1 Mambray Creek looking north toward Port Augusta, South Australia Table of Contents
Table of Contents
4 Letter of Transmission 4 About This Report
Overview
6 Chief Executive’s message 9 About our organisation 10 Our statutory framework 12 Governance 15 ONRSR’s strategic and regulatory frameworks 16 Our stakeholders 19 Rail industry safety performance 21 Measuring ONRSR’s performance
Part A: ONRSR National Performance
25 Goal 1: Maintain and improve rail safety through a risk-based approach to regulation 28 Goal 2: Reduce regulatory burden on industry 30 Goal 3: Promote greater self-regulation by industry 32 Goal 4: Prepare for and support the entry of other state regulators into the ONRSR 33 Goal 5: Promote safety awareness and safety improvement initiatives and research 35 Goal 6: Develop and enable our people to optimise internal capability and organisational effectiveness
Part B: Jurisdictional performance
38 South Australia 39 New South Wales 42 Australian Capital Territory 43 Victoria 44 Tasmania 45 Northern Territory
Financial Report
46 Financial summary 2014–15 48 Independent Auditors Report 51 Financial Statements
Appendix 1
71 FOI legislative reporting
Annual Report ‘14 – ‘15 3 About This Report
Letter of transmission About This Report Transport and Infrastructure Council ONRSR is a Body Corporate established under the Rail Safety National Dear Ministers, Law (RSNL) and, under It is my pleasure to submit to you the the Law, is not subject to Ministerial annual report of the Office of the National direction in the exercising of its functions Rail Safety Regulator (ONRSR). The report and powers. The RSNL requires the is separately provided to all participating regulator to deliver to the responsible jurisdictional Ministers for Transport for Ministers a report on the ONRSR’s tabling in their respective parliaments. activities for each financial year. The ONRSR Annual Report 2014-15 has This report covers the activities been prepared in accordance with the of ONRSR during 2014-15 for those requirements of the Rail Safety National jurisdictions for which it had legal Law 2012 (RSNL). accountabilities for regulation, namely South Australia, New South Wales, the The report is structured to reflect Northern Territory, Tasmania, Victoria and ONRSR’s delivery against the ONRSR the ACT. ONRSR is working with other Corporate Plan 2015-18 which has been jurisdictions yet to pass legislation. endorsed by the Ministerial Council on Transport and Infrastructure and The report is structured in five parts. promoted to stakeholders. The overview section includes our purpose, governance structures, Yours sincerely, summary of major achievements and summary financial report. Part A covers national regulatory activities and Part B covers local regulatory activities at jurisdictional level operating under National Law during 2014-15. Financials and an appendix follow. Sue McCarrey Chief Executive Feedback ONRSR welcomes feedback on its report, please email: [email protected]
(right) V-line train leaving Melbourne, Victoria
4 Office of the National Rail Safety Regulator Chapter title
5 Annual Report ‘14 – ‘15 5 Chief Executive’s Message
I am pleased to present the Office of National Rail Safety Regulator’s (ONRSR) second full financial year annual report outlining its performance and activities during 2014-15. During 2014-15 we have seen further progress in ONRSR’s consolidation of national rail safety data and accreditations, national policies, procedures and guidance provided to industry, the consistent application of national regulatory practice across ONRSR branches and a level of maturity with our internal systems. For an organisation of just over two years old, these advances are very reassuring and reflect the foundations to achieving the benefits of the national reform, which are to: • support a seamless national rail transport system; Chief • not reduce existing levels of rail safety; • streamline regulatory arrangements and reduce Executive’s the compliance burden for business; and • improve national productivity and reduce transport costs generally. However, as all jurisdictions are yet to join ONRSR, industry is still maturing and national standards are yet Message to be implemented across the industry, there is still a way to go before the full benefits will be realised. It has been reassuring to see the reform taken by industry with the changes in governance arrangement for the Rail Industry Safety and Standards Board (RISSB) and ONRSR will continue to support industry through RISSB to ensure these develop further. As an organisation we are not only growing but increasingly consolidating valuable national knowledge from regulatory offices and operators alike to strengthen the way we jointly approach the important outcome of rail safety. This has contributed to a number of achievements which I highlight below.
Regulatory achievements This year has seen the consolidation of single jurisdiction and multi-jurisdictional notices completed and all operators have been notified of their streamlined reporting timeframes. ONRSR continues its important role in responding to confidential reports referred by the Australian Transport Safety Bureau (ATSB) which provides assurance to the community that its safety concerns are addressed and it is establishing its function to monitor independent safety investigation reports. We have also strengthened our policy and procedural framework. Whilst the first phase was development of this framework, this year has seen greater focus on ensuring consistent application across branches. There is further work to do and our strategies for this are contained in our Corporate Plan.
Chief Executive, Sue McCarrey
6 Office of the National Rail Safety Regulator Currently throughout Australia, there are Co-regulation a number of big ticket major rail projects such as the Sydney Metro Northwest Co-regulation is an important framework and Sydney Metro Southwest, the CBD for the work of ONRSR and its interactions and South East light rail in Sydney, the with industry. This model clearly identifies Melbourne Metropolitan Rail Project, that the responsibility of industry is to Canberra Light Rail and the Inland Rail manage rail safety and the regulator to project. These projects often comprise ensure industry is doing this. This requires complex governance arrangements and industry to exhibit a degree of self- use of new technologies. In addition to regulation and where required, to act as its ongoing liaison with proponents a collective entity for longer lasting safety on their specific accreditations, ONRSR benefit. One such area is the development has produced a guideline to provide of an industry safety risk model developed greater clarity on rail safety legislative and led by industry. This work has faced requirements and the regulator’s significant challenges to date however expectations which has been positively there has been recent progress. ONRSR received by industry. This work will is contributing to this work by its support continue to be an important focus for for RISSB and staff participation on ONRSR, recognising the significant role RISSB working groups. these projects will play for industry and the general public into the future.
Safety improvement initiatives As an organisation we Safety improvement is a core legislative objective for ONRSR and an area where we can provide significant value are not only growing in promoting information sharing from industry and promote awareness of better practice. Both the regulator and industry acknowledge that there are still rail safety but increasingly risks that need greater focus. Our Annual Safety Report identifies ONRSR’s major safety priorities each year. consolidating valuable We continued our targeted safety improvement focus during 2014-15 working with industry to improve national knowledge road rail vehicle (RRV) safety, asset management, fatigue management and human factor management. from regulatory offices and operators alike to strengthen the way we jointly approach the important outcome of rail safety.
Annual Report ‘14 – ‘15 7 Chief Executive’s Message
Transitional activities Strengthening the Forward direction The analysis underpinning the We again experienced a year that ONRSR as a team development of our Annual Safety required a focus on transitional activities I am critically aware that to achieve our Report will again inform our regulatory to ONRSR. There were a number of delays national rail safety goals, we need to have and safety improvement priorities for the in transitioning Western Australia, however a supportive collegiate team that responds coming year. In addition to this, many we are confident that this will be on track proactively and appropriately to rail safety new and continuing initiatives have been for the coming year. I am pleased to be risks. During the year, our broader senior identified in our Corporate Plan for delivery positively engaging with those states with leadership group met to discuss ONRSR’s in forward years which will continue to service level agreements as they review performance and forward directions. I was support industry in enhancing rail safety these and consider direct delivery of their impressed with the level of enthusiasm and improve the governance and regulatory services to ONRSR. from staff all over Australia to work as efficiency of ONRSR. During 2015-16 Full transition strengthens ONRSR’s a national team. Whilst recognising the we should see Western Australia transition ability to apply a nationally consistent logistical challenges of team building in its regulatory functions to ONRSR and regulatory approach, liaise consistently a formative organisation across states, NSW move from delivery under a and effectively with stakeholders and I nevertheless am very confident that we service level agreement to direct manage its expertise and resources have the right people, approaches and delivery as part of ONRSR. according to local and national systems to make our organisation not only rail safety needs. productive but a positive place to work. We still have many challenges to face, Thanks particularly in maturing our internal processes, governance and IT systems I would like to thank our external to support an organisation that is growing stakeholders across Australia who have with the transitioning of state-based worked with us to maintain and improve regulators. Prolonged transition has also rail safety. We value working with you in been an issue given the level of ONRSR a constructive manner and always look to Executive and system support required making the regulatory relationships clear to achieve this. These issues are and workable and our forward intentions recognised and addressed in our and accountabilities transparent. Corporate Plan 2015-18. I would also like to particularly thank the staff of ONRSR including those contributing to our work under the service level agreements for a highly successful year. Since joining ONRSR only nine months ago, I am very proud of the team I have working with me. Together with industry, we fully commit to continuing the journey to improve rail safety, streamline regulatory arrange- ments, reduce regulatory burden on industry and improve national productivity for the benefit of the whole community.
Sue McCarrey Chief Executive
8 Office of the National Rail Safety Regulator About Our Organisation
Genesee & Wyoming Australia freight train passing a level crossing at Keith, South Australia
About Our organisation Our aim is to enhance and promote rail safety nationally through effective risk-based regulation.
Annual Report ‘14 – ‘15 9 About Our Organisation
ONRSR is established as a Body Corporate with perpetual succession under Section 12 of the Rail Safety National Law (which is a schedule to the Rail Safety National Law (South Australia) Act 2012). It operates under a national Our values guide framework reporting to Ministers in each state through the Transport and Infrastructure Council. and inform the ONRSR’s national office is in Adelaide and regulatory staff deliver services through branch offices. During 2014-15, there were three operational branch internal culture offices reflecting the status of participating states. These were Central Branch which is located in Adelaide which oversaw operations in South Australia, Northern and external Territory, Tasmania and the ACT, the NSW Branch located in Sydney and the Victorian Branch in Melbourne. business conduct Staff in the Central Branch are employed by ONRSR. The NSW and Victorian Branches provide the agreed of ONRSR. level of services through service level agreements with the Independent Transport Safety Regulator (ITSR) and Transport Safety Victoria (TSV) respectively. ITSR staff are integrated into ONRSR’s management structure, providing invaluable support to both local Independence regulation and national office activities. We are independent from industry, ONRSR reports twice each year to the political and individual influences Transport and Infrastructure Council Co-regulatory (Ministerial Council). We support and encourage industry to operate safely and enforce compliance with the law Effective Our statutory We are committed to working framework cooperatively with industry to ONRSR’s principal governing framework improve rail safety is outlined in the Rail Safety National Law. Clarity The regulator’s guiding objectives under We actively engage and communicate the Act are to: with the rail industry and other stake- holders, and are unambiguous in • facilitate the safe operation of rail the decisions we make transport in Australia Fairness and Integrity • exhibit independence, rigour and We are open and honest in all excellence in carrying out its regulatory we do and act with integrity functions at all times • promote safety and safety improvement Leadership as a fundamental objective in the We are committed to building and delivery of rail transport in Australia. maintaining a positive team culture between regulator and industry for ONRSR also has responsibilities a shared purpose on safety under the following South Australian legislation (as modified Respect by the Rail Safety National Law National We show respect for others at all Regulations): times, value our people and support professional and personal development • Freedom of Information Act 1991 so that we attract the highest quality • Ombudsman Act 1972 of people to our workforce • Public Finance and Audit Act 1987 • State Records Act 1997.
10 Office of the National Rail Safety Regulator What we Do Our resources CityRail train service at Bondi Junction station, Sydney, ONRSR’s roles include: ONRSR received funding from industry New South Wales • accrediting Australian rail transport through fees to the value of $8.233m operators and approving variations and from State and Territory Governments to existing accreditations. to the value of $23.745m. ONRSR’s primary expenditure items were the • compliance monitoring and enforce- SLA payments, salaries and wages and ment of Rail Safety National Law. operational costs including rent payments • promoting better safety practices and the development and maintenance and technologies to industry. of the IT systems. • providing specialist advice to the rail industry. • provision of reports to the Transport and Infrastructure Council (Ministerial Council). • liaising with stakeholders through forums and events. • assistance to jurisdictions whose rail regulation is yet to transition to the ONRSR. • central coordination and development of regulatory policies and procedures.
Annual Report ‘14 – ‘15 11 Governance
Julie Bullas, James Stormonth, Peter Doggett, Executive Director, Executive Director, Executive Director, Policy, Communications and Planning Corporate National Operations — — — Julie has had over 30 years’ experience James has been a CPA for over 30 years Peter has over 20 years’ experience leading policy development, reform and and has led and managed financial management in the Australian rail industry where he has major change projects at an Executive level roles over a diverse range of industries from combined leadership roles and practical across all levels of government, and within establishing a two partner taxation and operational experience with a focus the rail industry. small business practice to manufacturing, on risk management. retail and government financial roles.
Governance Peter Batchelor, Under Rail Safety National Law, Non-executive member ONRSR comprises the National ONRSR Board Rail Safety Regulator (NRSR), Sue Peter Batchelor brings an extensive McCarrey, and two Non-Executive Sue McCarrey, knowledge of government obtained members, Catherine Scott and Peter Chief Executive through his 20 years as a member of the Batchelor. These three appointments Victorian Parliament. During this time Sue McCarrey was appointed Australia’s made by the South Australian Minister Peter held senior Cabinet positions second National Rail Safety Regulator in on the unanimous advice from including Minister for Transport. November 2014. Under her leadership responsible Ministers are hereafter ONRSR is maturing into a fully-fledged Catherine Scott, referred to collectively as the Board national operation that is facilitating Non-executive member of ONRSR. The Board is responsible a safe, efficient and prosperous for acting in the best interests of Australian rail industry. Catherine Scott is an experienced ONRSR, consistent with its objectives, Non-Executive Director. Her career functions and legislation. It performs combines investment banking and core governance functions, which corporate experience in transport, include annual reporting, development infrastructure, natural resources of the annual budget, and establishment and agriculture. of performance indicators. The legal authority for specific regulatory actions is vested in the NRSR only. During 2014-15, the Board met 12 times and discussed the current working arrangements of ONRSR, its governance, its strategic directions as reflected in the Corporate Plan and Statement of Intent, received reports and recommendations from the Audit and Risk Committee, oversaw the financial operations and provided support to the Chief Executive in relation to issues and concerns of transitioning jurisdictions.
12 Office of the National Rail Safety Regulator Simon Foster, Barry Carr, Steve Bickley, Executive Director, Corporate Counsel, Director, Technical (resigned August 2015) Safety and Risk
— — — Simon Foster brings over 30 years of Barry is an admitted practitioner to the Steve has over 15 years’ experience technical and management experience High Court of Australia and the Supreme in rail safety and risk management in in rail covering track, fleet, operations, Courts ofVictoria, Australian Capital Europe, Asia and Australia. stations and communications. Territory and South Australia.
The ONRSR Executive team, 2014–15
Governance System The Board and Executive is supported by a governance structure comprising internal and external committees, and processes and procedures, including delegation of authorities and risk management practice. These are outlined below.
Internal Committees ONRSR has one advisory committee to the Board: Independent Audit and Risk Committee An independent Audit and Risk Committee reports directly to the Board, providing advice and making recommendations against its agreed Executive The Team terms of reference. The committee met 5 times during 2014-15 to oversee ONRSR’s Executive comprises four ONRSR continued to take a cautious and review ONRSR’s corporate risk Executive Directors, Corporate Counsel approach to recruitment and finance, and financial management practice. and the Director, Safety & Risk. pending transition of all jurisdictions to regulation by ONRSR. At year-end, 58 It comprises Catherine Scott, ONRSR During 2014-15, the Executive met 15 staff were employed by ONRSR of which Non-Executive member who chairs the times and discussed ONRSR’s strategic 9 were employed on fixed term contracts. committee and Malcolm Renney, an directions, corporate risks and issues, Of these, 44 were in the national office external appointment who has extensive operational strategies, policy and and 14 in the Central Branch Office. In experience in risk management in the legislative requirements, safety intelligence addition, services were provided by 54 banking sector. The Auditor-General or and data, safety improvement initiatives staff in NSW and 32 staff in Victoria his representative is invited as a guest and transitional issues. The Executive under the service level agreements. to each meeting of the committee and reviewed and endorsed the direction this facilitates effective communication and recommendations from supporting with the Audit Office. committees in the governance structure.
Annual Report ‘14 – ‘15 13 Governance
ARTC maintenance vehicle, Kingoonya, Northern Territory
There are three senior committees sitting Information Management Delegation of Authorities under the Executive as outlined below: and Technology (IM&T) A framework of delegation is in place so Steering Committee National Operations that day to day powers of the NRSR can Committee (NOC) The IM&T Steering Committee is be executed by Executive Directors, led by the Executive Director, Corporate Branch Directors and operational staff. The NOC is led by the Executive Director and comprises two Executive Directors National Operations and comprises the for National Operations and Technical Executive Director Technical and senior and senior IT staff. The IM&T Steering operational staff from head and branch Committee oversees all IT planning, Corporate risk management offices. The NOC oversights the prepara- developments and maintenance tion and implementation of the National ONRSR is committed to ensuring it has for ONRSR including transitioning Operations work plan, discusses arising the necessary expertise, processes and of jurisdictions. operational matters and is the vehicle agreements in place and takes a proactive for coordinating a consistent approach in identifying its risks and approach to regulation. implementing appropriate mitigation Senior Leadership Group strategies. Whilst there is a shared Data and Policy Committee (DPC) responsibility throughout the organisation, During 2014-15, ONRSR established a management of risk is overseen by the The DPC is led by the Chief Executive senior leadership group (SLG) comprising ONRSR Audit and Risk Committee. and comprises Executive Directors direct reports to Executive members. ONRSR maintains a detailed responsible for Policy & Safety Improve- The SLG provides input to the ONRSR business risk register. ment, Operations and Technical together Executive on strategic directions and with appropriate senior management performance. Throughout the year the Executive from those areas. The DPC reviews regularly and formally review key risks, safety intelligence on emerging issues, priorities and required actions. establishes safety improvement initiatives, identifies areas for policy, legislative and guideline development, oversees the drug and alcohol testing program, the development of the Annual Safety Report and safety bulletins.
14 Office of the National Rail Safety Regulator ONRSR’s strategic and regulatory frameworks
ONRSR’s Strategic ONRSR’s regulatory approach • Transparent, fair and accountable: Rail transport operators know what, ONRSR’s regulatory approach articulates and Regulatory why and when we take safety action how we regulate with the view to achieving and these actions are predictable Framework our purpose and objectives. The full and proportionate. Statement of intent document is available at www.onrsr.com.au • Consistent: We are consistent with ONRSR is required to set out a Statement our risk-based decision making and like Key principles of ONRSR’s regulatory of Intent for agreement by the Transport situations will be treated in a like manner approach are as follows: and Infrastructure Council (Ministerial as much as possible, no matter where Council). The full Statement of Intent, • Independent and impartial: We are they arise under ONRSR. as agreed by the Ministerial Council in independent from industry, political and May 2015, is available on the ONRSR’s These principles aim to support regulatory individual influences and act without website at www.onrsr.com.au effectiveness and efficiency by supporting bias in the best interest of rail safety a transparent and collaborative relation- and consistent with our functions. The Statement outlines ONRSR’s key ship with the rail transport industry and functions, its regulatory approach and • Risk-based: Regulatory effort and continual improvement in rail safety. the priorities for 2015-2018. These include compliance activity is commensurate undertaking activities to support ONRSR’s We prefer to achieve outcomes by with risk, which means that we align regulatory approach, creating a culture providing support and collaboration on our priorities and regulatory activity within ONRSR to optimise organisational risk-based safety improvement initiatives with the highest risk and potential effectiveness and deliver consistent to encourage industry to build its capacity for improvement. risk-based operations across the country, to improve its performance voluntarily develop and deliver in tandem with • Educational: ONRSR, through its safety and collectively. Given this, our tools of industry safety improvement initiatives improvement strategy proactively first resort are to influence and support and maintain and strengthen good engages in encouraging, collaborating industry on risk management initiatives stakeholder relationships. and supporting the wider industry to as well as provide any tools and guidance enable duty-holders under the law to that are required. If further regulatory A key focus for ONRSR continues to improve their knowledge, skills and action is required, we use those regulatory be encouraging industry to develop an standards to prevent accidents and tools and provisions as articulated under industry-owned national rail safety risk unsafe conditions. Rail Safety National Law. This approach is model supported by consistent, accurate outlined in our Compliance and Enforce- data. Once developed, this will strengthen • Proportionate compliance and ment policy and depicted below: the development and adoption of quality enforcement: ONRSR’s compliance industry products and safety improvement and enforcement policy is predicated initiatives and projects resulting in safety upon response to safety issues being and economic benefit to industry and proportionate to the risks and the community. potential benefit to safety. It also refers to the goals of ONRSR reflected in its Corporate Plan which are to: • maintain and improve rail safety through risk-based regulation • reduce regulatory burden on industry • promote greater self-regulation by industry Revocation or suspension of • prepare for and support the entry of accreditation/registration other state regulators into ONRSR • promote safety awareness and Prosecution / Enforceable safety improvement initiatives, and voluntary undertaking • develop and enable our people to Statutory notice (improvement notice / optimise internal capability and prohibition notice, infringement notice / non-disturbance organisational effectiveness. notice) / Conditions of restrictions on accreditation/ registration / Direct amendment of saftey management system To achieve these goals, ONRSR aims to maintain and improve rail safety through consistent risk-based application of the Finding of non-conformance law across jurisdictions, share and improve regulatory practice and Provision of advice / education and training, verbally and through develop strong stakeholder development of guidelines, fact sheets, information, safety alerts and seminars relationships and engagement.
Annual Report ‘14 – ‘15 15 Our Stakeholders
The following reflects key ONRSR external stakeholders as at June 2015. ONRSR’s primary stakeholder is the Australian public who are represented through government ministers, government forums / bodies and agencies.
Stakeholders
Stakeholder Role/function What ONRSR delivers
Transport and Ministerial body comprising all State, Efficient and effective regulation of rail safety in Australia Infrastructure Territory and Federal Ministers for Monitor and reporting of national rail safety issues Council (Ministerial Transport and Infrastructure Council) & Support for jurisdictions transitioning to ONRSR Executive officer level committee Transport and supporting Ministerial Council through Proposals for fee regulations to recover industry costs Infrastructure advice and coordination of briefings Senior Officials Accountability for funding Committee (TISOC)
National Transport Inter-governmental agency charged with Advice and liaison on legislative Commission (NTC) improving the productivity, safety and enhancements to the RSNL environmental performance of Australia’s road, rail and intermodal transport system.
Australian Independent Commonwealth Government ONRSR response to safety issues referred through Transport Safety statutory agency that conducts national the ATSB’s confidential reporting (REPCON) system Bureau (ATSB) rail safety investigations Data, information and support in regard to accident notification and rail safety investigations Liaison on rail safety and regulatory response issues
Rail Industry Safety Owned by industry and responsible for Encouragement for the development of an industry owned and Standards the development and management of national rail safety risk model supported by consistent, Board (RISSB) the rail industry standards, rules, accurate data codes of practice, guidelines Support to promote harmonisation, standardisation and and the industry risk model interoperability of industry practice and systems to benefit Accredited by Standards Australia as a safety Standards Development Organisation Participation on RISSB working groups to develop and promote safety improvement initiatives, including the development of guidelines and standards
Australasian Body representing passenger, freight, Consultation on strategic rail safety policy and regulatory Railway Association track operators and the wider rail supply issues (ARA) industry in Australia, New Zealand and Indonesia
16 Office of the National Rail Safety Regulator Stakeholder Role/function What ONRSR delivers
Australian Tourist National body representing Australian Provision of advice and support on rail safety and Heritage tourist and heritage rail organisations Consultation on rail safety policy Railway Association (ATHRA)
Rail operators Includes senior management and safety Accreditation/registration for rail operations personnel across all forms of rail transport Monitor, oversight and enforcement of industry legislative (Chief Executives, in Australia Rail Safety compliance with rail safety legislation and industry rail safety Managers) standards Guidance to assist operators comply with legislative and policy requirements Assistance to improve operators’ safety risk management practices through education and the provision of tools Development and enactment of national rail safety policies Development of proposals for cost recovery
Rail Tram and Bus Represents transport industry workers in Support for safety of rail safety workers through Union (RTBU Australia on industrial matters including enforcement of rail safety legislation and safety safety improvement services Development and enactment of national rail safety policies
Australasian Centre Rail related research Advice, direction and governance through its role for Rail Innovation as a Director of ACRI (ACRI)
State-based public Represent public transport Information and liaison on strategic rail safety issues transport user users within Australia groups
Annual Report ‘14 – ‘15 17 Our Stakeholders
Stakeholder relationships Milestones ONRSR recognises that stakeholder
relationships are critical to achieving What When 2014–’15 Result
national rail safety outcomes, as reflected Maintain a national Annual ongoing • Achieved in its corporate values. ONRSR defines its communications plan external stakeholders as comprising the rail industry, rail associations, unions, Annual stakeholder Establish benchmarks • N/A government agencies, Ministers for satisfaction survey once all jurisdictions are ONRSR intends to Transport and the Ministerial Council. part of the ONRSR and issue an external conduct survey annually stakeholder satisfaction ONRSR is committed to building relation- thereafter survey in 2015-’16. ships with its range of stakeholders through established forums, targeted initiatives, provision of information and guidance and regular tailored interactions. This enables the regulator to gain input Stakeholder forums • National Operations Forum allows into its strategic directions, heighten multi-jurisdictional operators to discuss ONRSR continued to support and host awareness of compliance and safety safety issues and consistency of a number of stakeholder engagement improvement matters as well as ensure application by ONRSR regulatory staff forums during 2014-15. that it continues to appreciate specific to their operations with senior stakeholder needs and concerns These included the: ONRSR operational and technical staff on rail safety regulation. at a monthly meeting. One operator • CEO industry reference group attends each month, thereby allowing ONRSR reports bi-annually to Transport which provides a forum to discuss a frank exchange of opinions. Ministers through the Ministerial Council. strategic industry and regulatory The council provides approval for directions and safety issues and • Branch Operators Forums are held ONRSR’s Statement of Intent, improvements required. It comprises at the discretion of individual branch endorsement of its Corporate senior representatives from the rail directors to suit branch circumstances Plan and budgetary support. industry including the ARA and and address local operational issues with accredited operators. ONRSR’s achievements in building RISSB, the ONRSR Chief Executive and Executive Director National its relationships with stakeholders are ONRSR remained committed to attending Operations and Executive Director guided by key milestones in the ONRSR industry-led meetings and forums which Policy, Communications and Planning. Corporate Plan 2015–2018. Summary have included the following: performance is outlined here. The group meets four times a year, with every second meeting • RISSB’s Safety Managers Group including union representatives. attended by the Executive Director Policy, Communications & Planning and During 2014–15, CEOs discussed Executive Director National Operations. ONRSR’s Statement of Intent and This group comprising safety managers Corporate Plan 2015–18, fee and cost from various rail transport operators recovery issues, safety improvement meets quarterly and focuses on topics, development of a national safety operational issues, safety learnings risk model and supporting database and improvements. and drug and alcohol management • Association of Tourist and within the rail industry. Heritage Rail Australia • Union reference group comprising attended by the Executive Director senior representatives from the Rail, Policy, Communications & Planning and Tram and Bus Union, the ONRSR Chief Executive Director National Operations. Executive and Executive Director This group meets twice a year compris- Operations and Executive Director ing representatives from all state tourist Policy, Communications and Planning. and heritage associations. It has a similar agenda to the industry • State tourist and heritage groups forum including strategic conversations attended by branch directors which and information exchange between meets periodically comprising local the unions and the regulator and also tourist and heritage operators. discussed the issues listed above for the CEO forum.
18 Office of the National Rail Safety Regulator Rail industry safety performance The map below depicts the rail networks operating across Australia:
(Sourced from the Australasian Railway Association.)
Annual Report ‘14 – ‘15 19 Rail industry safety performance
Rail industry safety Data analysis Fatalities and injuries performance Category A and Fatalities and injuries can involve staff Category B occurrences employed by railway companies, railway The table below provides high level data passengers or members of the public on the rail industry safety performance Under the Rail Safety National Law, rail affected by railway operations. The within the remit of ONRSR. It includes transport operators must report notifiable ONRSR Occurrence Notification Standard Victorian and ACT data for the first time. occurrences. Regulation 57 defines two (ON-S1) provides guidance to support categories of occurrences for the purpose The ONRSR Annual Safety Report Regulation 57 on the types of occurrences of reporting – Category A which must be available on the website provides more that are reportable and what data items verbally reported to the ATSB immediately in depth analysis of safety performance. must be included with these reports. and then in writing to ONRSR within 72 Where a casualty occurs in conjunction Rail safety contexts by state are outlined hours and Category B which must be with an occurrence, details of this casualty in more detail in the jurisdictional reported to ONRSR in writing within 72 must also be provided to ONRSR. overviews in Part B (page 37). hours of the occurrence. The ATSB informs ONRSR upon notification During 2014-15, there were 78 fatalities of a Category A event. of which 70 were related to suspected suicide, 6 were trespass related, and 2 were relating to slips, trips and falls from a platform and footbridge. In South Australia, all 3 fatalities were related to suspected suicide. In NSW, 24 of the 30 State Year Cat. A Cat. B Fatality Serious Injury were related to suspected suicide, 4 were trespass related and 2 were related to ACT 20 Nov ‘14 - 0 7 0 0 slips, trips and falls from a platform 30 June ‘15 and footbridge. In Victoria, 43 of the SA 2013 –’14 46 4,665 4 14 45 fatalities were related to suspected 2014 –’15 30 5,086 3 8 suicide and 2 were trespass related.
TAS 2013 –’14 8 735 1 0 Of the 538 serious injuries, 78% related 2014 –’15 4 632 0 0 to slips, trips and falls. In South Australia, this comprises 88% of their reports, in NT 2013 –’14 4 302 0 0 2014 –’15 3 171 0 0 NSW 80% and in Victoria 59%. ON-S1 defines a serious injury as one requiring NSW 2013 –’14 538 26,250 42 496 admission to hospital. This information is 2014 –’15 575 26,170 30 491 not always known by operators at the time VIC 2014 –’15 129 12,218 45 39 of occurrence notification and different mechanisms are used by operators to ascertain the seriousness of an injury. Total 2013–’14 596 31,952 47 510 Work is progressing with industry 2014–’15 741 44,284 78 538 to achieve a consistent national application of ON-S1 in this respect.
20 Office of the National Rail Safety Regulator Measuring ONRSR’s performance
Freight train, Measuring ONRSR’s Operational activity ‘13 –’14 ‘14 –’15 New South Wales performance No. of accreditations: ONRSR’s performance is measured in a Received 3 6 number of ways, including delivery against Completed 1 1 milestones, quantitative key performance No. of variations to accreditation: indicators (KPI), feedback from external Received 23 40 stakeholders through industry forums Completed 19 24 and qualitative measures. No. of surrenders of accreditation: ONRSR currently reports on its corporate Received 2 5 performance six monthly to its Executive Completed 1 4 and Board. The table (right) reflects KPI No. of exemptions to accreditation: categories referred to in ONRSR’s Received 2 3 Corporate Plan 2015–18. Granted 1 1
No. of variations to registrations: Received 16 2 ONRSR KPIs and Completed 14 1 operational statistics No. of surrenders of registration: The following table reflects ONRSR’s Received 6 4 operational activity statistics for its Completed 6 2 regulatory services for 2014-2015 in No. of notifications of change: participating jurisdictions including Received 117 226 South Australia, NSW, Victoria, Completed 97 156 Tasmania, Northern Territory and the ACT. No. of consolidated ONRSR notices 61 114 of accreditation issued Data for 2014-15 reflects the inclusion of activities for the first time from Victoria No of REPCON’s received 10 10 and ACT which increases a number of Actioned 7 13 KPI results for the year. No. of formal inspections completed 129 196
No. of audits completed 57 48
No. of compliance investigations 10 10 completed
No. of Improvement Notices issued 0 5
A tram on the No. of Prohibition Notices issued 0 2 light rail network departs Central Station, Sydney, New South Wales
Annual Report ‘14 – ‘15 21 Measuring ONRSR’s performance
KPI ‘13 –’14 ‘14 –’15 Definition
% of NCR’s escalated 0 0.5% NCR’s (Non Conformance to a formal notice Reports) are issued by ONRSR to Rail Transport Operators (RTO) No. of NCR’s issued 284 400 when a non-conformance with No. of NCR’s escalated 0 2 Rail Safety National Law has been identified, does not represent an immediate safety threat and can be managed within the RTOs
safety management system
% of Improvement 100% 75% Improvement Notices are issued to RTOs when ONRSR determines Notices completed within agreed that the safety issue does not time-frames represent an immediate safety threat and can be managed within No. of Improvement 0 5 the RTOs safety management Notices issued system. No. of Improvement 1 3 “Completed” refers to ONRSR’s Notices completed determination that the RTO has within agreed satisfied the Notice. time-frame “Agreed” reflects the time-frames for closure as agreed between ONRSR and the RTO.
Industry D&A tests No. of drug tests 23,777 21,691 ‘Industry’ refers to testing (industry) programs run by rail operators as required under legislation No. of positive drug 100 120 tests (industry)
% of drug tests positive 0.42% 0.55%
No. of alcohol tests 227,38 0 169,848 (industry)
No. of positive alcohol 66 80 tests (industry)
% alcohol test positive 0.029% 0.047% (industry)
22 Office of the National Rail Safety Regulator Measuring ONRSR’s performance
Ballast and track, KPI ‘13 –’14 ‘14 –’15 Definition Kingoonya,
Northern Territory ONRSR D&A tests ONRSR runs its own program of No. of drug tests 206 216 drug and alcohol testing. (ONRSR) ‘Positive is defined as those tests No. of positive drug 0 0 confirmed as positive by external tests (ONRSR) laboratory
% of drug tests 0 0 positive (ONRSR)
No. of alcohol tests 203 220 (ONRSR)
No. of positive alcohol 0 0 tests (ONRSR)
% of alcohol tests 0% 0% positive (ONRSR)
No. of operator 0 2 ‘operator appeal’ is a formal appeal appeals to ONRSR to an ONRSR decision under Rail decisions Safety National Law ‘ONRSR decisions’ are reviewable decisions as
defined under national law.
% appeals upheld 0 0 “Appeal upheld” reflects that the operator’s appeal was recognised as valid and resulted in a change in ONRSR direction
% of Australian 40% 53% “Railway track” is defined under railway track and track km track km Rail Safety National Law to include train kilometres regulated regulated heavy rail, light rail, monorail, regulated by inclined railway, railway in 40% 58% ONRSR under marshalling yard or terminal, track km train km RSNL tram, private sidings and regulated regulated guided systems in all states
Annual Report ‘14 – ‘15 23 Part A: ONRSR National Performance
24 Office of the National Rail Safety Regulator Part A: Goal One
Our forward annual priorities are guided The ONRSR Corporate Plan can be by the goals of our Corporate Plan accessed on the ONRSR website at 2015-18 as outlined below. They are www.onrsr.com.au consistent with previous years.
ONRSR measures its performance qualitatively through regular internal reporting and quantitatively through Coprorate plan its key performance indicators. Formal internal reviews of performance occur Goal 1: Maintain every six months. ONRSR’s national performance is and improve reported against the goals and milestones of the ONRSR Corporate Plan 2015–18 and associated key performance rail safety indicators. through a risk-
Context based approach Achieving rail safety outcomes and risk-based regulation requires quality to regulation data and intelligence. The data collected by ONRSR is used for regulatory purposes in four ways: Corporate Plan • at a national level to develop the milestone delivery ONRSR national audit plan, plan safety improvement initiatives and ONRSR’s achievements in delivering this in priority setting with RISSB on goal are guided by its key milestones in collaborative projects the ONRSR Corporate Plan 2015–18. Summary performance is outlined as • at a branch, jurisdiction or sector follows: level for operational action in respect to a particular aspect of the industry (such as a specific operation, asset or location) • at a rail transport operator level Milestones to identify and act on issues with particular operators What When* Result ‘14–’15
• for compliance and investigation Determine and deliver the annual • Q3 Annually • Achieved activity where serious breaches regulatory activity work program using of the RSNL are suspected. a risk-based approach
See Part B for more details of Determine and deliver against annual opera- • Q3 Annually • Achieved state-specific activities (page 37). tional ONRSR key performance indicators
Review effectiveness of Service • Quarterly • Achieved Level Agreements
Undertake a national drug and alcohol • Ongoing • Underway testing program, with annual review
Support RISSB to develop and promote • Ongoing • Ongoing the use of industry generated standards
*Q1 = Jan-Mar; Q2 = April-June; Q3 = July-Sept; Q4 = Oct- Dec
Key performance indicators
• Delivery of the national operations plan of audits and inspections (left) • Implementation of compliance recommendations by rail operators New Adelaide within agreed timeframes Metro electric train operating on the • Enforcement actions undertaken by ONRSR and outcomes Seaford line, Adelaide, South Australia
Annual Report ‘14 – ‘15 25 Part A: Goal One
Supporting ONRSR also incorporated follow ONRSR’s operational measures relating up activities associated with ATSB to REPCONs are on page 21. achievements investigations and REPCON reports The following provides more into its operational work plan. detail on Corporate Plan Goal 1 Statistics on operational activities Review of regulatory risk framework supporting activities. conducted under the work plan are Reviewing rail safety regulatory risks detailed on page 21. Forward planning with large multi- by operators is a core function of the jurisdictional RTOs on variations During the year, the National Operations regulator. A major benefit of being a to accreditation Committee met with a range of multi- national regulator has been the ability to During the year, ONRSR established a jurisdictional operators to address consolidate national rail safety data and forward work program with large multi- specific safety issues as well as sharing apply consistent procedures to assess jurisdictional Rail Transport Operators intelligence and working on improved and respond to rail safety risks from a (RTOs) on their forward variation to implementation of national regulatory local and national perspective. Following accreditation activities. This program policies and procedures across states. a review of ONRSR’s enterprise risk framework that concluded earlier this will be an ongoing activity with these Safety incident response operators designed to promote aware- year, it was recognised that the regulatory ness of rail safety legislative requirements ONRSR responded to a number of rail risk framework would benefit from being prior to operators applying for variations. emergencies, incidents and accidents that further strengthened. This work is being impacted on public safety and potentially undertaken in 2015 and will strengthen Implementation of the ONRSR breached national rail safety legislation. ONRSR’s regulatory decision making National Work Plan More detail on these responses is on rail safety risks. ONRSR’s national regulatory work provided state by state in Part B. plan is developed through the National ONRSR response to confidential Operations Committee to reflect agreed reports (REPCONS) Major projects’ accreditation national safety and regulatory priorities whilst addressing local regulatory REPCON reports are confidential reports In December 2014, following extensive requirements. The 2014–15 plan made to the Australian Transport Safety consultation with industry, ONRSR outlined a schedule of audit and Bureau by anyone who has a rail safety published its major projects guideline. inspection activities with resources concern which are then referred to The guideline outlines ONRSR’s expecta- allocated appropriately. Priorities were ONRSR for action. tions when reviewing the processes and based on safety data intelligence associated evidence used to demonstrate ONRSR received 10 REPCON reports outlined in ONRSR’s Annual Safety that safe outcomes are being planned during 2014-15. Any immediate safety Report, analysis of rail transport operator and later achieved by major projects. A issues were addressed as a priority. safety performance, previous audit and number of major projects have adopted For other safety issues, ONRSR sought compliance findings, notifications by the guideline as their framework for further information from operators and/or operators of changes to working engagement with ONRSR. conducted compliance inspections to arrangements, applications for new verify the concerns and operator’s ONRSR is engaging with a number of or varied accreditations and general response. These issues will be monitored major rail projects on their rail safety operational intelligence. The regulatory as part of the ONRSR national work accreditation requirements across work plan was constantly reviewed program 2015-16. Once finalised, the Australia which are at various stages and resources reallocated to meet ATSB publishes REPCON reports on of development. Those crossing state emerging operational priorities. their website which includes the response borders are outlined below, with those from ONRSR to each individual issue. specific to a single state detailed in Part B.
Advanced Train Management System (ATMS) The Australian Rail Track Corporation (ARTC) is developing an ATMS to be rolled out nationally to improve its rail safety and network capacity, operational flexibility, train service availability, transit times and system reliability. The focus this year has been in South Australia.
Inland Rail (Melbourne – Brisbane) The ARTC is developing an Inland Rail project which comprises a 1,730km rail connection between Melbourne and Brisbane via an inland route on new and existing track.
26 Office of the National Rail Safety Regulator Peltana Creek, Western Side Flinders Rangers, South Australia
National drug and alcohol testing program Under the RSNL, it is an offence to conduct rail safety work under the influence of drugs or alcohol. To enforce this, ONRSR has established a testing program to test that rail safety workers are complying with legislative requirements and not undertaking rail safety work whilst under the influence of drugs or alcohol. This program complements rail transport operator and police testing. During the year, ONRSR conducted testing in South Australia, Tasmania and the Northern Territory. Work is continuing in NSW, ACT and Victoria to enable the testing program to be implemented in these jurisdictions. This rail safety workers testing was undertaken in a range of locations, including both metropolitan and remote areas, and involved tourist and heritage and commercial operators. During 2014–15, 436 tests had been conducted including 216 drug tests plus 220 alcohol tests, with no confirmed positive results obtained. For data on drug and alcohol testing programs and results, see the key performance indicator on page 22.
Annual Report ‘14 – ‘15 27 Part A: Goal Two Corporate PLAN Goal 2: Reduce regulatory burden on industry
Context Consistent regulatory decision Milestones making, access to nationally applicable processes, one fee and invoice structure What When* Result ‘14–’15 and nationally applicable policies all contribute to reducing regulatory burden. Continue to work with industry on the program • Ongoing • Achieved for consolidating notices of accreditation to a Completed for all Collating and sharing national data single notice per accredited operator operators currently
assists operators and the regulator covered by ONRSR legislation ensures that activities are targeted and effective in reducing safety risks Report to the Ministerial Council on the review • Q4 2017 • Ongoing nationally. The preparation of ONRSR’s of drug and alcohol and fatigue risk manage- Annual Safety Report is an important ment arrangements under the RSNL to further information service that the regulator enhance regulatory consistency
currently provides. Establish a Memorandum of Understanding • Q3 2014 • Achieved (MoU) with competent authorities for the transport of dangerous goods by rail in NSW, NT, SA, Tasmania and Victoria Corporate Plan Establish an MoU with the Victorian Office of • Q3 2014 • Partially achieved milestone delivery the Chief Investigator and Victoria Police
ONRSR’s achievements in delivering this Establish MoUs with the NSW Office of the • Q4 2014 • Partially achieved goal are guided by its key milestones in Transport Safety Investigations and other
the ONRSR Corporate Plan 2015–18. work, health and safety regulators and police agencies in transitioning jurisdictions Summary performance is outlined as follows: Review of MoUs with Heads of Workplace • 2014 • Achieved Safety Authorities
Review of MoU with South Australia Police • Q4 2014 • Achieved
Review of MoUs with the ATSB and NTC • 2016 • Yet to commence
*Q1 = Jan-Mar; Q2 = April-June; Q3 = July-Sept; Q4 = Oct- Dec
Key performance indicator
• Feedback from rail transport operators
28 Office of the National Rail Safety Regulator Supporting achievements The following provides more detail on Corporate Plan Goal 2 supporting activities.
Consolidation of accreditation and registration notices During 2014-15, all accreditation and registration notices for every operator accredited under ONRSR have been consolidated as national notices. This is a major milestone in the national rail safety reform process.
Streamlining reporting periods The consolidation of accreditation and registration notices enabled ONRSR to streamline reporting periods for industry in line with legislative requirements, thereby further reducing regulatory burden on industry and creating efficiencies for both industry and the regulator.
Legislative review proposals to Ministerial Council In 2012, Ministerial Council endorsed the legislative arrangements for drug and alcohol and fatigue risk management under the Rail Safety National Law and required that review of these arrange- ments be undertaken after the ONRSR has engaged with the National Currently the ONRSR has an MoU commencement of the ONRSR. Transport Commission to progress the or agreements of cooperation Rail Safety National Law maintenance in place with: These reviews are due for completion program. An amendment package, in 2017 and work is well underway to • the National Transport Commission which was endorsed by Ministerial ensure the timeframe is achieved. Council in November 2014 and then • Australian Transport Safety Bureau subsequently passed by the South Australian Parliament, came into effect • workplace safety authorities in South National Transport Commission on 1 July 2015. The amendments remove Australia, Northern Territory, NSW, maintenance program unnecessary restrictions to ONRSR Tasmania, Victoria and the obtaining information and conducting Commonwealth The National Transport Commission inquiries as well as allowing ONRSR continues to review and oversight • South Australian and Tasmanian Police to suspend an operator for failing the maintenance of the Rail Safety to pay their fees. • competent authorities for the transport National Law. of dangerous goods by rail in NSW, Northern Territory, South Australia, Tasmania and Victoria Memoranda of Understanding • Office of Rail Safety – Western Australia Memoranda of Understanding with colleague agencies further support • Department of Transport and Main achievements in reducing regulatory Roads (Queensland) burden by reducing duplication and supporting better safety outcomes.
West Coast Wilderness Railway, leading to Queenstown, Tasmania
Annual Report ‘14 – ‘15 29 Part A: Goal Three
Engagement in RISSB development projects ONRSR regularly engages with RISSB CORPORATE PLAN providing input into selected standards and products, particularly those that facilitate national consistency and Goal 3: Promote interoperability and contribute to improv- ing rail safety outcomes without inhibiting greater self- competitive advantage among operators. During the year, ONRSR has continued regulation to work with RISSB to progress the following projects: by industry • development of a road/rail vehicle standard • development of guidance on Context Corporate Plan making safety decisions milestone delivery • development of a standard ONRSR’s Safety Improvement Policy for train detection seeks to influence industry to work ONRSR’s achievements in delivering • review of the train communications together to identify and manage railway this goal are guided by its key standard risks as an industry and articulates milestones in the ONRSR Corporate ONRSR’s support for industry in the Plan 2015-2018. Summary performance • review of the standard for development of an industry risk model and is outlined here. event recorders. quality Rail Industry Safety and Standards Board (RISSB) standards. ONRSR promotes that industry develop Preparation of the and implement a national rail safety vision, Supporting Annual Safety Report strategy and work program. achievements The ONRSR Annual Safety Report The following provides more 2013-14 was published in December 2014 detail on Corporate Plan Goal 3 and provided summaries and analysis of supporting activities. rail safety occurrence data for 2013-14. The report expanded analysis on reported occurrences made in the reporting year including identifying risks that various types of occurrences present and Milestones ONRSR’s regulatory views on these. The 2013-14 report also reviewed the What When* Result ‘14–’15 regulatory priorities set the previous year and confirmed areas of focus
Agree with RISSB where ONRSR can participate • Q3 annually • Achieved for the regulator. and support the delivery of RISSB outputs The report is available on the ONRSR’s Assist RISSB with the development of national • As agreed • Achieved website at www.onrsr.com.au standards, guidelines and products with RISSB
Consult on data to be presented in the ONRSR • Q3 annually • Achieved Annual Safety Report consultation held Industry safety risk model with RISSB Safety Managers Group During 2014-15, ONRSR continued to promote the need for an industry-led Publish the ONRSR Annual Safety Report • Q4 annually • Achieved development of a safety risk model. National data strategy developed in consultation • 2017 • Not yet commenced During the year, work progressed to with industry to support the industry risk model industry risk model develop the model’s concept of operations not yet developed which articulates the desired outcomes that would be delivered by a fully imple- *Q1 = Jan-Mar; Q2 = April-June; Q3 = July-Sept; Q4 = Oct-Dec mented risk model and sets realistic expectations about what could be Key performance indicator achieved in the initial phases.
• Development and national adoption of quality RISSB standards by industry.
30 Office of the National Rail Safety Regulator Maldon Train Station, Victoria
Annual Report ‘14 – ‘15 31 Part A: Goal Four
Corporate plan Goal 4: Prepare for and support the entry of other state regulators into the ONRSR
Context ONRSR continued to work closely with government representatives and regulators in states yet to enact Rail Safety National Law and join the operational work of ONRSR during 2014-15. ONRSR has liaised with senior officials, trained new staff and developed business systems to support national Milestones regulatory operational needs. ACT joined the ONRSR in November 2014 What When* Result ‘14–’15 and work has progressed to support the entry of Western Australia. Support legislative development to enable • Ongoing • Ongoing the RSNL to be passed through remaining (Western Australia) state parliaments
Corporate Plan mile- Provide timely and appropriate business • Q1 2014 • Ongoing and human resource systems and stone delivery processes that are aligned with transitional timeliness ONRSR’s achievements in delivering this goal are guided by its key milestones in the ONRSR Corporate Plan 2015–18. *Q1 = Jan-Mar; Q2 = April-June; Q3 = July-Sept; Q4 = Oct- Dec Summary performance is outlined as follows: Supporting Support for legislative transition for Western Australia achievements During the year, ONRSR worked closely The following provides more detail with the Department of Transport (WA) on Corporate Plan Goal 4 supporting on the drafting of the Rail Safety Bill activities which focus on Western which enables Western Australia to Australia. Currently, participating be regulated by ONRSR. Work also jurisdictions in the ONRSR include progressed on project planning, securing South Australia, Northern Territory, accommodation and ensuring all systems Tasmania, the ACT and, under service and processes are in place to support level agreements, NSW and Victoria. the transition once legislation is passed.
32 Office of the National Rail Safety Regulator Part A: Goal Five
Context Under Rail National Safety Law, a key objective of ONRSR is to “promote safety and safety improvement as a fundamental objective in the delivery of rail transport CORPORATE in Australia”. ONRSR functions to enable this include PLAN Goal 5: the collation and publishing of information on rail safety, providing or facilitating the provision of advice, education and training Promote and working collaboratively with industry on rail safety. ONRSR works with RISSB safety and key stakeholder groups, including union and industry members, to agree on safety awareness and improvement awareness elements for endorsement and promotion. ONRSR safety improvement and safety work with stakeholders takes improvement the following forms: • development of supportive material initiatives AND such as guidelines and policies • targeted workshops and events on specific safety improvement priorities research using ONRSR’s specialist resources and industry experience • regular promotion through ONRSR’s website and targeted information Milestones networks of rail safety issues and guidance What When* Result ‘14–’15 • daily activities of ONRSR Rail Safety Officers in their interactions with Publish Safety Bulletins • Quarterly • Partially achieved operators involving identification of ongoing specific safety issues and awareness Continue to populate the on-line resource centre • As information • Achieved of industry better practice to enhance with education and awareness information becomes operators’ management approach available and safety performance. Work with industry to develop a work program • Ongoing • Ongoing to implement the Safety Improvement Policy and Strategy Corporate Plan mile- Develop a Safety Management System • Q4 2014 • Achieved stone delivery (SMS) maturity tool methodology for Rail Safety Officers to consistently apply ONRSR’s achievements in delivering this goal are guided by its key milestones in Produce guidance on asset management • By Q3 2014 • Achieved the ONRSR Corporate Plan 2015–18. (including scalability approach for tourist and heritage) Summary performance is outlined as follows:
*Q1 = Jan-Mar; Q2 = April-June; Q3 = July-Sept; Q4 = Oct- Dec
Supporting achievements The following provides more detail on Corporate Plan Goal 5 supporting activities.
Annual Report ‘14 – ‘15 33 Part A: Goal Five
Targeted safety improvement Development of Safety Management Guidance for industry initiatives delivered System (SMS) tool methodology An update of SFAIRP (So Far as is ONRSR continued its focus on road rail The SMS tool is designed to provide a Reasonably Practicable) guidance vehicle safety management as a priority rigorous methodology to test compliance completed in 2014 clarified issues in for this program. During the year, ONRSR against Rail Safety National Law (RSNL) relation to the use of quantitative risk liaised with operators to ensure they were regulatory requirements for consistent analysis and the relationship between aware of forthcoming enforcement application by ONRSR’s Rail Safety SFAIRP and the As Low As Reasonably activities targeting RRV safety risks and Officers. The tool informs ONRSR’s Practicable (ALARP) principle. provided further guidance prior to it regulatory enforcement activities. Other guidance issued by conducting 21 compliance inspections In 2014, a pilot SMS tool was developed, ONRSR covered: across South Australia, NSW and Victoria. trialled and evaluated within ONRSR, with Once this work has been finalised, ONRSR • major project accreditation which improvements identified. ONRSR will will evaluate the strategy’s effectiveness identifies the legislative requirements finalise a paper-based tool in 2015. and any issues identified will be a focus for and regulator’s expectations for its enforcement activities in 2015–16. operators applying for accreditation for their major rail projects, including ONRSR also engaged with industry in promoting the need for early relation to tailored projects in the areas of engagement with ONRSR fatigue risk management and human factors integration. Seventeen operators • asset management which focuses engaged individually with ONRSR in on lifecycle asset management. tailored workshops that raised their awareness of knowledge and ONRSR’s expectations in these areas.
34 Office of the National Rail Safety Regulator Part A: Goal Six
Context Corporate Plan Goal 6: Recognising that our people are our most important asset, we aim to ensure our Develop and enable workforce has a clear understanding of the role and goals of ONRSR and provide our people to optimise ongoing employee training on ONRSR systems and processes. The induction internal capability program is an important focus as more states transition to ONRSR and staff retention and satisfaction is actively and organisational monitored. We are implementing a competency-based learning and effectiveness development package to ensure that staff are equipped to provide high quality services and maintain professional capability. System development has been a top Milestones priority, with significant work done to roll out Objective to integrate record manage- What When* Result ‘14–’15 ment across states and to continue the build of RegIS, ONRSR’s regulatory and Maintain proactive monitoring of health, • Quarterly report • Achieved occurrence database tool. safety and welfare, and the effectiveness of to Executive the ONRSR work place health and safety via WHS ONRSR recognises the importance program inline with the Chief Executive’s committee and of providing and maintaining a safe ‘commitment to safety’ statement other employee workplace. A range of governance consultation structures ensure that any work, vehicles health and safety concerns of Review current cost recovery arrangements and • 2016 • Underway staff are addressed. propose future methodology for the considera- tion of the Ministerial Council
Maintain a financial system that will provide • Monthly • Achieved accurate data to report on the activities of the financial reports to Internal controls and Corporate Plan ONRSR and that enables analysis of individual the Board and the chart of accounts milestone delivery jurisdictional data Executive team established. Regular monthly reporting ONRSR’s achievements in delivering provided. this goal are guided by its key milestones
Active management of the ONRSR risk register in the ONRSR Corporate Plan 2015–18. • Bi-annual report • Achieved by the Executive team on a monthly basis with Summary performance is outlined here. the register presented at every Audit and Risk to the Board from Committee meeting for review the Audit and Risk Committee Identification of training and development needs across the ONRSR’s workforce. Training programs and activities to be undertaken will include:
Development of a competency-based • Q4 2014 • Completed training program for all Rail Safety Officers
Enhancement of the ONRSR training • Q2 2015 • Ongoing and development program to meet multijurisdictional requirements
*Q1 = Jan-Mar; Q2 = April-June; Q3 = July-Sept; Q4 = Oct- Dec
Key performance indicators
• Average sick leave per employee • Lost time due to injury
(left) ONRSR Rail Safety Officers on an inspection at Ceduna, South Australia
Annual Report ‘14 – ‘15 35 Part A: Goal Six
Supporting Enterprise risk management Performance management achievements During 2014-15, ONRSR undertook a ONRSR’ s performance review cycle comprehensive review of its enterprise ensures performance and staff satisfaction The following provides more risk management as part of its continuing is monitored and learning and develop- detail on Corporate Plan Goal 6 commitment to integrating risk-based ment needs are identified. It includes supporting activities. decision making into all aspects of its formal reviews every six months plus governance. The review has enabled regular feedback. The 2014-15 annual ONRSR to further strengthen its risk process has been completed and every Work, health and safety management system. employee has an agreed plan, including for learning and development for 2015-16. The safety of staff, contractors, For details on ONRSR’s risk management, visitors and industry is an ongoing see page 14. priority of ONRSR. Learning and development ONRSR’s work health and safety (WHS) policy provides guidance for Cost recovery of regulatory services ONRSR’s learning and development framework aims to provide consistency staff on compliance with work health The existing cost recovery provisions and rigour of ONRSR processes and and safety legislation acknowledging for the National Rail Safety Regulator build a knowledge-driven shared that each participating state operates were agreed to in 2012 by the Ministerial culture based on ONRSR values. under its state-based work health Council, who also agreed that the and safety legislation. provisions were to be reviewed after During the year, ONRSR finalised a During the year, the committee met three years in operation. national Rail Safety Officer capability framework which identifies core compe- quarterly and formalised reporting to In September 2014, ONRSR held tencies for ONRSR RSOs and enables the the Executive via a standing agenda workshops in Sydney and Adelaide for preparation of individual training plans to item on the Executive meeting schedule. stakeholders to ensure their views were fill any competency gaps. Training plans In a further strengthening of governance, considered in the review. A reference were prepared for each staff member the Chief Executive now chairs the group was established comprising in Central Branch and training has WHS Committee. industry and government representatives commenced. Similar work with the to provide ongoing input to the review. A full review of the WHS risk processes remaining ONRSR branches within ONRSR commenced in June 2015 The outputs from the workshops were will occur in 2015–16. to ensure that ONRSR processes are used to inform a discussion paper which Also completed during the year was a thorough and robust and to facilitate was released to all stakeholders for national induction e-learning module the full integration of NSW and Western comment in March 2015. The reference and other e-learning modules for RSOs. Australia staff as ONRSR employees group has since worked with ONRSR to upon their transition. analyse the discussion paper feedback Work has commenced on an organisa- There were no work related injuries and identify options for financial tion-wide learning and development suffered by any ONRSR employees modelling to take place later in 2015. framework extending to other staff during 2014-15. skills development and to corporate knowledge management more broadly. Internal staff engagement Corporate system development and support The IM&T Steering Committee has: ONRSR is committed to fully engaging all staff as a collegiate team and developing Finalised a new 3 year strategic a nationally consistent culture. plan for Information Management and Technology. In late 2014, a staff survey on internal communication effectiveness was Overseen delivery of outcomes conducted which confirmed staff support sought in the first year of the for regular briefings from management and current 3 year plan including: the ONRSR weekly internal e-newsletter ONRSR Express. Suggested improve- • implementation of a new ments to the newsletter have been made electronic document and records and work is underway to enhance management system ONRSR’s website and intranet • commencing IM&T activities required content and functionality. for transition of Western Australia • strengthening ONRSR’s in-house IM&T capabilities. • enhanced the RegIS (Regulatory Information System) occurrence module to provide accurate safety information for analysis.
36 Office of the National Rail Safety Regulator Part B: Jurisdictional Performance
The following outlines participating ONRSR state-specific activities and outcomes for 2014-15. Participating states work under a national regulatory work program. For more information on the national work plan, see page 26.
Steam engine, Strahan, Tasmania
Annual Report ‘14 – ‘15 37 Part B: South Australia
Incident response The Central Branch Office of ONRSR continues to respond to significant safety incidents in South Australia. During the reporting period these included: • the derailment of a loaded iron ore Rail industry context Significant regulatory train on the Whyalla-Iron Duke railway As at 30 June 2015 there were 43 activities on 7 July 2014. Central Branch’s inspection identified the cause of the operators accredited by the National In addition to routine auditing and Rail Safety Regulator under Rail derailment as being a result of various compliance monitoring activities, areas infrastructure issues and is satisfied Safety National Law for operations of focus for the Central Branch Office in South Australia. that the operator is addressing these of ONRSR in South Australia during through its track welding program There are three primary rail networks the period included: and changes to its inspection and in South Australia: • undertaking a planned program of maintenance of rail joints. • the Adelaide Metropolitan Passenger rail network patrols during the year • the derailment of a loaded freight Rail Network (AMPRN) centred in to visit key railway locations including train on the Kevin-Thevenard railway Adelaide comprising approximately remote locations such as Cook. The at Ceduna on the west coast on 23 125 route kilometres of track primarily patrols have provided on the ground October 2014. Central Branch’s for passenger trains and also servicing knowledge of railway operations to onsite examination identified that a limited number of broad gauge further inform ONRSR’s oversight of track condition was the likely freight services. There is also a tram safety management in South Australia. contributor and is satisfied that network within Adelaide comprising Some patrols included an ONRSR- the operator’s major infrastructure approximately 15 route kilometres. contracted drug and alcohol tester upgrade of this rail line will address to enable random testing of rail similar track deterioration and • the Defined Interstate Rail Network safety workers which included 186 (DIRN) managed by the Australian Rail condition issues.The Australian drug and 190 alcohol tests. There Transport Safety Bureau is Track Corporation (ARTC) comprising were no positive test results. approximately 1990 kilometres of track also currently conducting an in South Australia. The DIRN covers • the assessment of variations to investigation into this incident. the main interstate rail lines linking accreditation required in relation to • the collision between two freight trains Melbourne and Sydney to Adelaide as the Australian Rail Track Corporation’s on the defined interstate railway network well as Adelaide to Western Australia. Advanced Train Management System at Mile End on 31 March 2015. A freight (ATMS) which is to be deployed on the train, passing a proceed at low speed • the Genesee & Wyoming (G&W) Whyalla to Port Augusta railway during network that covers the main line but be prepared to stop signal, collided 2015-16. During the year, a variation with the rear of an intermodal freight to Darwin (linking with the ARTC to accreditation has been granted to network at Tarcoola as well as train that was already stopped at enable on track trials and testing of Mile End, resulting in damage and the the residual networks throughout ATMS to occur. regional South Australia.) The derailment of the stopped train. Central extent of the G&W network is • conducting the first Branch Operations Branch’s inspections identified specific approximately 1870 kilometres. Forum in Adelaide in October 2014 conditions on the day associated with which was open to all accredited rail train configuration and available sight transport operators operating within distance as principal contributing issues South Australia, Northern Territory and to this collision. ONRSR did not require Tasmania. The forum, attended by over any specific action given its satisfaction 40 industry representatives, focused with the operator’s response to this on the development of emergency incident and will monitor for any issues management plans with several associated with such signalling during operators sharing their experience 2015-16. The Australian Transport in managing and planning for emerg- Safety Bureau is also currently encies. Guests from South Australian conducting an investigation emergency services were invited and into this incident. outlined their role during the response to an emergency. This was followed by an emergency scenario walkthrough, led by the South Australian Police.
38 Office of the National Rail Safety Regulator Part B: New South Wales
John Holland Ballast train, Murrobo, New South Wales
• the NSW Country Regional Network. It is owned by the NSW Government and managed by John Holland Rail. The network, comprising 2,500 kilometres of track, is used primarily for bulk commodities such as grain but carries other freight and long Rail industry context Major networks operating in NSW include: distance passenger services. Dedicated metropolitan freight lines are As at 30 June 2015 there were 81 • the Metropolitan Rail Area (MRA) relatively small in terms of their collective operators accredited by the National which is centred in Sydney under the track length but serve a critical role in the Rail Safety Regulator under Rail Safety management and control of Sydney effective management of the freight and National Law for operations in NSW. Trains. It is used mainly by Sydney Trains for urban passenger services passenger tasks in metropolitan areas. Sydney’s urban passenger network and NSW TrainLink for intercity and Sydney’s dedicated freight lines are comprises heavy and light rail. Heavy rail country services, but also carries managed by ARTC and consist of: carries the majority of passengers, with an intra and interstate freight trains. • the Southern Sydney Freight Line estimated 290 million passenger journeys (SSFL) which is a 36 kilometre over 1,820 track kilometres. Light rail • the approximately 4,693 kilometres of dedicated freight line that links operates an estimated 4 million passenger track managed by the ARTC under long the DIRN at Macarthur and the journeys over approximately 24 track term lease from the NSW Government. Metropolitan Freight Network kilometres, following a significant This includes the DIRN, the inland route between Parkes and Werris Creek, and extension to the light rail network in • the Metropolitan Freight Network which the Hunter network, the latter compris- Sydney’s inner west. In regional NSW, connects with the SSFL and provides ing 1,100 track kilometres. It is used NSW TrainLink is the major passenger dedicated access for freight trains to primarily for transporting coal to railway carrying an estimated 16 million the Main Northern Line near Strathfield, Newcastle ports. It also carries bulk passengers on a number of networks the Illawarra Line near Tempe, as well as intermodal freight as well as commuter managed by other operators. to major terminals including Port Botany and long distance NSW TrainLink which handles the majority of NSW’s passenger services. import/export containerised freight.
Annual Report ‘14 – ‘15 39 Part B: New South Wales
Coal train, Hunter Valley, New South Wales
Significant regulatory activities Significant focus for the NSW Branch during 2014–15 has been working with major rail project proponents on their accreditation requirements. This included the following: • a Public Private Partnership contract was awarded by the NSW Government to the ALTRAC consortium to design, construct and operate the Sydney CBD and South East Light Rail network. The scope includes taking over the existing light rail operations in Sydney from the current operator. ONRSR is currently liaising with ALTRAC on its accreditation requirements as the rail infrastructure manager for its construction and operational activity on the light rail network. ALTRAC will also be applying to vary its accreditation to achieve the permission required to carry out the full scope of its intended activity as the rail transport operator. • Sydney Metro is Australia’s largest public transport infrastructure project with Sydney Metro Northwest (formerly North West Rail Link) being the first stage extending from Rouse Hill to Chatswood. Metro City and Southwest is the second stage from Chatswood to Bankstown involving further tunneling, including under Sydney Harbour. Sydney Metro Northwest comprising eight new stations will be the first fully-automated metro rail system in Australia and will include twin 15 kilometre tunnels from Bella Vista to Epping which will be Australia’s longest rail tunnels. It is scheduled to open in the first half of 2019. • A contract has been awarded to Metro Trains Sydney (MTS) for the construction and operation of Sydney Metro Northwest. MTS is currently developing its safety management system and supporting documentation to address the special conditions on its accreditation. This is required before MTS can commence construction of the train maintenance depot and Cudgegong Road Station.
40 Office of the National Rail Safety Regulator Part B: New South Wales
• monitoring and inspection activities During the year, a number of incidents • on 20 May 2015 a rail safety worker for the South West Rail Link in Sydney in NSW resulted in an operational was injured after falling from an elevated and its associated stabling facilities investigation response: platform while repairing infrastructure. to ensure that the commissioning The investigation identified that the rail • on 25 October 2014, a rail mounted undertaken by Transport for NSW infrastructure maintainer did not have excavator collided with a stationary for operational handover to Sydney documented procedures for the work hi rail utility at Boomley, northwest of Trains met agreed safety requirements. performed and that risk controls were Sydney. No one was injured however inconsistent for that type of work. The Monitoring activities were also undertaken the excavator vehicle sustained rail transport operator was issued with on a number of service providers to rail significant damage. NSW Branch’s an improvement notice and is currently operators in NSW, including maintenance review of the worksite protection plan taking appropriate actions. contractors and training providers, to indicated that the risk of collision had ensure they met operator safety system not been identified and therefore A number of compliance investigations requirements. Issues identified are controls were not put in place to were also undertaken in NSW: currently being assessed by the prevent the incident. The operator • in August 2014 at Boomley, two respective organisations and further was advised of the findings and track maintenance vehicles travelling inspection monitoring will occur to ensure has taken appropriate actions. in convoy collided within the limits of a that appropriate actions are undertaken. • on 11 September 2014, an empty 6 worksite. Subsequent inquiries indicate During the year, NSW Branch hosted car diesel passenger train derailed after that the person operating the second 3 ONRSR operator forums, in July and departing from Sydney Central station. track vehicle did not have the required November 2014 and March 2015. Topics NSW Branch identified that the cause training and competency to do so. included issues in the development of an of the derailment was due to the poor The investigation is focusing on how industry safety risk model and associated condition of a track used for ‘parking’ the rail transport operator concerned data collection, emergency management, carriages. The rail infrastructure satisfied itself that the person operating various safety improvement initiatives maintainer undertook remedial work the second vehicle was competent such as for road rail vehicle safety that included replacing the wooden to do so. risks and legislative changes. sleepers with concrete and carried out • in October 2014, a rail transport re-ballasting works. The operator has operator advised it had detected a also reviewed its maintenance program. number of instances where a safety Incident response • on 20 November 2014 a contracted hi device on some of its trains had been rail truck derailed whilst undertaking a damaged resulting in it becoming The NSW Branch of ONRSR continued propelling movement within a worksite. disabled. The rail transport operator to respond to rail safety incidents and The investigation identified the hi rail also identified a crew member who emergency events to ensure public safety, did not have any mechanical locking had been on each of the affected trains determine whether rail safety legislative mechanism and the operator did not shortly before the fault was detected. breaches have occurred and work check to ensure the hi rail wheels were The investigation identified that the to rectify and/or improve rail safety fully extended before use. In addition, crew member did not follow the management issues. Such responses risk assessments within the interface operator’s instructions in dealing with can include operational and compliance agreements between the different what he thought was a fault. However investigations. An operational investigation organisations at the worksite were there was no evidence to suggest refers to the initial investigation of a inadequate to identify controls and the crew member was deliberately notifiable occurrence (which informs in particular identify which one disabling the safety feature. ONRSR if there is any immediate safety organisation had the responsibility • in February 2015 at Kankool, an empty issues that need to be addressed) and to implement those controls. Controls coal train derailed resulting in extensive /or ONRSR’s decision to undertake a have since been reassessed by the damage to 19 wagons and over 2,000 compliance investigation which looks operators with clear ownership of metres of track. The investigation at compliance with the Rail Safety responsibilities identified. National Law. is continuing and is looking at train management as well as the condition and maintenance of the rolling stock and track.
Annual Report ‘14 – ‘15 41 Part B: Australian Capital Territory
Canberra Railway Station with freight train in background, Australian Capital Territory Rail industry context Significant regulatory As at 30 June 2015 there were 7 activities operators accredited by the National Oversight of rail safety in the ACT by Rail Safety Regulator under Rail Safety the Office of the National Rail Safety National Law for operations in the Regulator began in November 2014 Australian Capital Territory (ACT). with the enactment of the Rail Safety ACT network comprises the Canberra National Law (ACT) Act 2014. to Queanbeyan railway line linking with ONRSR has been actively engaged with the Country Regional Network managed the Capital Metro Agency within the ACT by John Holland Rail. NSW Trainlink in relation to the proposed Canberra light operates passenger rail services from rail project. Stage 1 of the Capital Metro NSW into the ACT. Canberra is also the is intended to connect the City to the home of the ACT Division of the Australian fast-growing area of Gungahlin via a 12km Railway Historical Society, which operates route following Northbourne Avenue, the tourist and heritage passenger service Federal Highway and Flemington Road. and a freight rail service. Recently, ONRSR has commenced The ACT Government is currently engagement with the two proponents undertaking a tendering process for shortlisted for the tendering phase the construction and operation of a to provide guidance on rail safety light rail service between Gungahlin regulatory matters. and Civic, Canberra.
Incident response No significant rail safety incidents were recorded in the ACT for 2014–15.
42 Office of the National Rail Safety Regulator Part B: Victoria
Rail industry context Significant regulatory Incident response As at 30 June 2015 there were 37 activities During the year, a number of incidents in operators accredited by the National During 2014-15, the Victoria Branch Victoria required the Victorian Branch’s Rail Safety Regulator under Rail Safety focused on the core functions of response. Those significant included: National Law for operations in Victoria. accreditation and compliance as • a NSW Trains XPT passenger train The ONRSR regulated rail industry well as providing early input into derailment at North Melbourne on in Victoria comprises the following significant state rail projects and final 11 July 2014. The initial focus of the primary networks: assessments including the Regional operational investigation was to address Rail Link and Melbourne Metro Rail the ‘critical safety’ concern with regards • commercial passenger rail operator projects as outlined below: to the section of newly laid track (cross Metro Trains Melbourne (MTM) overs) and size (width) of rolling stock operating over 830 kilometres • the Regional Rail Link Project comprises wheels. The investigation has identified of track with 222.5 million dedicated regional tracks from West a number of systemic issues that are passenger trips in 2014. Werribee Junction to Deer Park, then along the existing rail corridor from being worked through with the • commercial regional rail operator Sunshine to Southern Cross Station. appropriate parties. V/Line has a network consisting of 5 Regulatory interface with this project • a V-Line passenger train collision short haul and 8 long haul lines totalling commenced in 2011 and regulatory into the back of a stationary MTM 1,747 kilometres with 13.1 million expectations on high priority risks and passenger train on MTM’s suburban passenger trips in 2014. governance issues were outlined. The network at Altona on 22 August 2014. • the ARTC freight network, predomi- accreditation obligations fell to ARTC, A number of preliminary measures have nantly two standard gauge lines MTM and V-Line with V-Line establish- been put in place to address identified (with some branch lines) consisting of ing the risk management process for safety concerns and changes required approximately 1,332 kilometres of track. the project. Under rail safety legislation, to the rule book to prevent a re- the Regional Rail Link Authority was occurrence are continuing. • various tourist & heritage rail operators. exempt from accreditation. In October 2014, ONRSR identified an Throughout the project the regulator has organisation had imported and placed endeavoured to ensure that all risks to new container wagons on a siding in safety have been appropriately controlled, Sunshine, Victoria. A compliance management of change and engineering investigation led by the Victorian Branch change processes have been followed of ONRSR is examining allegations that and the appropriate justifications have the testing and commissioning of the been documented. wagons was being undertaken by • the development of the Melbourne an organisation that did not hold Metro Rail Project currently involves accreditation under Rail Safety two nine-kilometre rail tunnels from National Law. South Kensington to South Yarra, new underground stations at Arden, Parkville, CBD North, CBD South and Domain and train/tram interchanges at Parkville and Domain. It is intended to allow for 20,000 more passengers to use the metropolitan rail network in the peak hour. ONRSR understands that early works are currently scheduled for 2017 with major construction commencing in 2018. On invitation, ONRSR is participating in discussions with project staff around the application of its major projects guideline and the project’s accreditation strategy.
Annual Report ‘14 – ‘15 43 Part B: Tasmania
Significant regulatory • the derailment of three locomotives and nine wagons near Colebrook on activities TasRail’s South Line on 9 November In addition to routine auditing and 2014. On site observations and inspection activities, which saw 25 subsequent enquiries by the Tasmanian routine audits, inspections or site visits regional office indicated that over speed undertaken across all operators, areas of was the likely primary cause of the focus for the Tasmanian Regional Office derailment rather than track or rolling of ONRSR during the period have been: stock condition. This was confirmed by the operator’s investigation. • monitoring preparations by the West Further enquiries regarding the Coast Wilderness Railway for the operator’s driver training and resumption of passenger services competency assessment process and between Strahan and Dubbil Barril train handling by a range of drivers has led to ONRSR’s assessment that the • evaluating changes in operators’ Safety derailment was isolated to this incident Management Systems formally notified and that there were no systemic issues by operators under the Rail Safety requiring further action. An Australian National Law National Regulations Transport Safety Bureau investigation on seven occasions into this incident is ongoing. • monitoring TasRail’s implementation • the derailment of a locomotive of the enhancements to its train control hauling an empty passenger carriage system known as the Advanced Rail industry context near Teepookana on the West Coast Network Control System. As at 30 June 2015 there were 15 Wilderness Railway on 9 December operators accredited by the National • ongoing liaison and advice to tourist 2014, which occurred just prior to Rail Safety Regulator under Rail Safety & heritage operators on rail safety the resumption of railway operations National Law for operations in Tasmania. regulatory issues. between Strahan and Dubbil Barril. Eleven of these operators are accredited ONRSR had been monitoring track solely for operations within Tasmania. condition matters prior to the resumption of these passenger The primary rail network is the freight Incident response services. The regional office network operated by TasRail which attendance and enquiries identified The Tasmanian regional office of ONRSR runs approximately 130 services locomotive specific issues to be the continues to respond to significant safety a week over approximately 610 likely cause of this derailment and that incidents. During the reporting period kilometres of operational track. no action was needed to be taken in these included: relation to the resumption of passenger Tasmania also has a diversity of rail services. Improvements to the tourist and heritage operators ranging • a collision between a car and train inspection and maintenance regime for in technical complexity as well as at a level crossing near Heybridge on the locomotive have been implemented. passenger numbers. TasRail’s Western Line on 6 September 2014. The Tasmanian regional office The Australian Transport Safety Bureau noted that the operator’s investigation has released its investigation report into identified contributing factors as being this occurrence. compromised site distance at the • the derailment of ten wagons near crossing and road user observance Kimberley on TasRail’s Western Line to traffic signs. In response, ONRSR on 25 January 2015. While the regional sought confirmation from the operator office did not attend the incident scene, that other passive (sign only) level enquiries were undertaken in response crossing sites were checked for to the operator’s investigation report compromised sight distance. specifically in regard to track defect management practices. This resulted in further review and implementation of improved track inspection and maintenance response processes by the operator.
44 Office of the National Rail Safety Regulator Part B: Northern Territory
The Ghan, Alice Springs, Northern Territory
Rail industry context Significant regulatory Incident response As at 30 June 2015 there were 11 activities There was only one incident during the operators accredited by the National Routine auditing and inspection year requiring the Northern Territory local Rail Safety Regulator under Rail Safety activities occurred, which have involved office’s response. This involved a collision National Law for operations in the the Northern Territory regional ONRSR between a vehicle and a train at Katherine Northern Territory. In July 2014, the office engaging with Genesee Wyoming on 12 October 2014 which resulted in a Ghan Preservation Society surrendered Australia and Great Southern Rail at road vehicle becoming stuck on railway its accreditation for railway operations a local level to monitor the safety of tracks outside a designated level crossing. at its premises in Alice Springs. operations within the Northern Territory. The collision resulted in the vehicle becoming trapped under the train’s The primary rail network is the The regional office, with support from Rail locomotive and dragged across the freight network operated by Genesee Safety Officers from Adelaide, undertook Katherine River Bridge. Whilst no & Wyoming joining Darwin to the ARTC network patrol activities in October 2014 systemic issues were identified in network in South Australia consisting and April 2015 that involved travelling ONRSR’s inspection, the incident of approximately 1737 kilometres. between Darwin and Alice Springs to triggered ONRSR to liaise with The iconic Ghan passenger train visit key railway sites and engage with Northern Territory Police to authorise service of Great Southern Rail a range of rail safety workers and potential prosecution under the RSNL. also operates on this network. operations. These patrols are important in maintaining an overview of safety issues and for strengthening the wider ONRSR knowledge of railway activities within the Northern Territory.
Annual Report ‘14 – ‘15 45 Financial Report
(left) Freight train with stack containers in outback
Financial Summary There were two major expenditure items. The first was Service Level Agreement ONRSR’s detailed audited financial payments for both ONRSR’s NSW Branch statements are on page 51 of and VIC Branch ($19.626 million). This this annual report. was paid to the Independent Transport Safety Regulator and Transport Safety The ONRSR showed a net surplus of Victoria respectively. The second major $0.904 million for the financial year ending item was employee benefit expenses 30 June 2015. It was noted in the 2012–13 ($6.677 million). financial summary a receipt of $3.849 million from the Commonwealth Govern- As referred to in the Statement of Financial ment for the transition of branch offices Position, the cash and cash equivalents in Victoria, Queensland and Western balance ($8.300 million) includes the Australia was treated as income, that balance of monies held for transition costs these transition expenses would be ($0.979 million) which will not be used for incurred in the following years. In the general ONRSR operations. The increase equity section of the statement of financial in cash and cash equivalents on 2013–14 position, there remains $0.979 million in is due to WA office set up expenses, the reserve held to cover the expenses quarterly VIC Service Level Agreement of transition of Western Australia expense and various vendor expenses and Queensland. accrued but not yet paid as at 30 June 2015. The major income items were fees and charges ($30.695 million). This item increased by $6.447 million on 2013–14 due to industry fees and government contributions from Victoria. Victoria only became a participating jurisdiction towards the end of 2013-14 and this year’s financial results show the full impact of this change for the first time.
Annual Report ‘14 – ‘15 46 ONRSR FINANCIAL STATEMENTS
year ending 30 June 2015
47 Office of the National Rail Safety Regulator 48 Chapter title
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69 Office of the National Rail Safety Regulator 69 70 Appendix One
Appendix 1 Office of the National Rail Safety Regulator Freedom of Information Statement 2014–2015
The Office of the National Rail Safety Oversight Compliance 16 (1) ONRSR consists of: Regulator (ONRSR) is an independent (a) a person appointed by the South body corporate established under the ONRSR is required to comply with section Australian Minister acting on the Rail Safety National Law (RSNL), a 263 of the RSNL which requires ONRSR unanimous recommendation of Schedule to the Rail Safety National to comply with certain South Australian the responsible Ministers as the Law (South Australia) Act 2012. Acts (the Oversight Laws). These are Freedom of Information Act, Public National Rail Safety Regulator The primary objectives of ONRSR are Finance and Audit Act, Ombudsman (the Regulator); and to encourage and enforce safe railway Act and State Records Act. The RSNL (b) 2 non-executive members (full-time operations and to promote and provides that all Oversight Laws in each or part-time) as are appointed by the improve national rail safety. participating jurisdiction are disapplied, South Australian Minister acting on ONRSR was established in July 2012 and then reapplied to the ONRSR by the unanimous recommendation and commenced operations on 20 modifications made by the RSNL National of the responsible Ministers. January 2013. ONRSR has responsibility Regulations so that one set of Oversight The functions of ONRSR are set out in for regulatory oversight of rail safety law Laws (South Australian) apply to ONRSR section 13 of the RSNL which states: in the jurisdictions of South Australia, regardless of jurisdiction. New South Wales, Tasmania, Northern This statement is published in 13 (1) In addition to any other function Territory, Victoria and the Australian accordance with section 9(2) of the conferred on ONRSR by this Law Capital Territory. Subject to the Freedom of Information Act 1991 or an Act, ONRSR has the following passage of applied or mirror legislation, (the FOI Act) (as modified by the Rail functions: it is expected that Queensland and Safety National Law National Regulations). Western Australia will also be (a) to administer, audit and review the The FOI Act gives members of the public accreditation regime under this Law; regulated by ONRSR. a legally enforceable right to access ONRSR is required to set out a Statement information held by an Agency of the (b) to work with rail transport operators, of Intent for agreement by the Transport South Australian Government. Although rail safety workers, and others involved and Infrastructure Council. It refers to the ONRSR is explicitly not an agency or in railway operations, to improve rail ONRSR’s goals as set out in its Corporate instrumentality of the South Australian safety nationally; Government, the modifications made Plan, which are to: (c) to conduct research, collect and by the RSNL National Regulations publish information relating to r • maintain and improve rail safety through applies this Act as if ONRSR were ail safety; a risk-based approach to regulation an Agency for the purpose of FOI. (d) to provide, or facilitate the provision • reduce regulatory burden on industry ONRSR’s website can be found at of, advice, education and training www.onrsr.com.au and provides an • promote greater self-regulation by in relation to rail safety; industry overview of the role and function of ONRSR, and includes information (e) to monitor, investigate and enforce • prepare for and support the entry of regarding the RSNL, publications, compliance with this Law; other state regulators into ONRSR media releases and information regarding applying for an FOI request. (f) to engage in, promote and coordinate • promote safety awareness and the sharing of information to achieve the safety improvement initiatives Information regarding freedom of objects of this Law, including the sharing and research, and information can be found on the South of information with a prescribed authority; Australian State Records website at • develop and enable our people to www.archives.sa.gov.au/content/foi-in-sa (g) at the request of the Commonwealth optimise internal capability and or a jurisdiction—to carry out any other organisational effectiveness. function as agreed between ONRSR and the jurisdiction. To achieve these goals, ONRSR aims to maintain and improve rail safety through Structure and Further information as to the detailed consistent risk-based application of the Functions structure of ONRSR (including the Executive law across jurisdictions, sharing and Team) can be found in the About ONRSR improving regulatory practice and The constitution of ONRSR section of the ONRSR website or in the developing strong stakeholder is set out in section 16 of the current or previous copies of the ONRSR relationships and engagement. RSNL which states: Annual Report.
Annual Report ‘14 – ‘15 71 Appendix One
Stakeholder Forums Documents held • guidelines, fact sheets and safety alerts to provide assistance to ONRSR has a number of forums by the ONRSR duty holders in understanding whereby members of the rail industry ONRSR and RSNL make publicly available their requirements under the can participate in the formulation of a variety of documentation, including: Rail Safety National Law and ONRSR’s policies, procedures, and to improve rail safety. in some cases, proposed modifications • The organisation’s Annual Report, to the RSNL. These are: Corporate Plan, Statement of Intent • a National Rail Safety Register and media releases and rail transport operator notices • Branch Operations Forums of accreditation and notices of • ONRSR policies providing guidance registration issued under the • CEO Industry Reference Group to and setting expectations for ONRSR Rail Safety National Law. • Joint CEO/Industry Reference Group officers in their exercise of regulatory functions under the Rail Safety National Documents are generally available on • National Operations Forum Law, and made publicly available for the ONRSR website (www.onrsr.com.au) and may also be inspected, by appoint- • Union Reference Group transparency. These are: ment between 9.00am and 5.00pm on The National Regulator/CEO and • Fees policy; weekdays (excluding public holidays), at the National Office of ONRSR located at other Executive members also make • Private siding registration policy; regular appearances at relevant public Level 1, 75 Hindmarsh Square, Adelaide, conferences and other presentations • Safety Performance Reports policy; South Australia. Arrangements to view the documents can be made by email: where the general public can attend • Safety Improvement policy; and interact. [email protected] or by contacting • Drug and alcohol testing policy; the Manager, National Communications ONRSR has a dedicated Communications on (08) 8406 1555. team that can be contacted at any time, • Accreditation policy; via the ‘Contact Us’ page on the website, ONRSR also holds the following broad • Compliance and enforcement policy; by any person on a wide range of issues, categories of documents. Pursuant to the and where required those can be • Freedom of Information policy; FOI Act, some of these documents may escalated to the appropriate ONRSR be exempt: Executive member for action, which • Application of Australian • corporate files containing might include amendments to policies, Quality Training Framework and correspondence, memoranda, procedures or modifications to the RSNL. Australian Quality Framework to Rail Safety Worker competency terms of reference and minutes on assessment policy; various aspects of the organisation’s operations and committees • National Rail Safety Register policy; • corporate risk management records • Regulatory response to management of change policy; • accounting and financial records • Rail safety audit policy; • personnel records • Reporting of a safety issue policy; • work health and safety records • Application of cost benefit analysis • internal policies, procedures and requirement policy; guidelines that set out the way various activities and programs are performed • Operational delegations policy • legal opinion and advice. • Review of decisions policy; The complete list of exemptions may be • Exemptions from the RSNL policy. viewed in the Schedule of the FOI Act. Other online information and data resources for rail transport operators include operations and safety improvement information and tools on the ONRSR website (www.onrsr.com.au).
72 Office of the National Rail Safety Regulator Making a Freedom Requests for access made ONRSR Policy: Freedom of Information under the FOI Act must: of Information • be in writing application Once an FOI application or request • specify that it is made under the FOI Act Under the FOI Act, ONRSR has is received, ONRSR will process and determine it in accordance with the FOI obligations to ensure that certain • provide enough information to Act. The purpose of this document is to information concerning its operations enable the requested document(s) guide ONRSR staff members in their is readily available. Additionally, members to be identified of the public and Members of Parliament obligations with respect to the FOI Act • include an address and telephone are conferred a legally enforceable right and ONRSR’s obligations as an agency. number at which you can be to be given access to documents held by contacted in Australia ONRSR, subject only to such exemptions as are consistent with the public interest • indicate the type of access being Contact (as prescribed in the FOI Act). Members sought (e.g. inspection of a document of the public may also seek amendment to or a copy of the document) Queries, applications and ONRSR’s documents records concerning requests may be directed to: his or her personal affairs. • be accompanied by the application fee of $33.00 (current, July 2015) Corporate Counsel A comprehensive introduction to freedom of information can be found on the State In addition to the application fee, there Office of the National Rail Safety Regulator Records of South Australia website at may be further charges for processing PO Box 3461, Rundle Mall http://archives.sa.gov.au/foi. and copying if the document(s) are long Adelaide SA 5000 or complex. Fees may be waived on (08) 8406 1500 Requesting access or amendment presentation of evidence of hardship to ONRSR records or a concession card by the applicant. [email protected] It is best to discuss your application or The form for FOI applications and requests request with ONRSR prior to lodging. If may be found on the State Records of proper and lawful, ONRSR will attempt to South Australia website at: provide access to information voluntarily in order to minimise applications under • http://www.archives.sa.gov.au/files/ the FOI Act and the associated costs. forms_foi_request_for_access.pdf It should be noted that the RSNL already • http://www.archives.sa.gov.au/files/ provides for some information to be made forms_foi_amendment_personal.pdf available to the public at no cost on the ONRSR website.
Annual Report ‘14 – ‘15 73 Appendix One
Office of the National Rail Safety Regulator Freedom of Information Report 2014–2015 in accordance with section 54AA of the FOI Act (as modified by the RSNL National Regulations)
Applications for Access 2014-2015 No. Application Fee Outcome Access Reason/ Extensions Time Type Type Exemptions Taken
1 Personal n/a Withdrawn n/a n/a n/a n/a (wrong agency)
2 Personal n/a Withdrawn n/a n/a n/a n/a (wrong agency)
3 Personal Fee Complete Granted in part (x2) Section 20 Exempt None 16–30 days waived Refused access (x8) 4(2)(a)(ii), 16(1)(a)(iv)
4 Personal $32.25 Withdrawn n/a n/a n/a n/a
5 Personal $32.25 Complete No Documents n/a None 0–15 days
Accredited FOI Applications for Amendment of Images on the following pages Personal Information 2014-2015 came from iStock.com: 5: ymgerman, Officers: None 9: John Kirk, 11: Leadinglights, 20: PomInOz, 21: John Kirk, 24: John Kirk, Barry Carr Staff Administration Costs 31: FiledIMAGE, 37: John Kirk, 40: John 4 FTE >$70,00 Laura Paulus Kirk, 42: Dutchnatasja, 45: fotofritz16, 46: John Kirk, 55: superjoseph. James Bruun Cost of administering the FOI Act met as part of Corporate Counsel Team budget. Cathy Ray Accredited FOI Officer Training completed PO Box 3461, Rundle Mall, prior to 2014-2015 financial year Adelaide SA 5000 (08) 8406 1500 [email protected] Reviews and Complaints Internal Reviews Number 3 Application • Decision varied (1 document) • Decision confirmed (5 documents) External Reviews None District Court Appeals None
(right) Steam engine, Tasmania
74 Office of the National Rail Safety Regulator Chapter title
75 Office of the National Rail Safety Regulator Office of the National Rail Safety Regulator
Level 1, 75 Hindmarsh Square, Adelaide SA 5000 PO Box 3461, Adelaide SA 5000 Head Office: 08 8406 1500 Fax: 08 8406 1501 E-mail: [email protected] Web: www.onrsr.com.au
ISSN NO: 2202–3127 Copyright Information © 2015 Office of the National Rail Safety Regulator. This material may be reproduced in whole or in part, provided the meaning is unchanged and the source is acknowledged.