senior officers are put on the hook for demonstrating governance arrangements and accountability. Schedule 1 (Parts A, B, C, ZA) requires safety policy endorsed by CEO and board, systems that ensure the CEO and Board have knowledge of the risk profile and compliance, and provision for resource availability. Reg 4(k) requires non‑individual applicants to provide evidence of endorsement of the application by their governance body, and for companies within the meaning of the Corporations Act 2001 this must be done in accordance with s 127 of that Act (Reg 4(k)(i)(A) referencing s127 Corporations Act).

Contractors and subcontractors are affected through the procurement, contract management and internal communication parts of Schedule 1. Reg 19(1) and Schedule 1 O and L require operators to ensure contractors are provided with relevant information and training and that contractual terms do not create unsafe work.

Emergency services, road authorities, other transport operators and various utility providers are drawn in as consultees and participants in emergency and security planning (Regs 17-19). Reg 17(1)(a)-(c) lists government agencies with emergency functions, other transport operators, and entities providing water, drainage, pipelines and public transport as parties to consult in preparing emergency plans. Reg 16(c) requires description of arrangements with other transport operators where locations are shared.

The Rail Safety Regulator is central to decision-making and enforcement. The Regulator receives accreditation applications and variations (Regs 4, 9), annual returns and monthly returns (Reg 27), notifiable occurrence reports (Reg 28), and has discretions such as extending time limits (Reg 28(5)), exempting from consultation (Reg 17(2)), setting fee due dates (Reg 38), and defining the form and content of reports (Reg 28(4)). The instrument also prescribes particulars that must appear on embargo notices issued by rail safety officers (Reg 32), a tool the Regulator and its officers use under the Act.

Key duties created or described in the model material fall into accreditation, safety systems, planning, reporting and record-keeping categories. The model regulates rights and procedural entitlements largely through the Act (as referenced) and through the Regulator’s discretions.

Accreditation duties. An applicant for accreditation must include prescribed identification details, appointment of a contact person, copies of corresponding law accreditations (if any), evidence of management and control where the applicant does not own infrastructure, descriptions of operational assets and safe working systems, consultation details about the SMS, corporate endorsement where relevant, subcontractor details and an application fee (Reg 4). Accredited persons must have their accreditation notices specify name, business name, ACN/ABN where applicable and address (Reg 6). Accredited rail transport operators are subject to conditions such as advance notification obligations for a set list of decisions and changes (Reg 7(c) table), payment of annual accreditation fees (Reg 7(b); Reg 38), and ensuring availability of a director or manager as a contact at all times (Reg 7(d)). Surrender requires 28 days notice and arrangements for cessation (Reg 8).

Safety management system duties. The SMS must include matters in Schedule 1 relevant to the operator’s operations and at an appropriate level of detail proportionate to scope, nature and risk (Reg 10). Schedule 1 sets out specific duties on policy endorsement, governance and internal control, clarity of responsibilities, regulatory compliance systems, document control, review mechanisms, performance measurement, audit arrangements, corrective action, management of change, consultation, internal communication, risk registers, human factors, procurement and contract management, engineering standards and procedures, process control, asset management, interface coordination, management of notifiable occurrences, worker competence, security, emergency management, fatigue, drugs and alcohol, health and fitness, and resource availability (Schedule 1 Parts A-ZA). The SMS duty is expansive and framed as procedural: systems, procedures, documentation and evidence must exist.

Emergency and security duties. Operators must prepare security management plans including lists of security risks and response and liaison arrangements (Reg 16). Emergency management plans must be prepared in consultation with listed parties (Reg 17), address a detailed set of matters (Reg 18), be kept accessible and tested at intervals set in the plan and after significant changes (Reg 19). The Regulator may exempt operators from specific consultations (Reg 17(2)).

The model regulations set out enforcement-related mechanisms in procedural terms and supply content and form requirements that support enforcement carried out under the Rail Safety Act 2006. The instrument itself does not recite specific criminal penalties or civil fines; instead it prescribes reporting obligations, information content, administrative conditions, and procedural mechanisms that are enforceable when the model is adopted under the Act. The text repeatedly cross-references statutory powers and sections of the Act which provide enforcement authority.

Key enforcement-related mechanisms in the instrument include:

Accreditation as an enforcement lever. Accreditation is the regulatory gate. The Regulator controls accreditation, conditions and variations (Part 2: Regs 4-9). Conditions include notification obligations and fee payment (Reg 7). Non‑compliance with accreditation conditions under the Act would enable regulator action under the Act’s enforcement provisions (the Act’s sections are referenced throughout; Reg 10 refers to duties under section 28 of the Act).
Reporting and investigation triggers. The notifiable occurrences regime (Reg 28) creates immediate reporting obligations for Category A events and 72 hour written report obligations for Category A and B events. These reporting obligations enable prompt regulator awareness and subsequent investigation. Reg 28(4) gives the Regulator the power to specify format and information content of reports, which facilitates consistent enforcement and data collection.
Embargo notices. Reg 32 prescribes the additional particulars that an embargo notice must contain for purposes of section 90 of the Act: description of the thing to which the notice applies, name of person served or statement about affixation, details of the issuing rail safety officer, and date of service. An embargo notice is an immediate instrument that can restrict use or require steps to preserve safety pending remedial action.
Prohibition and improvement notices. The model expects the existence of prohibition and improvement notices. Reg 7(1)(a)(ii) requires operators accredited under corresponding law to give the Regulator a copy of any prohibition or improvement notice issued by a corresponding regulator. The instrument therefore anticipates inter-jurisdictional enforcement and the transmittal of remedial orders.
Audit and inspection enabling provisions. Reg 31 is reserved but the drafting note indicates section 75 of the Act empowers prescription of audit and inspection procedures. Schedule 1 H requires an audit programme, documented procedures and auditor independence as part of the SMS, producing evidence regulators can use in enforcement.

The model regulations are expressly framed to operate alongside the Rail Safety Act 2006 (the Act) and to be used by States and Territories as model material under the National Transport Commission Act 2003 (Reg 3; Schedule 1 preface). The Regulations themselves reference numerous provisions of the Act as the legal foundation for particular regulatory functions: accreditation (sections 33, 37, 38, 43, 47, 52 are referenced in Regs 4, 6, 7, 8, 9), operator duties (section 28 cited in Reg 10 and Schedule 1), risk management and review obligations (sections 57, 59, 60 referenced in Regs 10, 20 and in Schedule 1), interface coordination (section 61 referenced in Regs 12-13 and Schedule 1 S), security and emergency planning (sections 62, 63 referenced in Regs 16-19 and Schedule 1 V and W), worker health and competence (sections 64-68 referenced in Regs 22, 26 and Schedule 1 U, Z, ZA), reporting powers (section 72 referenced in Reg 27), embargo powers (section 90 referenced in Reg 32), confidentiality and disclosure (section 149 referenced in Reg 33), persons to be prescribed (section 160 referenced in Reg 34), and exemptions (section 163 referenced in Reg 35). The model therefore must be read in conjunction with the Act for the full legal effect.

Cross-jurisdictional recognition and corresponding laws are anticipated. Reg 4(c)-(d) requires applicants who are accredited under a corresponding law to provide a copy of the notice of accreditation and details of where and in respect of what the corresponding accreditation application was made. Reg 7(1)(a) requires operators accredited under a corresponding law to notify the regulator of expiry, suspension or revocation of that corresponding accreditation and to provide copies of prohibition or improvement notices issued by corresponding regulators. These provisions create mechanics for cross‑border recognition and information-sharing.

Interaction with corporate law occurs via Reg 4(k), which requires evidence that an application has been submitted and endorsed in accordance with governance requirements; for companies this is specifically linked to s 127 of the Corporations Act 2001 as the proper evidentiary mechanism for board endorsement. That requirement imports corporate governance processes into the accreditation application.

The model also references national standards outside primary legislation. Reg 22 requires health and fitness programs “that comply, so far as is reasonably practicable, with Volumes 1 and 2 of the National Standard for Health Assessment of Rail Safety Workers, published by the National Transport Commission, as amended from time to time.” This imports soft law standards into the regulatory scheme by reference.

The instrument text itself provides the following historical facts. The Regulations are identified as Select Legislative Instrument 2007 No. 320 and are dated 26 September 2007 (cover page). The Schedule 1 material was approved by the Australian Transport Council on 22 December 2006 (Reg 2; Schedule 1 preface). No later amendments, revocations or replacement instruments are recorded in the text provided.

Readers should note the instrument contains many drafting notes and “reserved” clauses that explicitly await national agreement or local variation. Those drafting notes are not amendments; they are intentional placeholders indicating that parts of the model are to be completed or varied by jurisdictions later. For example, Reg 5 is intentionally blank with a drafting note reserving the power to prescribe additional applicant requirements until national agreement is reached. Regs 14, 15, 23-25, 31, 33, 34, parts of Schedule 1 and Schedule 2 contain similar reservations or local variation flags.

Because the instrument is a model, the amendment history relevant to any operator is likely to be the amendment history of the adopting jurisdiction’s local regulations and of the Rail Safety Act 2006 as enacted locally. The Commonwealth model instrument’s own amendment history beyond the making date and approval date is not contained in the supplied text. To determine subsequent amendments or legislative developments affecting operators, practitioners must check the Federal Register of Legislative Instruments and the local jurisdictional registrations and consolidations of any adopted regulations.

The text of the model Regulations does not reference any judicial decisions or litigation history. It contains no citations to case law and lists no adjudicative history. The instrument is a model regulatory text, designed for adoption by jurisdictions; litigation arising under the Act or under locally adopted regulations would appear in the law reports and in jurisdictional court databases rather than in this instrument itself.

Practitioners seeking precedents, judicial interpretations, or authority about enforcement, reasonable practicability, the sufficiency of an SMS, the scope of reporting obligations, or the process for accreditation disputes, must therefore consult the Rail Safety Act as enacted in their jurisdiction and subsequent judicial decisions interpreting those local laws and the operation of locally enacted regulations. The model text supplies the regulatory structure and prescribed contents, but it does not include or summarise any litigation or tribunal outcomes.

The model text contains a number of practical traps and sources of compliance uncertainty that operators, regulators and advisers must watch for.

Local variation and reserved powers. Many substantive matters are left as “local variations” or “reserved pending national agreement” (for example, fees in Schedule 2, alcohol and drug management (Regs 23-24, Schedule 1 Y), fatigue (Reg 25, Schedule 1 X), audits (Reg 31), confidentiality exceptions (Reg 33), and prescribed persons (Reg 34)). If a jurisdiction adopts the model with local variations, the effect and burden of compliance will vary materially across borders. Operators must not assume uniformity; they must confirm the local instrument adopted and any jurisdictional variations.

Model status of Schedule 1. The Schedule explicitly states the model material “do not, of themselves, have any legal effect” (Schedule 1 preface). A common mistake is to assume the Schedule applies automatically; in many jurisdictions the Schedule must be enacted or given force by local regulation. Check the local version adopted.

Timing traps in notification and reporting. Reg 7(c) imposes a table of notification duties, many requiring at least 28 days advance notice before intended operational changes (items 2-8). Other items require notification “as soon as is reasonably practicable” (items 1 and 9) which is a lower but uncertain standard. Reg 28 imposes immediate reporting for Category A notifiable occurrences (Reg 28(2)(a)) and requires a written report within 72 hours (Regs 28(2)(b), 28(3)). Missing the 72 hour window or failing to report immediately for Category A events is likely to attract regulator scrutiny; the model allows the Regulator to extend time limits but only by written notice (Reg 28(5)).

Corporate endorsement evidence. Reg 4(k) requires that non-individual applicants show evidence the application has been submitted to and endorsed by the appropriate governing body. For a company, this is tied to Corporations Act s 127. Failure to provide proper endorsement evidence may delay accreditation.

Document and record detail required. Schedule 1 requires detailed systems and procedures for many areas including audits, corrective action, risk registers with likelihood and consequence ranking, and asset lifecycle management (Schedule 1 M, H, I, R). The SMS must be detailed “having regard to the scope, nature and risks to safety” (Reg 10). Generic or high-level SMS documents may not meet the “appropriate level of detail” test, exposing operators to regulator challenge.

Interfacing with other operators and public bodies. Interface co‑ordination requires the operator to identify and reach written interface agreements with other operators (Regs 12-13), and emergency plans require consultation with government agencies, utilities and other transport operators (Reg 17). Failure to obtain required consultation records and to show the results of consultation (Reg 4(j), Reg 9(d)) can jeopardise accreditation variations or acceptance of SMS changes.

Compliance under the model involves a mix of document production, governance arrangements, operational change control, personnel systems, reporting processes and interagency liaison. Below is a practical, section-referenced compliance checklist an operator should follow when preparing for accreditation or maintaining ongoing compliance under the model.

Accreditation application and governance

Prepare the accreditation application with the identification details required by Reg 4(a)-(d), including name, trading and registered business names, ACN or ABN if applicable, registered business or residential address, and contact person details (Reg 4(a)-(b)).
If already accredited under a corresponding law, attach a copy of the notice and provide details of that application (Reg 4(c)-(d)).
If the applicant is a rail infrastructure manager without ownership of the infrastructure, compile documentary evidence of management and control (Reg 4(e)).
Describe operational assets, stations, signalling systems and rolling stock intended to be used (Reg 4(f)); describe safe working systems (Reg 4(g)); and provide rolling stock operator control evidence where applicable (Reg 4(h)).
Document consultation undertaken in relation to the SMS and retain records of who was consulted, how, when and the results (Reg 4(j); Reg 9(d); Schedule 1 K).
If the applicant is not an individual, provide evidence that the application has been endorsed by the correct governance body; for companies use Corporations Act s 127 execution evidence if applicable (Reg 4(k)).

Build a Safety Management System that maps to Schedule 1

Use Schedule 1 as the SMS content checklist and ensure the SMS contains, where relevant, the items in Parts A-ZA: safety policy, governance, responsibilities, regulatory compliance systems, document control, review, performance measures, audit arrangements, corrective action, management of change, consultation, internal communication, risk management and registers, human factors, procurement and contract management, engineering and operational systems, process control, asset management, interface coordination, management of notifiable occurrences, worker competence, security, emergency management, fatigue and drug/alcohol controls, health and fitness, and resource availability (Reg 10; Schedule 1).
Ensure the SMS documentation is at an “appropriate level of detail” proportionate to operational scope and risk (Reg 10). Create templates and procedures, not just statements of intent.

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National Transport Commission (Model Rail Safety Regulations) Regulations 20071

Select Legislative Instrument 2007 No. 320

I, PHILIP MICHAEL JEFFERY, Governor‑General of the Commonwealth of Australia, acting with the advice of the Federal Executive Council, make the following Regulations under the National Transport Commission Act 2003.

Dated 26 September 2007

P. M. JEFFERY

Governor‑General

By His Excellency’s Command

MARK VAILE

Minister for Transport and Regional Services

1 Name of Regulations

These Regulations are the National Transport Commission (Model Rail Safety Regulations) Regulations 2007.

2 Commencement

These Regulations commence on the day after they are registered.

3 Model legislation — Model Rail Safety Regulations 2007

For section 7 of the National Transport Commission Act 2003 (the NTC Act), Schedule 1 sets out model legislation, in the form of Regulations, about Model Rail Safety.

Schedule 1 Model Rail Safety Regulations 2007

(regulations 3)

The following provisions are intended to provide the basis for nationally consistent transport laws on the topics with which they deal. They do not, of themselves, have any legal effect.

Contents

Part 1 Preliminary Matters

1 Name of Regulations

2 Approval

3 Definition and reference provision

Part 2 Accreditation

4 Application for accreditation

5 What the applicant must demonstrate

6 Prescribed details of accredited person

7 Prescribed conditions of, or restrictions on, accreditation

8 Surrender of accreditation

9 Application for a variation of an accreditation

Part 3 Safety Management

Division 1 Safety Management Systems

10 Prescribed requirements for a safety management system

Division 2 Private Sidings

11 Maintenance and operational conditions

Division 3 Interface Co‑ordination Plans

12 Meaning of interface agreement

13 Obligations on rail transport operators

14 Obligations on rail infrastructure managers

15 Obligations on road authorities

Division 4 Security Management Plans

16 Security management plan

Division 5 Emergency Management Plans

17 Preparation of an emergency management plan 18

18 Matters to be included in an emergency management plan

19 Keeping, maintaining and testing an emergency management plan

Division 6 Review

20 Review of safety management system

Part 4 Rail Safety Workers

21 Rail safety work

22 Health and fitness management programs

23 Alcohol and drug management program

24 Testing for presence of alcohol and drugs

25 Fatigue management program

26 Records of competence

Part 5 Miscellaneous

27 Periodic information to be supplied

28 Reporting of notifiable occurrences

29 Documents to be made available for public inspection

30 Annual report of Rail Safety Regulator

31 Audits of railway operations

32 Embargo notices

33 Confidentiality

34 Prescribed persons

35 Exemptions from the Act by regulation

Part 6 Fees

36 Annual fees for private sidings

37 Application fees

38 Annual accreditation fees

39 Variation of accreditation fees

40 Late Fees

Schedule 1 Content of the Safety Management System

Schedule 2 Fees

Part 1 Preliminary Matters

1 Name of Regulations

These Regulations are the Model Rail Safety Regulations 2007.

2 Approval

These Regulations were approved by the Australian Transport Council on 22 December 2006.

3 Definition and reference provision

(1) In these Regulations, (the Act) means the Rail Safety Act 2006 as approved by the Australian Transport Council as model legislation, as amended from time to time.

(2) If the context permits, in these Regulations a reference to ‘it’ is to be read as including a reference to ‘he or she’ and to ‘him or her’, and a reference to ‘its’ is to be read as including a reference to ‘his or her’.

[local variations – this provision is only necessary if it is not covered by a jurisdiction’s Interpretation Act]

Part 2 Accreditation

4 Application for accreditation

For the purposes of section 33 (2) (e) of the Act, an application for accreditation must contain —

(a) the following identification details of the applicant —

(i) the applicant’s name; and

(ii) the applicant’s registered business name, and trading name if that is different to the registered business name; and

(iii) the applicant’s ACN or ABN, if applicable; and

(iv) the applicant’s residential address or, in the case of a body corporate, registered business address; and

(b) the name and contact details of a person who has been appointed by the applicant to deal with any queries that the Rail Safety Regulator may have in relation to the application; and

(d) in addition to the requirements of section 33 (2) (d) of the Act, if the applicant is also seeking accreditation under a corresponding law, details of where, and in respect of what, the application for that accreditation was made; and

(e) in the case of a rail infrastructure manager who does not own the rail infrastructure, documentary evidence that the manager has, or will have, management and control of the rail infrastructure; and

(f) a description of the operational assets, or classes of operational assets, that the applicant intends to use or manage in the operations for which the application is made, including any stations, signal and train control centres, signalling systems and rolling stock for service and maintenance activities; and

(g) a description of the safe working systems that the applicant intends to use in the operations for which the application is made; and

(h) in the case of a rolling stock operator, documentary evidence that the applicant has, or will have, effective management and control of the operation or movement of the rolling stock on rail infrastructure for a particular railway; and

(i) if electrified railway tracks will be used, details of the electrification; and

(j) details of the consultation undertaken by the applicant in relation to the applicant’s safety management system, including —

(i) who was consulted; and

(ii) when and how the consultation occurred; and

(iii) the results of the consultation; and

(k) if the applicant is not an individual, evidence that the application has been submitted to and endorsed —

(i) if the applicant is a body corporate —

(A) that is a company within the meaning of the Corporations Act 2001, by its Board of Directors in accordance with section 127 of that Act; or

(B) in any other case, by its governing body;

(ii) if the applicant is a partnership, by each partner;

(iii) if the applicant is an unincorporated association or body, by its governing body; and

(l) if any of the activities that it is intended to carry out under the accreditation sought are to be carried out by any other person on behalf of the applicant —

(i) the name and contact details of each such person; and

(ii) details of the activities that it is intended that the person will carry out on behalf of the applicant; and

(m) [the application fee set out in item 1 of Schedule 2] [local variations].

5 What the applicant must demonstrate

[Drafting Note: Section 34(e) of the Act provides the power to prescribe additional requirements in respect of what the applicant must demonstrate. This power is reserved until there is national agreement as to how it should be used.]

6 Prescribed details of accredited person

For the purposes of section 37 (2) (a) of the Act, a notice of accreditation must specify the accredited person’s —

(a) name; and

(b) registered business name, and trading name if that is different to the registered business name; and

(d) residential address or, in the case of a body corporate, registered business address.

7 Prescribed conditions of, or restrictions on, accreditation

(1) For the purposes of section 38 of the Act, any accreditation granted to a rail transport operator is subject to the following conditions and restrictions —

(a) if the operator is accredited under a corresponding law —

(i) it must advise the Rail Safety Regulator in writing immediately if its accreditation in the other State or Territory expires, or is suspended, surrendered or revoked;

(ii) if it receives a prohibition notice or an improvement notice from a corresponding Rail Safety Regulator in relation to the accreditation under the corresponding law, it must immediately give the Rail Safety Regulator a copy of the notice;

(b) the operator must pay the annual accreditation fee by the date determined by the Rail Safety Regulator that is set out in the notice of accreditation;

(c) the operator must notify the Rail Safety Regulator in writing of any of the proposed decisions, proposed events or changes listed in column 2 of the table in accordance with the requirement specified in column 3 of the table with respect to that item.

Table

Item	Decision, event or change	When notification must be given
1	A decision to design or construct, or to commission the design or construction of, rolling stock or new railway tracks.	As soon as is reasonably practicable after the decision is made.
2	The introduction into service of rolling stock of a type not previously operated by the operator, or the re‑introduction into service of rolling stock not currently operated by the operator.	At least 28 days before the date the operator intends to introduce or re‑introduce the rolling stock into service.
3	A change to a safety critical element of existing rolling stock.	At least 28 days before the date the operator intends to bring the change into operation.
4	A change to one or more of the classes of rail infrastructure used in the operator’s accredited operations.	At least 28 days before the date the operator intends to introduce the new class of rail infrastructure into service.
5	A change to a safety standard for the design of rail infrastructure or rolling stock.	At least 28 days before the date the operator intends to adopt the change.
6	The decision to adopt a new safety standard for the design of rail infrastructure or rolling stock.	At least 28 days before the date the operator intends to adopt the new standard.
7	A change to the frequency or procedures for the inspection or maintenance of railway infrastructure or rolling stock.	At least 28 days before the date the operator intends to bring the change into effect.
8	A change to any safeworking system rule or procedure relating to the conduct of the operator’s railway operations.	At least 28 days before the date the operator intends to bring the change into effect.
9	A decision to introduce a new safeworking system rule or procedure relating to the conduct of the operator’s railway operations.	As soon as is reasonably practicable after the decision is made.
10	The replacement of the person nominated in the safety management system as the contact person for dealing with queries in relation to the safety management system of the operator with another person.	As soon as is reasonably practicable after it is known that the replacement will occur.

(d) the operator must ensure that there is at all times available one of its directors or managers as a contact person should the Rail Safety Regulator wish to communicate with it, and that the Regulator is provided with sufficient details so that for any particular time the Regulator knows who the contact person is, and how to contact that person;

(e) if it is not possible to comply with any other requirement specified in this subregulation because of an emergency, the operator must provide the required information as soon as is reasonably practicable after the decision is made or the event or the change occurs, as the case may be.

(2) Nothing in subregulation (1) is intended to require an accredited person to notify the Rail Safety Regulator of any matter that is the subject of an application for the variation of the accreditation.

8 Surrender of accreditation

An accredited person may surrender its accreditation under section 43 of the Act by notifying the Rail Safety Regulator in writing not less than 28 days before the proposed date of surrender of its intention to surrender the accreditation, and of the arrangements that are proposed in relation to the cessation of its railway operations.

9 Application for a variation of an accreditation

For the purposes of sections 47 (2) (b) and 52 of the Act, an application for a variation of an accreditation, or an application for a variation of a condition or restriction imposed by the Rail Safety Regulator, must contain —

(a) the details required by regulations 4 (a) (identification) and 4 (b) (contact person); and

(b) details of the scope and nature of the proposed variation; and

(c) details of the changes that will be made to the applicant’s safety management system if the proposed variation occurs; and

(d) details of any consultation that has occurred with the parties who might be affected by the proposed variation, including —

(i) who was consulted; and

(ii) when and how the consultation occurred; and

(iii) the results of the consultation; and

(e) evidence to demonstrate that the applicant has the competence and capacity to manage the risks to safety associated with the proposed variation.

[Drafting Note: Section 49 of the Act provides the power to prescribe any other information that is to be included in the notice of variation of accreditation.

This power is reserved until there is national agreement as to how it should be used.]

Part 3 Safety Management

Division 1 Safety Management Systems

10 Prescribed requirements for a safety management system

A safety management system must provide for all of the matters listed in Schedule 1 that are relevant to the railway operations for which the rail transport operator is accredited, or seeking to be accredited, and must provide a level of detail with respect to each of those matters that is appropriate having regard to the scope, nature and risks to safety of those operations, and to the operator’s duties under section 28 of the Act.

[Drafting Note: Section 57 of the Act also provides the power to prescribe risk management principles, methods and procedures. This power is reserved until there is national agreement as to how it should be used.]

Division 2 Private Sidings

11 Maintenance and operational conditions

The following conditions are imposed for the purposes of section 56 (2) (b) of the Act —

(a) the rail infrastructure manager must have systems and procedures to ensure that it complies with the safety duties imposed on it by section 28 of the Act in relation to the private siding; and

(b) the rail infrastructure manager must have a risk register that includes the following things at a level of detail that is appropriate having regard to the scope, nature and risks to safety of the operation of the private siding, and to the operator’s duties under section 28 of the Act —

(i) a listing of the risks to safety arising from the maintenance and operation of the private siding; and

(ii) details of the assessment of those risks (including their likelihood, likely consequences and ranking);

(iii) a description of any elimination or risk control measures that are to be used to manage, so far as is reasonably practicable, those risks, including, where appropriate, the identification of who is responsible for implementing the measures; and

(c) the rail infrastructure manager must have systems and procedures to ensure that the details in the register are current, so far as is reasonably practicable; and

(d) the rail infrastructure manager must have a document that provides details about how rail infrastructure within the private siding is to be maintained by it.

Division 3 Interface Co‑ordination Plans

12 Meaning of interface agreement

In this Division interface agreement means an agreement in relation to risks in relation to railway operations that makes provision for —

(a) implementing and maintaining control measures that are to be used to manage those risks, and providing for the evaluation, testing and, if necessary, revision, of those control measures;

(b) the respective roles and responsibilities of each party to the agreement in relation to each control measure;

(c) the procedures by which each party will monitor and determine whether the other party complies with its obligations under the agreement;

(d) the exchange of information between the parties in relation to their obligations under the agreement;

(e) the triggers for, and the frequency of, reviews of the agreement, and if necessary, the revision of the agreement.

13 Obligations on rail transport operators

(1) A rail transport operator must take the following steps to develop and implement an interface co‑ordination plan for the purposes of section 61 (1) of the Act —

(a) the railway operations to which the plan is to apply must be identified;

(b) the risks to safety identified under section 61 (1) (a) that may be caused by those operations must be assessed in conjunction with the other operator;

(d) the process must be undertaken and pursued until there is a written interface agreement between the rail transport operator and the other operator.

(2) The process described in subregulation (1) must be repeated by the rail transport operator with respect to every other rail transport operator referred to in section 61 (1) (a) of the Act.

(3) A rail transport operator who has entered into an interface agreement under subregulation (1) must do everything that the operator has agreed to do under the agreement in relation to implementing, maintaining or monitoring any control measure.

14 Obligations on rail infrastructure managers

[Drafting Note: This regulation is reserved pending ATC consideration of Amendment Bill 2 to the National Rail Safety Bill.]

15 Obligations on road authorities

[Drafting Note: This regulation is reserved pending ATC consideration of Amendment Bill 2 to the National Rail Safety Bill.]

Division 4 Security Management Plans

16 Security management plan

For the purposes of section 62 of the Act, a security management plan must include —

(a) a list of the risks arising from the matters specified in section 62 (a) (i) of the Act; and

(b) a description of the preventative and response measures to be used to manage those risks, including a description of the policies, procedures and equipment and other physical resources that it is proposed to use for those measures, and of the training that it is proposed to provide; and

(c) if the rail transport operator shares a location such as a modal interchange or a port with one or more other transport operators, a description of the arrangements made with those other transport operators in relation to that location to prevent or respond to security incidents; and

(d) procedures for the recording, reporting and analysis of security incidents; and

(e) the allocation of security roles and responsibilities to appropriate people; and

(f) provision for liaison, the sharing of information and for joint operations, with emergency services [local variations], and with other transport operators who may be affected by the implementation of the plan; and

(g) provision for the evaluation, testing and, if necessary, the revision, of security measures and procedures.

Division 5 Emergency Management Plans

17 Preparation of an emergency management plan

(1) For the purposes of section 63 (2) (b) (ii), when preparing an emergency management plan, a rail transport operator must consult with, in addition to the people specified in section 57 (2) of the Act, the following —

(a) any government agencies with emergency management functions with respect to the area to which the plan relates [local variations]; and

(b) any other transport operators who may be affected by the implementation of the plan; and

(i) an entity (whether publicly or privately owned) that provides, or intends to provide, water, sewerage, drainage, gas, electricity, telephone, telecommunication or other like services under the authority of an Act of this jurisdiction or the Commonwealth;

(ii) any person who, under the authority of an Act of this jurisdiction, is permitted to own or use a pipeline, or is licensed to construct or operate a pipeline;

(iii) any provider of public transport.

[local variations]

(2) The Rail Safety Regulator may exempt a rail transport operator from the requirement to consult with any particular person or body under subregulation (1).

18 Matters to be included in an emergency management plan

An emergency management plan prepared under section 63 of the Act must address

(a) the types or classes of foreseeable emergencies; and

(b) the consequences of each type or class of those emergencies, including estimates of the likely magnitude and severity of the effects of each type or class; and

(d) methods to mitigate the effects of those emergencies; and

(e) initial response procedures for dealing with those emergencies and the provision of rescue services; and

(f) recovery procedures for the restoration of railway operations and for the assistance of people affected by the occurrence of those emergencies; and

(g) the allocation of emergency management roles and responsibilities within the rail transport operator’s organisation, and between the operator and other organisations; and

(h) call‑out procedures; and

(i) the allocation of personnel for the on‑site management of those emergencies; and

(j) procedures for liaison with relevant emergency services [local variations], including information about the circumstances in which the emergency services [local variations] are to be immediately contacted; and

(k) procedures to ensure that emergency services [local variations] are provided with all the information that is reasonably required to enable them to respond effectively to an emergency; and

(l) procedures for effective communications and co‑operation throughout the emergency response; and

(m) procedures for ensuring site security and the preservation of evidence.

19 Keeping, maintaining and testing an emergency management plan

(1) A rail transport operator must ensure, so far as is reasonably practicable, that all employees of the operator, and all contractors engaged by the operator, who may be required to implement any emergency response procedures in the emergency management plan —

(a) are provided with information about the relevant elements of the plan; and

(b) are able to do anything that may be required of them under the plan.

(2) The operator must test the emergency management plan, or elements of the plan, to ensure that the plan remains effective —

(a) at the intervals set out in the plan; and

(b) after any significant changes are made to the plan.

(3) In preparing an emergency management plan, the operator must, if it is reasonably practicable to do so, determine intervals for the purposes of subregulation (2) (a) in conjunction with the emergency services [local variations].

(4) When testing the emergency management plan, or elements of the plan, the operator must, so far as is reasonably practicable, arrange for participation in the testing by the relevant emergency services [local variations].

(5) The operator must ensure that in‑house exercises to test the emergency management plan are undertaken as often as is necessary, in the opinion of the operator, to ensure that the plan will be properly implemented should an emergency arise.

(6) A rail transport operator must ensure that the emergency management plan is comprehensible, and is readily accessible at all times, to —

(a) all employees of the operator, and all contractors engaged by the operator, who may be required to implement any emergency response procedures in the plan; and

(b) all other rail transport operators who may be affected by the plan; and

(d) emergency services [local variations].

Division 6 Review

20 Review of safety management system

(1) A rail transport operator must comply with this regulation in conducting a review of the operator’s safety management system.

(2) In conducting the consultation required by section 57 (2) of the Act before carrying out the review, the operator must ensure that those consulted are asked for their opinion on whether, and if so, how, the safety management system can be improved.

(3) In conducting the review the operator must ensure —

(a) that the effectiveness of the safety management system is assessed (including an examination of the operator’s records in relation to notifiable occurrences and breaches of the system); and

(b) that the effectiveness of any revisions that were made as a result of the last review are assessed; and

(c) that any recommendations or issues arising out of any audits or safety investigations that have occurred since the last review are taken into account; and

(d) that any issues arising from any prohibition or improvement notices that have been issued since the last review are taken into account; and

(e) that any deficiencies in the system are identified; and

(f) that methods of remedying any deficiencies are designed and assessed; and

(g) that any opinions provided under subregulation (2) are assessed; and

(h) that any other suggestions for improving the system that arise during the course of the review are assessed; and

(i) if any deficiencies or practicable improvements are identified, that a plan is created to remedy those deficiencies, or to effect those improvements (as the case may be).

(4) The outcomes of the review must be summarised and reported in the safety performance report required by section 60 of the Act.

[Drafting Note: Section 60 of the Act provides the power to prescribe requirements applicable to safety performance reports, including performance indicators. This power is reserved until there is national agreement as to how it should be used.]

Part 4 Rail Safety Workers

21 Rail safety work

[Drafting Note: Section 8(1) provides both the power to:

Prescribe work that is rail safety work; and

Prescribe work that is not rail safety work

This power is reserved until there is national agreement as to how it should be used.]

22 Health and fitness management programs

For the purposes of section 64 of the Act, a rail transport operator must have, and must implement, a health and fitness program for rail safety workers that complies, so far as is reasonably practicable, with Volumes 1 and 2 of the National Standard for Health Assessment of Rail Safety Workers, published by the National Transport Commission, as amended from time to time.

23 Alcohol and drug management program

[local variations until there is national agreement as what requirements should be applicable]

24 Testing for presence of alcohol and drugs

[local variations until there is national agreement as what requirements should be applicable]

25 Fatigue management program

[local variations until there is national agreement as what requirements should be applicable]

26 Records of competence

For the purposes of section 68 (5) of the Act, a rail transport operator must maintain records of competence that include details of —

(a) the rail safety training undertaken by each rail safety worker, including when, and for how long, the training was undertaken; and

(b) the qualifications of each rail safety worker, including, if applicable —

(i) the units of competence undertaken to achieve the qualification; and

(ii) the level of qualification attained; and

(iii) if and when a re‑assessment of competence is to be conducted; and

(iv) if and when re‑training is due; and

(v) the date any re‑training was undertaken; and

(d) the name and qualifications of the person who assessed the competence of the rail safety worker.

Part 5 Miscellaneous

27 Periodic information to be supplied

(1) The following returns of information are required under section 72 (3) of the Act —

(a) a monthly [local variations] return that sets out in respect of the [month] —

(i) in the case of a rail infrastructure manager, the length, in kilometres, of track in this jurisdiction over which it has effective management and control; and

(ii) in the case of a rolling stock operator —

(A) the number of kilometres travelled in this jurisdiction by passenger trains over which it has effective management and control;

(B) the number of kilometres travelled in this jurisdiction by freight trains over which it has effective management and control;

(C) the number of journeys (either estimated or actual) made by passengers in urban areas of this jurisdiction on passenger trains over which it has effective management and control;

(D) the number of journeys (either estimated or actual) made by passengers in non‑urban areas of this jurisdiction on passenger trains over which it has effective management and control; and

(b) an annual return that sets out, in respect of the current financial year —

(i) in the case of a rail infrastructure manager, the length, in kilometres, of track in this jurisdiction over which it estimates that it will have effective management and control; and

(ii) in the case of a rolling stock operator —

(A) the number of kilometres that it estimates will be travelled in this jurisdiction by passenger trains over which it has effective management and control;

(B) the number of kilometres that it estimates will be travelled in this jurisdiction by freight trains over which it has effective management and control;

(C) the number of journeys that it estimates will be made by passengers in urban areas of this jurisdiction on passenger trains over which it has effective management and control;

(D) the number of journeys that it estimates will be made by passengers in non‑urban areas of this jurisdiction on passenger trains over which it has effective management and control;

(iii) the number of employees that the rail transport operator estimates will be engaged in railway safety work on, or in relation to, a railway within, or partly within, this jurisdiction.

[local variations – a jurisdiction may choose not to require the information set out in paragraph (b)]

(2) The rail transport operator must provide the [monthly] return required by subregulation (1) (a) to the Rail Safety Regulator as soon as is practicable after [the end of each month, and not later than the 21st day of the following month].

(3) The rail transport operator must provide the annual return required by subregulation (1) (b) to the Rail Safety Regulator before 29 July in the financial year to which it relates, or before any other date or period that is specified by the Regulator.

(4) In this regulation, financial year means the period of 12 months ending at midnight on 30 June.

[local variations ‑ sub‑regulations (3) and (4) are only required if sub‑regulation (1)(b) is included.]

[Drafting Note: Section 72 of the Act provides the power to prescribe information that a rail transport operator must provide to the rail safety regulator at the times, and in the manner, specified by the regulator. This power is reserved until there is national agreement as to how it should be used.]

28 Reporting of notifiable occurrences

(1) For the purposes of this regulation —

(a) a Category A notifiable occurrence is any of the following notifiable occurrences —

(i) an accident or incident that has caused death, serious injury or significant property damage;

(ii) a running line derailment;

(iii) a running line collision between rolling stock;

(iv) a collision at a road or pedestrian level crossing between rolling stock and either a road vehicle or a person;

(v) a fire or explosion on or in rail infrastructure or rolling stock that affects the safety of railway operations or that endangered one or more people;

(vi) a suspected terrorist attack;

(vii) any accident or incident involving a significant failure of a safety management system that could have caused death, serious injury or significant property damage;

(viii) any other accident or incident that is likely to generate intense public interest or concern;

(b) a Category B notifiable occurrence is any of the following notifiable occurrences, unless that occurrence is also a Category A notifiable occurrence —

(i) a derailment other than a running line derailment;

(ii) any collision involving rolling stock, other than a collision described in paragraph (a) (iii) or (iv);

(iii) any incident at a road or pedestrian level crossing, other than a collision described in paragraph (a) (iv);

(iv) the passing of a stop signal, or a signal with no indication, by rolling stock without authority;

(v) any accident or incident where rolling stock exceeds the limits of authorised movement given in a proceed authority;

(vi) any failure of a signalling or communications system that endangers, or that has the potential to endanger, the safe operation of trains or the safety of people, or to cause damage to adjoining property;

(vii) any slip, trip or fall by a person on railway property, or any person being caught in the door of any rolling stock;

(viii) any situation where a load affects, or could affect, the safe passage of trains or the safety of people, or cause damage to adjoining property;

(ix) any accident or incident involving dangerous goods that affects, or could affect, the safety of railway operations or the safety of people, or cause damage to property;

(x) any breach of a safe working system or procedure, or the detection of any irregularity or deficiency in such a system or procedure;

(xi) the detection of any irregularity in any rail infrastructure (including electrical infrastructure) that could affect the safety of railway operations or the safety of people;

(xii) the detection of any irregularity in any rolling stock that could affect train integrity or the safety of people, or cause damage to the rolling stock;

(xiii) any fire or explosion that causes damage to rail infrastructure or rolling stock, or both, or that causes the disruption or closure of a railway (even if the closure is only a precautionary measure);

(xiv) any incident on railway property where a person inflicts, or is alleged to have inflicted, an injury on another person;

(xv) a suspected attempt to suicide;

(xvi) the notification that a rail safety worker employed by a rail transport operator has returned a result to a test designed to determine the concentration of alcohol or drugs in a sample of blood or urine that suggests that the worker was in breach of a relevant safety requirement concerning the use of alcohol or drugs at a relevant time [local variations];

(xvii) the infliction of any wilful or unlawful damage to, or the defacement of, any rail infrastructure or rolling stock that could affect the safety of railway operations or the safety of people;

(xviii) a corridor security incident that affects the safety of railway operations.

(2) If a Category A notifiable occurrence happens on, or in relation to, a rail transport operator’s railway premises or railway operations, the operator —

(a) must report that fact to the Rail Safety Regulator immediately after becoming aware of the occurrence; and

(b) must give the Rail Safety Regulator a written report of the occurrence within 72 hours after becoming aware of the occurrence.

(3) If a Category B notifiable occurrence happens on, or in relation to, a rail transport operator’s railway premises or railway operations, the operator must give the Rail Safety Regulator a written report of the occurrence within 72 hours after becoming aware of the occurrence.

(4) The operator must ensure that any report it makes under this regulation is in the form, contains all the information, and is made in the manner, required by the Rail Safety Regulator.

(5) The Rail Safety Regulator may extend any time limit specified in this regulation by giving the operator a written notice to that effect.

(6) An extension granted under subregulation (5) has effect as specified in the notice.

[Drafting Note: Section 4 of the Act provides the power to prescribe an accident or incident, or class of accident or incident, not to be a notifiable occurrence. This power is reserved until there is national agreement as to how it should be used.]

29 Documents to be made available for public inspection

For the purposes of section 46 (c) of the Act, each annual safety performance report prepared under section 60 of the Act is prescribed.

30 Annual report of Rail Safety Regulator

[Drafting Note: Section 19 of the Act provides the power to prescribe a class of aggregated statistics that the rail safety regulator must publish in its annual report. This power is reserved until there is national agreement as to how it should be used.]

31 Audits of railway operations

[Drafting Note: Section 75 of the Act provides the power to prescribe procedures relating to the conduct of audits and inspections, including procedures to ensure the confidentiality of records This power is reserved until there is national agreement as to how it should be used.]

32 Embargo notices

For the purposes of section 90 of the Act, an embargo notice must contain the following details in addition to the matters required by section 90 (4) of the Act —

(a) a description of the thing to which the notice applies; and

(b) either the name of the person on whom the notice is to be served or a statement that the notice is to be affixed to the thing; and

(d) the date on which the notice was served or affixed.

33 Confidentiality

[Drafting Note: Section 149 of the Act provides the power to prescribe the exceptional circumstances in which a rail safety regulator may choose to disclose or communicate information. This power is reserved until there is national agreement as to how it should be used.]

34 Prescribed persons

[Drafting Note: Section 160 of the Act provides the power to prescribe persons that must give notice in the prescribed form and within a prescribed period if operations commence, are discontinued or cease. This power is reserved until there is national agreement as to how it should be used.]

35 Exemptions from the Act by regulation

[Drafting Note: Section 163(2) of the Act provides the power for the regulations to exempt any person, railway or part of a railway or operation from all or any of the provisions of the Act. This power is reserved in respect of the exemption of classes of operators, until there is national agreement as to how it should be used. However, the exemption of individual operators may occur as a local variation.]

Part 6 Fees

36 Annual fees for private sidings

A rail infrastructure manager must pay the fees set out in item 4 of the Table in Schedule 2 [local variations] for any private siding that the rail infrastructure manager registers with the Rail Safety Regulator under section 56 (2) (a) of the Act.

37 Application fees

An accredited person must pay the relevant fee set out in item 1 of the Table in Schedule 2 [local variations].

38 Annual accreditation fees

An accredited person must pay the relevant annual accreditation fees set out in item 2 of the Table in Schedule 2 by the date determined by the Rail Safety Regulator that is set out in the notice of accreditation.

[Drafting note: section 40(2) allows annual fees to be paid by instalments or by some other agreed method. This can be done administratively and does not need to be specified in the regulations.]

39 Variation of accreditation fees

For the purposes of section 47 (2) (c), the fee to accompany an application to vary an accreditation is the amount set out in item 5 of the Table in Schedule 2.

40 Late Fees

If the annual accreditation fee is not paid when due, the Rail Safety Regulator may charge an amount up to [local variations] for each period of [local variations] after that date.

[Drafting note: A reference to local variations in this Part is intended to encompass local variations by which fees are set by a mechanism other than regulations or additional advice on calculation of fees, for example in respect of pro rata levying for the first part year of operation.]

Schedule 1 Content of the Safety Management System

A. Safety Policy

1. A safety policy or policies that aligns or align with other organisational policies and that is, or that are, endorsed by the CEO and Board (or any other person or body controlling the rail transport operator).

2. A safety policy or policies that includes or include an express commitment to safety, the development and maintenance of a positive safety culture and the continuous improvement of all aspects of the safety management system.

AA. Safety Culture

[Reserved until there is national agreement]

B. Governance and Internal Control Arrangements

1. Systems and procedures to ensure that the CEO and Board (or any other person or body controlling the rail transport operator), or the people managing the railway operations, have sufficient knowledge —

(a) of the risk profile of the railway operations carried out by the rail transport operator to enable the rail transport operator to proactively manage the risks arising from those operations; and

(b) of the level of compliance by the organisation with its duties and obligations under the Act and these Regulations; and

(i) the safety management system is working effectively; and

(ii) risks to safety are being identified, assessed and managed so far as is reasonably practicable; and

(iii) controls used to monitor safety and to manage risks to safety are being regularly reviewed and revised.

2. Systems and procedures to ensure that decisions and directions made by the CEO and Board (or any other person or body controlling the rail transport operator), or of the people managing the railway operations, that affect safety are being implemented effectively.

C. Management, Responsibilities, Accountabilities and Authorities

1. Policies that indicate how safety responsibilities, accountabilities, authorities and interrelationships have been determined.

2. Documents that describe the responsibilities, accountabilities, authorities and interrelation of the personnel who manage or carry out rail safety work, or who verify such work.

3. Procedures for the reporting of risks to safety by personnel with safety responsibilities.

4. Documents that describe the authorities given to personnel with safety responsibilities to enable them to meet those responsibilities.

D. Regulatory Compliance

1. Systems and procedures for the identification of safety requirements under the Act and other safety legislation.

2. Systems and procedures to ensure compliance with those requirements.

E. Document Control Arrangements and Information Management

Systems and procedures to control and manage all documents and information relevant to the management of risks to safety associated with railway operations, including systems and procedures for —

(a) the identification, creation, maintenance, management, storage and retention of records and documents; and

(b) ensuring the currency of documents required for operations; and

(c) the communication of any changes to the document control systems and procedures to rail safety workers and employees of the rail transport operator who rely on those systems and procedures to carry out their work.

F. Review of the safety management system

1. Systems and procedures for the review of the safety management system in accordance with section 59 of the Act and regulation 20.

2. Documentation of the matters set out in regulation 20 (3).

G. Safety Performance Measures

1. Systems and procedures to ensure that the safety management system is effective by using key performance indicators to measure safety performance and to determine the effectiveness of the safety management system.

2. Systems and procedures to ensure the collection, analysis, assessment and dissemination of safety information held by the rail transport operator.

H. Safety Audit Arrangements

1. An audit program that provides for —

(a) the scheduling and frequency of audits; and

(b) safety management system audits as part of the audit program; and

2. Documented audit procedures to ensure there is a process for the collection of information to determine whether the railway operations comply with the safety management system and to determine the effectiveness of the safety management system.

3. Procedures to ensure that auditors —

(a) have the skills and knowledge to undertake audits; and

(b) are independent from the area being audited to the maximum extent that is practicable.

4. Procedures for —

(a) communicating the results of audits to those people who are responsible for the oversight of the railway operations in the area audited for review and, where appropriate, for corrective action; and

(b) where appropriate, the registration and effective implementation of recommendations for action identified by the audit; and

I. Corrective Action

1. Procedures to ensure, so far as is reasonably practicable, that corrective action is taken in response to any safety deficiencies identified following inspections, testing, audits, investigations or notifiable occurrences.

2. Procedures for —

(a) registering any corrective actions taken; and

(b) the review of those corrective actions; and

(d) the assigning of responsibilities for corrective action.

3. Procedures for giving priority, when undertaking corrective action, to those matters representing the greatest safety risk.

J. Management of Change

Procedures for ensuring that changes that may affect the safety of railway operations are identified and managed, including, but not limited to, procedures for ensuring, so far as is reasonably practicable —

(a) that changes are fully identified and described in the context of the railway operations; and

(b) that affected parties are identified and, if practicable, consulted; and

(c) that the roles and responsibilities of rail safety workers and employees of the rail transport operator are clearly specified with respect to the change; and

(d) that the rail safety workers and employees of the rail transport operator are fully informed and trained to understand and deal with the proposed change; and

(e) that the requirements of sections 57 (1) (c) and 57 (1) (d) of the Act are observed in relation to any risks associated with the proposed change; and

(f) that the change, once implemented, is reviewed and assessed by the rail transport operator to determine whether or not the change has been appropriately managed.

K. Consultation

Systems and procedures to ensure that the consultation required by section 57 (2) of the Act occurs when the safety management system is reviewed or varied.

L. Internal Communication

Systems and procedures —

(a) for the dissemination of information about the content of the safety management system to people who are to participate in the implementation of the system or who may be otherwise affected by the implementation; and

(b) for the communication of the rail transport operator's safety policy and safety objectives to all people who are to participate in the implementation of the safety management system; and

(c) for the internal reporting of accidents and incidents involving the operator’s railway operations, including accidents and incidents involving contractors and sub‑contractors; and

(d) to support communication and the dissemination of information throughout, and between all levels of, the operator’s railway operations.

M. Risk Management

1. Systems and procedures for compliance with the risk management obligations set out in sections 7, 57 (1) (c), 57 (1) (d) and 57 (1) (e) of the Act.

2. A risk register that includes —

(a) a listing of the risks to safety identified under section 57 (1) (c) of the Act; and

(b) details of the assessment of those risks (including their likelihood, likely consequences and ranking); and

(c) a description of any elimination or risk control measures that are to be used to manage, so far as is reasonably practicable, those risks, including, where appropriate

(i) the identification of who is responsible for implementing the measures; and

(ii) a reference to the general location or locations in the safety management system where more details on the measures can be found.

3. Systems and procedures to ensure that the details in the register are current, so far as is reasonably practicable.

N. Human Factors

Procedures to ensure that human factor matters are taken into account during the development, operation and maintenance of the safety management system and for the integration of human factors principles and knowledge into all relevant aspects of operational and business systems.

O. Procurement and Contract Management

Systems and procedures —

(a) for the review of tender documents and contracts to ensure that safety requirements under the safety management system are adequately defined and documented in those tender documents and contracts; and

(b) to ensure that the terms of any tender documents or contracts do not lead to unsafe work or an activity that may affect the safety of railway operations; and

(c) for the selection and control of contractors and to ensure the monitoring of the performance of contractors, including conducting or commissioning audits of the contractor's performance in relation to the safety aspects of the contract; and

(d) to ensure that safety duties under the Act are being met under contracts, and procedures for the taking of remedial action where necessary; and

(e) to ensure that goods and services provided to the railway operation meet the standards and specifications required for the safety of the railway operation.

P. General Engineering and Operational Systems Safety Requirements

1. A documented set of engineering standards and procedures, and operational systems, safety standards and procedures, to cover the following, and, if relevant, the interface between any 2 or more of them —

(a) rail infrastructure;

(b) rolling stock;

2. Details of the implementation and updating of the documents specified in clause 1.

3. Procedures for the control and verification of the design of structures, rolling stock, equipment, and systems, in accordance with the engineering standards and procedures, and operational systems safety standards specified in clause 1.

4. Systems, procedures and standards for the following in relation to rail infrastructure and rolling stock —

(a) engineering design; and

(b) construction and installation; and

(d) monitoring and maintenance; and

(e) system operation; and

(f) modification; and

(g) decommissioning or disposal.

Q. Process Control

1. Procedures for the rail transport operator to monitor its compliance with the standards and procedures specified in section P, including procedures for the inspection and testing of safety related engineering and operational systems.

2. Procedures for the control, calibration and maintenance of all equipment used to inspect or test rail infrastructure or rolling stock.

3. Arrangements for the establishment and maintenance of inspection and test records to provide evidence of the condition of rail infrastructure or rolling stock.

R. Asset Management

An asset management policy and processes that address all phases of the asset lifecycle of the rail infrastructure or rolling stock operations.

S. Safety Interface Coordination

1. Procedures for the identification of interface risks to the safety of railway operations and for the development and implementation of interface co‑ordination plans in accordance with section 61 of the Act and regulations 12 and 13.

[Drafting Note: This item has been drafted to allow separate consideration by the Australian Transport Council of Amendment Bill 2 to the Rail Safety Bill and a related regulation. Minor consequential amendments may be required to reflect approval].

2. Procedures for monitoring the implementation and effectiveness of interface co‑ordination plans, and compliance with interface agreements.

T. Management of Notifiable Occurrences

1. Systems and procedures for the reporting of notifiable occurrences in accordance with regulation 28.

2. Procedures for the management of the scene of a notifiable occurrence and for the preservation of evidence where reasonably practicable.

3. Procedures for the management of all notifiable occurrences, including procedures to enable the determination of which notifiable occurrences are to be investigated, and how investigations are to be conducted.

U. Rail Safety Worker Competence

Procedures, and where necessary standards, to ensure compliance with section 68 of the Act and with regulation 26.

V. Security Management

1. The security management plan required by section 62 of the Act.

2. Systems and procedures to ensure compliance with section 62 and regulation 16.

W. Emergency Management

1. The emergency management plan required by section 63 of the Act.

2. Systems and procedures to ensure compliance with section 63 and Division 5 of Part 3.

X. Fatigue

Systems and procedures to ensure compliance with section 67 of the Act and regulation 25. [local variations]

Y. Drugs and Alcohol

Systems and procedures to ensure compliance with sections 65 and 66 of the Act and with regulations 23 and 24. [local variations]

Z. Health and Fitness

Systems and procedures to ensure compliance with section 64 of the Act and with regulation 22. [local variations]

ZA. Resource Availability

Systems and procedures for estimating the resources, including people and equipment, that the rail transport operator will need to operate and maintain its railway operations and to implement, manage and maintain its safety management system, and for the preparation of plans to ensure that it has adequate access to those resources.

Schedule 2 Fees

Item	Description	Fee	Regulation
1	Prescribed application fee		As numbered
	For a rolling stock operator	local variation
	local variation
	For a rail infrastructure manager	local variation
	local variation
	For a rolling stock operator and rail infrastructure manager	local variation
	local variation
	Alternative minimum application fee	local variation
	local variation
2	Annual fees	local variation	As numbered
	For a rolling stock operator
	local variation
	For a rail infrastructure manager	local variation
	local variation
	For a rolling stock operator and rail infrastructure manager	local variation
	local variation
	Alternative minimum annual fee	local variation
	local variation
3	Application for variation fee	local variation	As numbered
	local variation
4	(Annual) Registration Fee for private sidings	local variation	As numbered
5	Application for variation of accreditation	local variation	As numbered

Note

1. All legislative instruments and compilations are registered on the Federal Register of Legislative Instruments kept under the Legislative Instruments Act 2003. See www.frli.gov.au.

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National Transport Commission (Model Rail Safety Regulations) Regulations 20071

Select Legislative Instrument 2007 No. 320

Dated 26 September 2007

P. M. JEFFERY

Governor‑General

By His Excellency’s Command

MARK VAILE

Minister for Transport and Regional Services

1 Name of Regulations

These Regulations are the National Transport Commission (Model Rail Safety Regulations) Regulations 2007.

2 Commencement

These Regulations commence on the day after they are registered.

3 Model legislation — Model Rail Safety Regulations 2007

For section 7 of the National Transport Commission Act 2003 (the NTC Act), Schedule 1 sets out model legislation, in the form of Regulations, about Model Rail Safety.

Schedule 1 Model Rail Safety Regulations 2007

(regulations 3)

The following provisions are intended to provide the basis for nationally consistent transport laws on the topics with which they deal. They do not, of themselves, have any legal effect.

Contents

Part 1 Preliminary Matters

1 Name of Regulations

2 Approval

3 Definition and reference provision

Part 2 Accreditation

4 Application for accreditation

5 What the applicant must demonstrate

6 Prescribed details of accredited person

7 Prescribed conditions of, or restrictions on, accreditation

8 Surrender of accreditation

9 Application for a variation of an accreditation

Part 3 Safety Management

Division 1 Safety Management Systems

10 Prescribed requirements for a safety management system

Division 2 Private Sidings

11 Maintenance and operational conditions

Division 3 Interface Co‑ordination Plans

12 Meaning of interface agreement

13 Obligations on rail transport operators

14 Obligations on rail infrastructure managers

15 Obligations on road authorities

Division 4 Security Management Plans

16 Security management plan

Division 5 Emergency Management Plans

17 Preparation of an emergency management plan 18

18 Matters to be included in an emergency management plan

19 Keeping, maintaining and testing an emergency management plan

Division 6 Review

20 Review of safety management system

Part 4 Rail Safety Workers

21 Rail safety work

22 Health and fitness management programs

23 Alcohol and drug management program

24 Testing for presence of alcohol and drugs

25 Fatigue management program

26 Records of competence

Part 5 Miscellaneous

27 Periodic information to be supplied

28 Reporting of notifiable occurrences

29 Documents to be made available for public inspection

30 Annual report of Rail Safety Regulator

31 Audits of railway operations

32 Embargo notices

33 Confidentiality

34 Prescribed persons

35 Exemptions from the Act by regulation

Part 6 Fees

36 Annual fees for private sidings

37 Application fees

38 Annual accreditation fees

39 Variation of accreditation fees

40 Late Fees

Schedule 1 Content of the Safety Management System

Schedule 2 Fees

Part 1 Preliminary Matters

1 Name of Regulations

These Regulations are the Model Rail Safety Regulations 2007.

2 Approval

These Regulations were approved by the Australian Transport Council on 22 December 2006.

3 Definition and reference provision

(1) In these Regulations, (the Act) means the Rail Safety Act 2006 as approved by the Australian Transport Council as model legislation, as amended from time to time.

[local variations – this provision is only necessary if it is not covered by a jurisdiction’s Interpretation Act]

Part 2 Accreditation

4 Application for accreditation

For the purposes of section 33 (2) (e) of the Act, an application for accreditation must contain —

(a) the following identification details of the applicant —

(i) the applicant’s name; and

(ii) the applicant’s registered business name, and trading name if that is different to the registered business name; and

(iii) the applicant’s ACN or ABN, if applicable; and

(iv) the applicant’s residential address or, in the case of a body corporate, registered business address; and

(b) the name and contact details of a person who has been appointed by the applicant to deal with any queries that the Rail Safety Regulator may have in relation to the application; and

(g) a description of the safe working systems that the applicant intends to use in the operations for which the application is made; and

(i) if electrified railway tracks will be used, details of the electrification; and

(j) details of the consultation undertaken by the applicant in relation to the applicant’s safety management system, including —

(i) who was consulted; and

(ii) when and how the consultation occurred; and

(iii) the results of the consultation; and

(k) if the applicant is not an individual, evidence that the application has been submitted to and endorsed —

(i) if the applicant is a body corporate —

(A) that is a company within the meaning of the Corporations Act 2001, by its Board of Directors in accordance with section 127 of that Act; or

(B) in any other case, by its governing body;

(ii) if the applicant is a partnership, by each partner;

(iii) if the applicant is an unincorporated association or body, by its governing body; and

(l) if any of the activities that it is intended to carry out under the accreditation sought are to be carried out by any other person on behalf of the applicant —

(i) the name and contact details of each such person; and

(ii) details of the activities that it is intended that the person will carry out on behalf of the applicant; and

(m) [the application fee set out in item 1 of Schedule 2] [local variations].

5 What the applicant must demonstrate

6 Prescribed details of accredited person

For the purposes of section 37 (2) (a) of the Act, a notice of accreditation must specify the accredited person’s —

(a) name; and

(b) registered business name, and trading name if that is different to the registered business name; and

(d) residential address or, in the case of a body corporate, registered business address.

7 Prescribed conditions of, or restrictions on, accreditation

(1) For the purposes of section 38 of the Act, any accreditation granted to a rail transport operator is subject to the following conditions and restrictions —

(a) if the operator is accredited under a corresponding law —

(i) it must advise the Rail Safety Regulator in writing immediately if its accreditation in the other State or Territory expires, or is suspended, surrendered or revoked;

(b) the operator must pay the annual accreditation fee by the date determined by the Rail Safety Regulator that is set out in the notice of accreditation;

Table

Item	Decision, event or change	When notification must be given
1	A decision to design or construct, or to commission the design or construction of, rolling stock or new railway tracks.	As soon as is reasonably practicable after the decision is made.
2	The introduction into service of rolling stock of a type not previously operated by the operator, or the re‑introduction into service of rolling stock not currently operated by the operator.	At least 28 days before the date the operator intends to introduce or re‑introduce the rolling stock into service.
3	A change to a safety critical element of existing rolling stock.	At least 28 days before the date the operator intends to bring the change into operation.
4	A change to one or more of the classes of rail infrastructure used in the operator’s accredited operations.	At least 28 days before the date the operator intends to introduce the new class of rail infrastructure into service.
5	A change to a safety standard for the design of rail infrastructure or rolling stock.	At least 28 days before the date the operator intends to adopt the change.
6	The decision to adopt a new safety standard for the design of rail infrastructure or rolling stock.	At least 28 days before the date the operator intends to adopt the new standard.
7	A change to the frequency or procedures for the inspection or maintenance of railway infrastructure or rolling stock.	At least 28 days before the date the operator intends to bring the change into effect.
8	A change to any safeworking system rule or procedure relating to the conduct of the operator’s railway operations.	At least 28 days before the date the operator intends to bring the change into effect.
9	A decision to introduce a new safeworking system rule or procedure relating to the conduct of the operator’s railway operations.	As soon as is reasonably practicable after the decision is made.
10	The replacement of the person nominated in the safety management system as the contact person for dealing with queries in relation to the safety management system of the operator with another person.	As soon as is reasonably practicable after it is known that the replacement will occur.

8 Surrender of accreditation

9 Application for a variation of an accreditation

(a) the details required by regulations 4 (a) (identification) and 4 (b) (contact person); and

(b) details of the scope and nature of the proposed variation; and

(c) details of the changes that will be made to the applicant’s safety management system if the proposed variation occurs; and

(d) details of any consultation that has occurred with the parties who might be affected by the proposed variation, including —

(i) who was consulted; and

(ii) when and how the consultation occurred; and

(iii) the results of the consultation; and

(e) evidence to demonstrate that the applicant has the competence and capacity to manage the risks to safety associated with the proposed variation.

[Drafting Note: Section 49 of the Act provides the power to prescribe any other information that is to be included in the notice of variation of accreditation.

This power is reserved until there is national agreement as to how it should be used.]

Part 3 Safety Management

Division 1 Safety Management Systems

10 Prescribed requirements for a safety management system

Division 2 Private Sidings

11 Maintenance and operational conditions

The following conditions are imposed for the purposes of section 56 (2) (b) of the Act —

(a) the rail infrastructure manager must have systems and procedures to ensure that it complies with the safety duties imposed on it by section 28 of the Act in relation to the private siding; and

(i) a listing of the risks to safety arising from the maintenance and operation of the private siding; and

(ii) details of the assessment of those risks (including their likelihood, likely consequences and ranking);

National Transport Commission (Model Rail Safety Regulations) Regulations 2007

Plain English Summary

Deep Dive

What it does

Main concepts

Who it affects

Key duties and rights

Penalties and enforcement

How it interacts with other laws

Amendment history

Litigation history

Gotchas

How to comply

Current sections