a r
Annual Report 2015 –2016
Table of Contents
West Coast Wilderness Railway, Tasmania
Table of Contents
4 Letter of Transmission 4 About This Report
Overview
6 Chief Executive’s Message 8 About Our Organisation 8 Our Statutory Framework 10 Governance 13 ONRSR’s Strategic and Regulatory Frameworks 13 Our Stakeholders 15 ONRSR’s Performance
Part A: ONRSR National Performance
18 Forward Annual Priorities 2016–17 19 Goal 1: Maintain and improve rail safety through a risk-based approach to regulation 22 Goal 2: Reduce regulatory burden on industry 24 Goal 3: Promote greater self-regulation by industry 26 Goal 4: Prepare for and support the entry of other state regulators into ONRSR 28 Goal 5: Promote safety awareness and safety improvement initiatives and research 30 Goal 6: Develop and enable our people to optimise internal capability and organisational effectiveness
Part B: Jurisdictional Performance
33 South Australia 34 New South Wales 37 Australian Capital Territory 38 Victoria 40 Tasmania 41 Northern Territory 42 Western Australia
Financial Report
44 Financial Summary 2015–16 48 Financial Statements
Appendicies
67 Appendix 1: Key Performance Indicators 70 Appendix 2: FOI legislative reporting
Annual Report 2015 – 2016 3 About This Report
Letter of About This Report Glossary of terms transmission ONRSR is a body corporate established COAG under the RSNL and, under the Law, is Council of Australian Governments: Transport and Infrastructure Council not subject to Ministerial direction in the comprising the Prime Minister, State Dear Ministers, exercising of its functions and powers. Premiers, Territory Chief Ministers The RSNL requires the regulator to and the President of the Australian It is my pleasure to submit to you deliver to the responsible Ministers Local Government Association the annual report of the Office of the a report on ONRSR’s activities for National Rail Safety Regulator (ONRSR). NTC each financial year. The report is separately provided to all National Transport Commission participating jurisdictional Ministers This report covers the activities ONS1-OCG1 for Transport for tabling in their of ONRSR during 2015–16 in those Classification schemes for respective parliaments. jurisdictions for which it had legal rail safety national data accountabilities for regulation, namely The ONRSR Annual Report 2015–2016 South Australia, New South Wales, the has been prepared in accordance with ONRSR Northern Territory, Tasmania, Victoria, Office of the National Rail the requirements of the Rail Safety the ACT and Western Australia. ONRSR Safety Regulator National Law 2012 (RSNL) and is working with Queensland to transition associated regulations. to ONRSR. The ONRSR The statutory establishment The report is structured to reflect The report is structured in five parts. of legal authority which rests ONRSR’s delivery against the ONRSR The overview section includes our in the Chief Executive and two Statement of Intent 2015–2018 and purpose, governance structures, non-Executive members Corporate Plan 2015–2018 which have summary of major achievements and been endorsed by the Transport summary financial report. Part A covers RISSB and Infrastructure Council and national regulatory activities and Part B Rail Industry Safety and promoted to stakeholders. covers local regulatory activities. Standards Board Yours sincerely, Financials and appendices follow. RTO Rail Transport Operator RRV Feedback Road Rail Vehicle ONRSR welcomes feedback Transport and Infrastructure on its report, please email: Senior Officials’ Committee Sue McCarrey [email protected] Heads of state government depart- Chief Executive ments and New Zealand, the Australian Local Government Association and National Transport Commission Transport and Infrastructure Council Commonwealth, State, Territory and New Zealand Transport and Infrastructure Ministers
Flinders Street Station Melbourne, Victoria
4 Office of the National Rail Safety Regulator Annual Report 2015 – 2016 5 Chief Executive’s Message
CHIEF EXECUTIVE’S MESSAGE
I’m pleased to present the Office of the National Rail Safety Regulator (ONRSR) Annual Report outlining our performance and activities during 2015–16. A new financial year naturally brings with it a period of reflection and having contemplated the many and varied matters that have occupied these past 12 months, I find myself more convinced than ever that the foundations of our emerging organisation are suitably strong. Nowhere is this more evident than in our continued progress toward establishing a truly national rail safety regulator for Australia. The seamless implementation of Rail Safety National Law in Western Australia, which facilitated regulatory oversight and the establishment of ONRSR’s Western Australia Branch in November 2015, ONRSR gave us jurisdiction in Australia’s largest Chief Executive, state and the penultimate piece in the Sue McCarrey national puzzle. The subsequent announcement by the Queensland Government of its intention to enact RSNL in 2017 means we are now closer than ever to delivering a truly national perspective and completing a great Australian rail journey more than 185 years in the making.
6 Office of the National Rail Safety Regulator As always during the last year our primary focus has been on working with operators to enhance rail safety through our risk-based audit and compliance program, our safety improvement program and via the provision of detailed policies, fact sheets and guidelines. As new jurisdictions join ONRSR, the levels of expertise we can apply to the task of improvement will be further enhanced improving safety continues to expand. through the completion of our first ever stakeholder survey during 2016–17. While an eye to the future is of the utmost importance, so too is a focus on Collectively, it is a platform as the here and now. Via another detailed exciting as it is timely, with the rail analysis of the Australian rail industry’s landscape poised for generational safety performance in 2015, ONRSR change underpinned by investment at has identified key rail safety priorities unprecedented levels. Through 2015– that are providing renewed guidance to 16 ONRSR again strengthened its focus our regulatory and safety improvement on the important role we have to play initiatives. Together with industry’s in ensuring major projects provide development of a safety vision and the modern, efficient, prosperous and, strategy and the positive headway being critically, the safe railways that Australia made on the establishment of a national needs now and into the future. The risk model, these programs represent development of a sustainable regulatory Sue McCarrey, real progress toward the intelligence- function, for more than $60 billion worth National Rail Safety Regulator based safety approach industry of projects slated for delivery in the next and Chief Executive needs and Australians deserve. decade, is fundamental to achieving the benefits of the national reform and a key June 2016 Similarly considered, and crucial to deliverable for ONRSR through 2016–17. ONRSR’s ability to effectively administer RSNL now, is the continued growth of For now though I would like to our people and systems — driven by a acknowledge all our stakeholders commitment to better engage with our for their continued support for, and staff and stakeholders. 2015–16 saw the commitment to, our shared rail safety development of a new ONRSR vision, goals. In particular I want to thank the underpinned by new organisational staff of ONRSR who have spent another values, while we also revisited our successful year working tirelessly in corporate goals — realigning them pursuit of safe railways for Australia. to optimise our performance and strengthen our relationships. Further- more, our commitment to continuous
While an eye to the future is of the utmost importance, so too is a focus on the here and now.
Annual Report 2015 – 2016 7 About Our Organisation
Loaded iron ore train Pilbara, Western Australia
About our organisation
During the year, all staff participated organisational in the development of an ONRSR Our statutory vision and review of its values. The context framework vision reflects ONRSR’s aspiration for ONRSR is established as a body ONRSR’s principal governing the collective co-regulatory framework corporate with perpetual succession framework is outlined in the Rail and its revised values guide and inform under Section 12 of the Rail Safety Safety National Law Act 2012. the internal culture and external National Law Act 2012. It operates business conduct of ONRSR. under a national framework reporting The regulator’s guiding objectives to Ministers in each state through the under the Act are to: Transport and Infrastructure Council. • facilitate the safe operation Vision ONRSR’s national office is of rail transport in Australia in Adelaide and regulatory staff deliver services through branch • exhibit independence, rigour offices. During 2015–16, there were and excellence in carrying out Safe four operational branch offices reflecting its regulatory functions the status of participating states. These • promote safety and safety railways were Central Branch which is located in improvement as a fundamental Adelaide overseeing operations in South objective in the delivery of rail Australia, Northern Territory, Tasmania transport in Australia. and the ACT, the New South Wales for Australia Branch located in Sydney, the ONRSR also has responsibilities Victorian Branch in Melbourne under the following South Australian legislation: Values and the Western Australian Branch in Perth. • Freedom of Information Act 1991 Integrity Staff in the Central and Western • Ombudsman Act 1972 We have moral courage and are honest Australian Branches are employed and straightforward in our approach by ONRSR. The NSW and Victorian • Public Finance and Audit Act 1987 Branches provide the agreed level Respect • State Records Act 1997. We have respect for each of services through Service Level other and our stakeholders Agreements (SLA) with the Independent Transport Safety Independence Regulator (ITSR) and Transport Our decision making is responsive Safety Victoria (TSV) respectively. and free from bias and influence ONRSR reports twice each year to the Diligence Transport and Infrastructure Council. We persevere and apply ourselves in a conscientious manner Excellence We are professional, high performing and strive for continuous improvement
8 Office of the National Rail Safety Regulator What we do Our resources ONRSR’s functions include: ONRSR received funding from industry through fees to the value of $11.7m and • accrediting Australian rail transport from State and Territory Governments to operators and approving variations the value of $20.4m. ONRSR’s primary to existing accreditations expenditure items were the Service • compliance monitoring and enforce- Level Agreement payments to NSW ment of Rail Safety National Law and Victoria, salaries and wages and operational costs including • promoting better safety practices rent payments and the development and technologies to industry and maintenance of the Information • providing specialist advice Technology systems. to the rail industry • conducting safety research • provision of reports to the Transport and Infrastructure Council • liaising with stakeholders through forums and events • assistance to jurisdictions whose rail regulation is yet to transition to ONRSR • central coordination and development of regulatory policies and procedures
Annual Report 2015 – 2016 9 Governance
Governance
Julie Bullas Peter Doggett Simon Foster Executive Director, Policy, Executive Director, Executive Director, Communications and Planning National Operations Technical
Julie has had over 35 years’ experience leading Peter has had nearly 30 years’ experience Simon brings over 35 years of technical policy development, reform and major change in the Australian rail industry where he has and leadership experience in rail covering track, projects at an Executive level across all levels of combined leadership roles (including the fleet, operations, stations and communications government, and within the rail industry including role of Rail Commissioner in South Australia) which includes being part of the team that implementation of the national rail reform and and practical operational experience coordinated the successful operation of rail establishing the Office of the National with a focus on risk management. services for the Sydney 2000 Olympic Games. Rail Safety Regulator.
James Stormonth Steve Bickley Executive Director, Director, Safety Corporate and Risk
James has been a CPA for over 30 years and Steve has over 15 years’ experience in has led and managed financial management over rail safety and risk management in Europe, a diverse range of industries from establishing Asia and Australia. Steve is recognised a two-partner taxation and small business as a leader in risk management in practice to manufacturing retail and the Australian rail industry. government financial roles.
10 Office of the National Rail Safety Regulator ONRSR Executive Under Rail Safety National Law, ONRSR’s Executive comprises ONRSR comprises the National four Executive Directors, and the Rail Safety Regulator (NRSR), Sue Director, Safety and Risk. McCarrey, and two Non-Executive During 2015–16, the Executive met 12 members, Catherine Scott and Peter times and discussed ONRSR’s strategic Batchelor. These three appointments directions, corporate risks and issues, are made by the South Australian operational strategies, policy and Transport Minister on the unanimous legislative requirements, safety advice from responsible Ministers. intelligence and data, transitional The ONRSR performs core governance issues and recommendations functions including review of ONRSR from its supporting committees. performance reports and financial operation oversight. The legal authority for specific regulatory actions is vested in the NRSR only. During 2015–16, the ONRSR met 12 times and endorsed ONRSR’s budget, forward strategic directions, progress against its business plan and revised suite of Key Performance Indicators (KPIs).
Sue McCarrey, Chief Executive Sue McCarrey was appointed as Australia’s National Rail Safety Regulator in November 2014. Under her leadership, ONRSR is maturing into a fully fledged national operation that is facilitating a safe, efficient and prosperous Australian rail industry.
Peter Batchelor, Non-executive member Peter Batchelor brings an extensive The ONRSR Executive knowledge of government obtained The Team team, 2015–16 through his 20 years as a member of At year-end, ONRSR employed 69 the Victorian Parliament. During this staff of which 12 were employed on fixed time Peter held senior Cabinet term contracts. Of these, 46 were in the positions including Minister National Office, 12 in the Central Branch for Transport. Office and 11 in the WA Branch Office. In addition, services were provided by 54 staff in NSW and 31 staff in Victoria Catherine Scott, under the SLA. Non-executive member Catherine Scott is an experienced Non-Executive Director. Her career combines investment banking and corporate experience in transport, infrastructure, natural resources and agriculture.
Annual Report 2015 – 2016 11 Governance
Metropolitan railway line Sydney, New South Wales
Governance system There are four senior committees Delegation of sitting under the Executive: The ONRSR and Executive are Authorities supported by a governance structure National Operations Committee (NOC) A framework of delegation is in place comprising internal and external so that day-to-day powers of the NRSR committees, and processes and Comprising senior operational officers to develop and implement the national can be executed by Executive Directors, procedures, including delegation Branch Directors and operational staff. of authorities and risk management workplan, assess and review regulatory practice. These are outlined below. rail safety risks and discuss operational Enterprise risk management matters including a consistent ONRSR remains committed to approach across Australia. maintaining its proactive approach Internal Committees Strategic Policy Committee (SPC) to enterprise risk management, A senior cross-organisational group strengthening its policy and review ONRSR has one advisory committee led by the Chief Executive to discuss framework during 2015–16. All staff that reports to the ONRSR: strategic policy, legislative and guideline contribute to organisational risk development, safety intelligence and management within ONRSR; however, Independent Audit safety improvement initiatives. the Executive has ultimate responsibility and Risk Committee for enterprise risk. Throughout the year The Independent Audit and Information Management the Executive regularly reviewed key Risk Committee reports directly and Technology (IM&T) risks, priorities and required actions to the ONRSR. During 2015–16 it Steering committee which includes and maintained a detailed enterprise held 5 meetings to oversee and review several Executive Directors to develop risk register. The assessed key risks ONRSR’s corporate risk and financial and oversight delivery of the IM&T underpin ONRSR’s forward strategic management and to review statutory Strategic Plan including work to directions. Priorities and required accounts subject to external audit support transitioning jurisdictions. actions (treatments) are reflected in and ONRSR’s internal audit program. ONRSR’s Corporate Plan 2016–19. It comprises Catherine Scott, ONRSR Senior Leadership Group Non-Executive member as Chair Comprising 30 senior officers and Malcolm Renney, an external who meet biannually to discuss appointment with extensive risk performance, strategic directions management experience in the and organisational culture. banking sector. The Auditor-General The Executive also engage with the or his representative is invited as a Joint Consultative Committee guest to each meeting to facilitate to facilitate formal consultation with effective communication with employees on workplace matters the Audit Office. including discussions and consultation about the way ONRSR conducts business, our workplace environment, changes that affect employees or any matters relating to the Enterprise Agreement.
12 Office of the National Rail Safety Regulator Strategic and Regulatory Frameworks
ONRSR’s strategic and regulatory Our frameworks Stakeholders
Statement of intent ONRSR’s primary stakeholder is the Stakeholder forums Australian public who are represented ONRSR is required to set out a through government ministers, ONRSR recognises that positive and Statement of Intent for agreement government forums/bodies and constructive stakeholder relationships by the Transport and Infrastructure agencies. These include the: are critical to achieving rail safety Council. The Statement of Intent for outcomes. During the year, ONRSR 2015–18, agreed by the Transport and • Transport and Infrastructure Council hosted a number of stakeholder forums. Infrastructure Council in May 2015, and which comprises all State, Territory These included the: Statement of Intent for 2016–19 agreed and Federal Ministers for Transport • C EO industry reference group in May 2016, are available on ONRSR’s and Infrastructure to which to discuss strategic policy and industry website at www.onrsr.com.au ONRSR is accountable. and regulatory directions, safety issues • Transport and Infrastructure and improvements. Participants Senior Officials’ Committee include senior representatives ONRSR’s regulatory which is an executive officer-level from the rail industry including committee supporting the Transport the ARA and RISSB. approach and Infrastructure Council through advice and coordination of briefings. • U nion reference group comprising ONRSR’s regulatory approach senior representatives from the Rail, articulates how we regulate with the • National Transport Commission (NTC), Tram and Bus Union with a similar view to achieving our purpose and an inter-governmental agency which agenda to the industry forum. objectives. The full document is ONRSR works with to facilitate available at www.onrsr.com.au enhancements to Rail Safety • N ational Operations Forum which National Law. allows multi-jurisdictional operators to discuss safety issues and consistency At operational and policy levels, of application with senior ONRSR ONRSR works and liaises with operational staff. the following bodies: • Branch Operators Forums • Australian Transport in individual states to address Safety Bureau (ATSB) local operational issues with • Rail Industry Safety and accredited operators. Standards Board (RISSB) ONRSR also participates in industry-led • Australasian Railway meetings and forums such as those Association (ARA) facilitated through: • Australian Tourist and Heritage • RISSB’s Safety Managers’ Railway Association (ATHRA) Group comprising safety managers from various Rail Transport • Rail operators (Chief Executives, Operators (RTOs). Rail Safety Managers) • Association of Tourist and • Rail Tram and Bus Union (RTBU) Heritage Rail Australia comprising • Australasian Centre for representatives from all state tourist Rail Innovation (ACRI) and heritage associations. • State tourist and heritage groups comprising local tourist and heritage operators.
Annual Report 2015 – 2016 13 ONRSR’s Performance The following map depicts the rail networks operating across Australia.
(Sourced from the Australasian Railway Association.)
ARAFURA SEA
TIMOR SEA
GULF OF CARPENTARIA
CORAL SEA
NORTHERN TERRITORY
WESTERN AUSTRALIA
INDIAN SOU T H
OCEAN
OCEAN
SOUTHERN OCEAN
TASMAN SEA _ Standard gauge (1435mm), Interstate network _ Narrow gauge (1067mm) _ Standard gauge (1435mm) o '¥ _ Broad gauge (1600mm)
Kilometre Kllamelres TA ¥J) 100 0 100 200 300 <100 Scale 1:-5,000,000
14 Office of the National Rail Safety Regulator ONRSR’s PERFORMANCE
Measuring industry Data analysis Fatalities and injuries safety performance Category A and Fatalities and injuries can involve Category B occurrences staff employed by railway companies, ONRSR is pursuing several railway passengers or members of the initiatives to improve the quality Under the Rail Safety National Law, public affected by railway operations. of notifiable occurrence data RTOs must report occurrences. The The ONRSR Occurrence Notification reported by rail transport operators more serious notifiable occurrences are Standard (ON-S1) provides guidance and its categorisation and utilisation. categorised as Category A, which must to support Regulation 57 on the types As such, comparisons of aggregated be reported immediately, and Category B of occurrences that are reportable and numbers of Category A or B which must be reported to ONRSR within what data items must be included with occurrences by year or by jurisdiction 72 hours of the occurrence. these reports. Where a casualty occurs are not considered valid indicators of in conjunction with an occurrence, rail safety performance. More useful details of this casualty must also be and detailed analysis of rail safety provided to ONRSR. performance, including breakdowns of this detail by jurisdiction and year, is provided in ONRSR’s annual Rail Safety Report which is available on the ONRSR website. State Cat. A Cat. B Fatality Serious Injury The table below provides high ACT 0 level data on the rail industry safety 0 16 0 performance within the remit of ONRSR. SA 36 3,617 4 5 Western Australia transitioned to ONRSR TAS 4 610 0 0 on 2 November 2015 and data is included from this date. NT 0 114 0 0 Rail safety contexts by state NSW 459 21,920 27 412 are outlined in more detail in the VIC 141 11,344 49 39 jurisdictional overviews in Part B. WA* 22 2,060 3 6
Total 662 39,681 83 462
*WA data is for period 2 Nov 2015 – 30 June 2016
Annual Report 2015 – 2016 15 ONRSR’s Performance
The following table reflects comparative data on the causes of fatalities in participating jurisdictions in 2015–16:
Suspected Struck Slips, trips Of the 462 serious injuries, around 81% Jurisdiction suicide by train & falls related to slips, trips and falls. In NSW, this comprised 85% of their reports on serious injuries, in Victoria 51% and in ACT 0 0 0 Western Australia 50%. There were no SA 3 1 0 serious injuries resulting from a slip, trip and fall in South Australia. ON-S1 TAS 0 0 0 defines a serious injury as one requiring NT 0 0 0 admission to hospital. This information is not always known by operators at 23 4 0 NSW the time of occurrence notification VIC 43 6 0 and different mechanisms are used by operators to ascertain the seriousness WA* 2 0 1 of an injury. Work is progressing with Total 71 11 1 industry to achieve a consistent national application of ON-S1 in this respect and ONRSR is preparing to update ON-S1 in 2016–17 to include a revised definition *WA data is for period 2 Nov 2015 – 30 June 2016 of serious injury consistent with model Railway crossing, Work Health and Safety legislation. Northern Territory
16 Office of the National Rail Safety Regulator Train approaching Central Station Sydney, New South Wales
ONRSR operational statistics The following table reflects ONRSR’s operational activity statistics for its regulatory services for 2015–16 in participating jurisdictions including South Australia, NSW, Victoria, Tasmania, Northern Territory, Operational activity ‘13–’14 ‘14–’15 ‘15–’16 the ACT and Western Australia. Data for 2014–15 reflects the No. of accreditations: inclusion of activities for the first time Received 3 6 10 1 1 2 from Victoria and ACT which increases Completed a number of KPI results for the year. No. of variations to accreditation: Received 23 40 30 Completed 19 24 11
No. of surrenders of accreditation: Received 2 5 3 Completed 1 4 3
No. of exemptions to accreditation: Received 2 3 2 Granted 1 1 1 No. of variations to registrations: Received 16 2 6 Completed 14 1 5 No. of surrenders of registration: Received 6 4 7 Completed 6 2 6 No. of notifications of change: Received 117 226 260 Completed 97 156 206
No. of consolidated ONRSR notices 61 114 86 of accreditation issued
No of REPCONs Received 10 10 5 Actioned 7 13 4
No. of formal inspections completed 129 196 216
No. of audits completed 57 48 74
No. of compliance investigations 10 10 7 completed
No. of Improvement Notices issued 0 5 19
No. of Prohibition Notices issued 0 2 3
Annual Report 2015 – 2016 17 Part A: ONRSR National Performance
Forward annual priorities 2016–17 Our forward annual priorities are guided by the goals of our Corporate Plan 2016–19 as outlined below. During the year the goals were reviewed and revised through ONRSR’s planning processes.
Goal 1 Maintain and improve rail safety through a risk-based approach to regulation Goal 2 Reduce regulatory burden on industry Goal 3 Under a co-regulatory framework, support industry in its operation of safe railways for Australia Goal 4 Promote safety awareness and work with industry on safety improvement and research Goal 5 Value and enable our people in pursuit of high performance Part A: Goal 6 Develop our systems to optimise our performance ONRSR The ONRSR Corporate Plan can be accessed on the ONRSR website at www.onrsr.com.au National Performance
18 Office of the National Rail Safety Regulator Part A: Goal 1
2015–2016 Goal 1: Maintain and improve rail safety through a risk-based approach to regulation
Context Milestones Achieving rail safety outcomes and What When 2015–16 Result risk-based regulation requires quality data and intelligence. The data collected Determine and deliver the annual • Annual • Achieved by ONRSR is used for regulatory regulatory activity work program purposes in four ways: using a risk-based approach • at a national level to develop the Enhance and embed a nationally • Dec • Progressing ONRSR national audit plan and work consistent ONRSR regulatory 2016 program, plan safety improvement risk framework initiatives and in priority setting with RISSB on collaborative projects Roll out of the Safety Management • June • Progressing System (SMS) tool for ONRSR 2016 • at a branch, jurisdiction or sector Rail Safety Officers level for operational action in respect to a particular aspect of the industry Deliver revised ONS1-OCG1 • June • Progressing (such as a specific operation, documentation 2016 asset or location) Conduct a national drug and • Ongoing • Partially • at an RTO level to identify and act alcohol testing program with achieved, on issues with particular operators annual review ongoing • for compliance and investigation activity where serious breaches of the RSNL are suspected. See Part B for more details of Key performance indicators state-specific activities (page 32). • Delivery of the national operations plan of audits and inspections • Implementation of compliance recommendations Corporate Plan by RTOs within agreed timeframes milestone delivery • Enforcement actions undertaken by ONRSR and outcomes ONRSR’s achievements in delivering this • Results from ONRSR’s drug and alcohol testing program goal are guided by its key milestones in the ONRSR Corporate Plan 2015–2018. • Results from operators’ drug and alcohol testing programs Summary performance is outlined (See Appendix 1 for KPI report) as follows:
Annual Report 2015 – 2016 19 Part A: Goal 1
Achievements National rail safety priorities ONRSR response to confidential reports (REPCONs) The following provides more detail on ONRSR’s Rail Safety Report Corporate Plan Goal 1 achievements. 2014–2015 identified four rail safety REPCON reports are confidential reports priorities which are to address track made to the ATSB by anyone who has Implementation of the worker safety in relation to competency a rail safety concern which are then ONRSR national work plan and communication, track condition, referred to ONRSR for action. ONRSR’s national regulatory work rolling stock maintenance and road rail ONRSR received five REPCON plan is developed through the National vehicle (RRV) safety. These priorities reports requiring action and four Operations Committee to reflect agreed remain current and project plans for for information purposes only during national safety and regulatory priorities each priority are in place. whilst addressing local regulatory 2015–16. Any immediate safety issues requirements. Priorities were based RRV safety has been a focus for ONRSR were addressed as a priority. For other on safety data intelligence outlined in since formation in 2013. Several serious safety issues, ONRSR sought further ONRSR’s Rail Safety Report 2014–2015, RRV incidents in recent years, some with information from operators and/or analysis of RTO safety performance, fatal consequences, have led ONRSR to conducted compliance inspections previous audit and compliance findings, raise RRVs as a priority area of attention. to verify the concerns and operator’s notifications by operators of changes to As such, there has been a sustained response. These issues will be monitored working arrangements, applications for focus of regulatory activity including as part of the ONRSR national work new or varied accreditations and general education and the issue of non- program for 2016–17. Once finalised, the operational intelligence. The regulatory conformances and notices. ATSB publishes REPCON reports on its website which includes the response work plan is regularly reviewed and During the year ONRSR evaluated its from ONRSR to each individual issue. resources reallocated to meet emerging RRV program outcomes and found that operational priorities. It includes activities issues affecting RRV safety have not yet ONRSR’s operational measures relating associated with ATSB investigations been adequately addressed. As a result, to REPCONs are on page 17. and REPCON reports (see below). ONRSR met with selected RTOs in early Statistics on operational activities 2016 and continued to deploy required conducted under the work plan enforcement actions. ONRSR is now Review of regulatory risk framework are detailed on page 16. focusing on targeted inspections to monitor program outcomes which will Reviewing operators’ rail safety risks During the year, senior ONRSR staff inform further safety improvement is a core function of the regulator. continued to meet with a range of activities for 2016–17. ONRSR strengthened its regulatory multi-jurisdictional operators to address risk framework during the year and specific safety issues as well as share further consolidated a robust national approach to assessing and prioritising intelligence and working on improved Safety incident response implementation of national regulatory rail safety risks — enhancing ONRSR’s policies and procedures across states. ONRSR responded to a number ability to target high priority risks. of rail emergencies, incidents and accidents that impacted on public safety and potentially breached Rail Data quality for regulatory reporting Safety National Law. More detail on these responses is provided state During the year, ONRSR continued by state in Part B of this report. to liaise with stakeholders to review the national Occurrence Notification Standard (ONS1) which defines the data requirements for notifiable occurrences required to be reported to ONRSR as well as the Occurrence Classification Guideline (OCG1) which defines data classification requirements. The review will result in a new integrated standard to support improved data quality and timely reporting as well as providing regulatory efficiencies for operators. The new standard will be completed in 2016 –17.
20 Office of the National Rail Safety Regulator National drug and alcohol Safety Management System tool testing program for ONRSR rail safety officers Under the RSNL, it is an offence Work continued to develop a to conduct rail safety work under paper-based tool to assist ONRSR’s the influence of drugs or alcohol. To Rail Safety Officers review of operator enforce this, ONRSR commissions an Safety Management System (SMS) external provider to test that rail safety compliance to support a nationally workers are complying with legislative consistent approach. The tool has requirements and not undertaking rail undergone further internal consultation safety work whilst under the influence and will be rolled out to ONRSR Rail of drugs or alcohol. This program Safety Officers during 2016–17. complements RTO and police testing. During the year, ONRSR conducted Major railway projects testing in South Australia, Tasmania, Northern Territory, NSW and Victoria. During the year, ONRSR continued to Testing will commence in the ACT and engage with proponents of major railway Western Australia in the second half of projects across Australia. This work is 2016. Testing was undertaken in a range outlined in detail by jurisdiction in Part B of locations, including both metropolitan of this report. and remote areas, and involved tourist and heritage and commercial operators. During 2015–16, 300 tests were conducted including 109 drug tests and 191 alcohol tests, with no confirmed positive results. An annual review of ONRSR’s testing program was provided to the Transport and Infrastructure Council in November 2015. For data on drug and alcohol testing programs and results, see Appendix 1.
Annual Report 2015 – 2016 21 Part A: Goal 2
Waratah train approaching Central Station Sydney, New South Wales.
Goal 2: Reduce regulatory burden on industry
Context Milestones Consistent regulatory decision-making, What When 2015–16 Result a coordinated national regulatory work program, use of nationally applicable Review the jurisdictional Application Law applying • Mar 2016 • Partially policies and procedures, legislative the Rail Safety National Law to identify the achieved review and a one fee and invoice impacts of jurisdictional legislative amendments structure all contribute to reducing and opportunities to improve national consistency regulatory burden. Report to the Transport and Infrastructure • Nov 2017 • Progressing Collating and sharing national data Council on the review of drug and alcohol and assists operators and the regulator fatigue risk management arrangements under ensures that activities are targeted the Rail Safety National Law to further and effective in reducing safety enhance regulator consistency risks nationally. The preparation of ONRSR’s annual Rail Safety Develop and implement a program for • Dec 2017 • Progressing Report is an important information ONRSR’s Rail Safety Officers incorporating service that the regulator provides. training and awareness to promote nationally consistent application of reviewed national policies and procedures Corporate Plan Develop strategies to address the results • 2016–17 • Not yet milestone delivery of ONRSR’s external stakeholder survey required ONRSR’s achievements in delivering this Conduct a targeted review, with industry, • Dec 2016 • Progressing goal are guided by its key milestones in of ONRSR forms to simplify their use the ONRSR Corporate Plan 2015–2018. Develop a user-friendly guide to support easy • 2016–17 • Not yet Summary performance is outlined reference to ONRSR guidelines alignment commenced as follows: to the Rail Safety National Law
Establish MoUs with: • Jurisdictional electrical regulators • Dec 2016 • Progressing • Western Australia Police • Mar 2016 • Progressing • Victoria Police • Sep 2015 • Completed • The NSW Office of Transport • Dec 2015 • Re-scheduled Safety Investigations for 2016–17
22 Office of the National Rail Safety Regulator Key performance indicators • Positive response to ONRSR’s external stakeholder survey • The NTC interim review of the rail safety regulator reform indicates positive outcomes • Legislative review identifies reduced Memoranda of Understanding inconsistencies across jurisdiction Memoranda of Understanding with (See Appendix 1 for KPI report) colleague agencies further support achievements in reducing regulatory burden by managing, as far as possible, duplication and supporting better safety outcomes. Legislative review proposals to the Achievements ONRSR now has an MoU or agreements Transport and Infrastructure Council The following provides more detail on of cooperation in place with: In 2012, the Transport and Corporate Plan Goal 2 achievements. • National Transport Commission Infrastructure Council endorsed the legislative arrangements for drug and • Australian Transport Safety Bureau alcohol and fatigue risk management Interim review of the benefits under the Rail Safety National Law • Heads of Workplace Safety Authorities of national rail safety reform and required that a review of these • South Australian Police The Productivity Commission will be arrangements be undertaken after undertaking an assessment of the the commencement of ONRSR. • Victoria Police benefits of the national transport These reviews are due for completion • Victorian Chief Investigator, Transport regulatory reforms. in 2017. Work is well underway to Safety — Letter of cooperation During 2015–16, ONRSR commissioned ensure the timeframe is achieved. • competent authorities for the transport an independent interim benefits review of dangerous goods by rail which sought feedback from a selection of operators. The interim review, finalised National Transport Commission • Department of Transport and Main in November 2015, identified that the maintenance program Roads (Queensland). results realised to date are positive, with benefits to industry including greater The National Transport Commission clarity on regulatory requirements, (NTC) reviews and leads the maintenance provision of a one-stop shop for of the Rail Safety National Law. processes such as accreditation and During the year, ONRSR continued invoicing and national data entry allowing to engage with the NTC and the South for benchmarking at the national level. Australian Government to develop and However, it noted that there are further pass the second amendment package opportunities for industry to standardise to the RSNL Act and Regulations. The approaches and full benefits cannot changes ensure the Act provides clarity be realised until all jurisdictions join on various issues raised by ONRSR and ONRSR and operate under a nationally other stakeholders such as ONRSR’s consistent regulatory framework. receipt of penalties and fines, rail infrastructure managers’ ability to respond to third parties where works Review of jurisdictional may threaten operations and consistent application laws applying use of terminology on specific issues. the Rail Safety National Law The changes commenced 1 August 2016. During the year, ONRSR identified and analysed the impacts of over 80 differences in jurisdictional application laws applying to the Rail Safety National Law. The impacts of these on both operators and ONRSR have been assessed and will be reported to the Transport and Infrastructure Council in November 2016.
Annual Report 2015 – 2016 23 Part A: Goal 3
TransPerth train approaching Perth from Midland, Western Australia
Goal 3: Context Promote greater ONRSR’s Safety Improvement Policy seeks to influence industry to self-regulation work together to identify and manage rail safety risks and articulates ONRSR’s by industry support for industry in the development of an industry risk model and quality RISSB standards. ONRSR promotes that industry develop and implement a national rail safety vision, strategy and work program.
Corporate Plan milestone delivery ONRSR’s achievements in delivering this goal are guided by its key milestones in the ONRSR Corporate Plan 2015–2018. Summary performance is outlined as follows:
24 Office of the National Rail Safety Regulator Milestones Key performance What When 2015–16 Result indicators • ONRSR provides quality feedback Acknowledge the completion of industry’s • Vision • Completed and input to Australasian Railway safety vision and strategy – Dec 2015 Association and RISSB products Strategy • Completed and programs. – Dec 2016 (See Appendix 1 for KPI report) Accept an industry national rail safety risk model • Prototype • Completed – Dec 2015 Model • Progressing – Dec 2017 Engagement in RISSB development projects National data strategy developed in consultation • June 2016 • Deferred with industry ONRSR regularly engages with RISSB providing input into selected standards Support RISSB with the development • As agreed • Ongoing and products, particularly those that of selected national standards, guidelines with RISSB facilitate national consistency and and products as appropriate interoperability and improve rail safety Work with RISSB and NTC to review the • Jan 2016 • Not required outcomes without inhibiting operator policy statement on Recognition of Industry competitive advantage. Developed Standards for Rail Safety During the year, ONRSR has Publish guidance on defining Rail Safety Workers • Dec 2015 • Progressing continued to work with RISSB to progress the following: • an industry safety risk model and supporting safety database Achievements Industry safety risk model • a standard for RRVs The following provides more detail on During 2015–16, ONRSR continued to • a standard for train detection Corporate Plan Goal 3 achievements. promote the need for an industry-led safety risk model as a basis to analyse • a guideline on operating RRVs operator safety data and benchmark • review of the standard for Railway performance. ONRSR continued to Industry safety vision and strategy Network Control Mobile support RISSB in its work to establish Communications During the past year, ONRSR provided this model, noting that the prototype input to industry’s development of its was completed in December 2015. • review of the standard for Human first safety vision and supporting Factors Integration in Engineering strategy. The vision is “Working as one Design — General Requirements industry in an effective co-regulatory National data strategy • a guideline on measuring safety framework, Australian rail will strive performance (formerly referred to to be a world leader in passenger and Work on a national data strategy which as a guideline on the identification freight rail safety”. The vision statement sets out the long term vision for safety of common safety KPIs) identifies a number of strategic focus data management, its use by industry areas to achieve this including national and data required is on hold pending • a guideline on making safety consistency in the application of RISSB the development of an industry safety decisions (completed April 2016) authorised safety standards and risk model and finalisation of short- • a guideline for contractor guidelines by industry, and the term improvements to ONS1. management. development of an industry safety risk model for national application. Rail Safety Worker guideline ONRSR also provided input into the development of the “Rail industry safety ONRSR and industry have worked strategy 2016–2020” which was released closely together in developing a guideline at the RISSB conference in April 2016. to help clarify the definitions of rail safety The strategy reflected the theme of the work and rail safety worker under Rail conference ‘One Regulator. One Vision. Safety National Law. The guideline One Industry”. ONRSR will continue will be completed in 2016. to work with industry to support the implementation of the strategy and vision.
Annual Report 2015 – 2016 25 Part A: Goal 4
Goal 4: Prepare for and support the entry of other state regulators into ONRSR
Context During 2015–16 ONRSR continued to work closely with government representatives and regulators in states yet to enact Rail Safety National Law to support their transition to ONRSR. ONRSR has liaised with senior officials, trained new staff, developed business Milestones systems to support national regulatory operational needs and transitioned What When 2015–16 Result appropriate regulatory data. Currently, participating jurisdictions Support legislative development to • Ongoing • Achieved in ONRSR include South Australia, enable the RSNL to be passed through – WA remaining state parliaments Northern Territory, Tasmania, the ACT, Western Australia (as of November 2015) Provide the business and human • Aligned with • Achieved and, under SLA, NSW and Victoria. resource systems and processes that transitional – WA* Queensland is preparing for transition. are aligned with transitional activities time-frames Review of SLA with NSW and Victoria • As mutually • Achieved Corporate Plan mile- agreed – ongoing stone delivery ONRSR’s achievements in delivering Key performance indicators * Preparations made this goal are guided by its key milestones for Queensland in the ONRSR Corporate Plan 2015–18. • Western Australia and Queensland transition to ONRSR which is scheduled Summary performance is for transition in outlined as follows: • SLA arrangements in NSW and Victoria transitioned 2016–17 to direct ONRSR oversight (See Appendix 1 for KPI report)
26 Office of the National Rail Safety Regulator Achievements Support for transition of Queensland Review of Service Level Agreement in Victoria The following provides more detail on Following the Minister’s announcement Corporate Plan Goal 4 achievements in late 2015 of Queensland’s decision The Victorian Government is currently which focus on Western Australia to transition to ONRSR, ONRSR has considering its position in relation to the and Queensland. been liaising with the Department of continuation of regulatory oversight being Transport and Main Roads on its delivered under the SLA or through a drafting of Application Law to apply the direct delivery model. ONRSR is Rail Safety National Law in Queensland. providing input to this review Support for transition The Application Law (Bill) is scheduled as and when appropriate. of Western Australia for consideration by Queensland During the year, legislation to Parliament during 2016–17. enable Western Australia to be regulated by ONRSR was passed in the Western Australian Parliament. Western Australian Discussions on Service rail safety staff formally transitioned Level Agreement in NSW to ONRSR in November 2015. The NSW Government has agreed to A range of support was provided a direct delivery model for regulatory to transitioning staff from Western oversight be introduced in NSW to Australia including training all officers replace the current SLA. ONRSR on operational and organisational is currently working with the NSW policies and procedures as well as core Government to implement this governance issues such as ONRSR and as soon as possible. staff roles and responsibilities. Required systems were put in place to operate on the enactment of transition in November 2015 including access to ONRSR’s document and information systems.
Annual Report 2015 – 2016 27 Part A: Goal 5
Goal 5: Promote safety awareness and safety improvement initiatives and research
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 in Australia”. ONRSR functions to enable this include the collation and publishing of information on rail safety, providing or facilitating the provision of advice, education and training and working collaboratively with industry on rail safety. ONRSR works with RISSB and key stakeholder groups, including union and industry members, to agree on safety awareness and improvement elements for endorsement and promotion. ONRSR safety improvement work with stakeholders takes the following forms: • development of supportive material such as guidelines and policies • targeted workshops and events on specific safety improvement priorities using ONRSR’s specialist resources Passenger train passing MCG and industry experience Melbourne, Victoria • regular promotion through ONRSR’s website and targeted information networks of rail safety issues and guidance • daily activities of ONRSR Rail Safety Officers in their interactions with operators involving identification of specific safety issues and awareness of industry better practice to enhance operators’ management approach and safety performance.
28 Office of the National Rail Safety Regulator Milestones Key performance What When 2015–16 Result indicators • Milestones achieved Work with industry to develop a work • Ongoing • Ongoing • Safety improvement program program to implement the Safety workplan developed and Improvement Policy implemented Develop the ONRSR annual • Sep 2015 • Achieved • Individual project evaluation safety improvement workplan indicates an effective outcome Complete the Safety Improvement • Sep 2016 • Achieved was achieved Project on road rail vehicle safety and (See Appendix 1 for KPI report) evaluate effectiveness of program Publish ONRSR’s Railway • Dec 2015 • Achieved Crossings Policy
Publish the annual Rail Safety Report • Annually • Achieved Publish Safety Bulletins • Quarterly • Not required
Achievements Preparation of the ONRSR Rail Safety Report The following provides more detail on Corporate Plan Goal 5 achievements. The ONRSR Rail Safety Report 2014–15, published in December 2015, provides national rail safety data and analysis from which to assess national rail Targeted safety improvement safety performance. The report lists key initiatives delivered priorities for ONRSR focus which were ONRSR maintains a rolling workplan addressed in its national operational for safety improvement projects which workplan. The report is available are prioritised on areas of safety on ONRSR’s website at risk and where ONRSR can www.onrsr.com.au provide the most value. During the year, work continued Railway Crossings Policy to develop a tool for ONRSR Rail Safety Officers to assess Safety Management In June 2016, ONRSR published System compliance (see page 21) its Railway Crossings Policy which as well as developing guidance for sets out ONRSR’s expectations for industry on fatigue risk management. the rail industry, road managers and Supporting checklists for ONRSR staff governments to reduce the safety risk of on compliance requirements for fatigue railway crossings. The policy articulates risk management and human factors ONRSR’s ‘no new railway crossings’ integration into safety systems position which aims to support are also in development. decision-making in infrastructure design as well as decisions to close Work has also begun on three or upgrade existing crossings. additional projects to assist operators on track worker safety, risk management practices and the quality of operator investigations. This work will continue in 2016–17.
Annual Report 2015 – 2016 29 Part A: Goal 6
Goal 6: Develop and enable our people to Milestones optimise What When 2015–16 Result
internal Develop a workforce plan for ONRSR • Plan • Achieved capability and that meets organisational needs as – Dec 2015 organisational states continue to transition Issue and analyse staff • Nov 2015 • Achieved effectiveness satisfaction survey Identification of training and development • Dec 2016 needs across ONRSR’s workforce supported by:
• Implementation of a competency- • Progressing based training program for all Context Rail Safety Officers Recognising that our people are our • Delivery of ONRSR learning • Progressing most important asset, we aim to ensure and development plan our workforce has a clear understanding of the role and goals of ONRSR and Deliver ONRSR’s 2015–18 • Ongoing • Achieved provide ongoing employee training on IM&T Strategic Plan ONRSR systems and processes. The Conduct review of national WHS • Align with • Achieved induction program is an important focus requirements to ensure current and transitioning as more states transition to ONRSR transitioning state needs are met timeline and staff retention and satisfaction is actively monitored. We are implement- As part of ONRSR’s governance ing a competency-based learning and program: development package to ensure that staff are equipped to provide • Enhance ONRSR’s enterprise • Ongoing • Achieved high quality services and maintain risk framework professional capability. • develop and implement an • Dec 2015 • Achieved System development has been ONRSR assurance program a top priority, with significant work Review current cost recovery arrange- • Nov 2016 • Progressing done to roll out Objective software to ments and propose future methodology integrate record management across for the consideration of the Transport states and to continue the build of and Infrastructure Council RegIS (Regulatory Information System), ONRSR’s regulatory and occurrence database tool. ONRSR recognises the importance Key performance of providing and maintaining a safe indicators workplace. A range of governance structures ensure that any work, • Delivery of ONRSR staff learning health and safety concerns of and development plans staff are addressed. • Staff satisfaction survey indicates positive support for the direction and culture of ONRSR Corporate Plan • A model is developed and milestone delivery implemented to achieve the recovery of fees from industry ONRSR’s achievements in delivering this goal are guided by its key milestones (See Appendix 1 for KPI report) in the ONRSR Corporate Plan 2015– 2018. Summary performance is outlined as follows:
30 Office of the National Rail Safety Regulator Achievements Workforce plan Governance and assurance The following provides more detail on ONRSR finalised its strategic workforce During the year, the ONRSR Executive Corporate Plan Goal 6 achievements. plan which prioritises key areas for focus approved a governance model and including building organisational culture identified its priorities over forward years. and learning and development: A key foundation of its governance model Work, health and safety • One ONRSR Culture program is enterprise risk management. ONRSR implemented a revised Enterprise Risk The safety of staff, contractors, ONRSR recognises the importance Framework which strengthened its risk visitors and industry is an ongoing of building and maintaining a national management practices following a priority of ONRSR. culture of shared values and behaviours. comprehensive review undertaken in Following ONRSR’s inaugural staff survey During the year, the Executive endorsed 2014–15. An enterprise risk register is which identified both positive support a national Work Health and Safety (WHS) monitored on a regular basis by the for ONRSR as well as suggested framework which articulates a national Executive, the ONRSR (comprising the improvements, a One ONRSR Culture approach that recognises that each Chief Executive and non-Executive program has been developed, led participating state operates under its members) and Audit & Risk Committee. by the Executive, which is being state-based WHS legislation. There was Each division actively monitors its progressively implemented. A major continued focus on strengthening the divisional and associated enterprise risks focus has been developing ONRSR’s WHS risk framework with the transition using a nationally consistent approach. inaugural vision statement, reviewing of Western Australia. A WHS and and revising its values and identifying Assurance of ONRSR good governance wellbeing plan is also being the associated behaviours. All staff is delivered through established regular progressively implemented. had input to this process. reporting, enterprise risk management There were no work related injuries by and an internal audit program. During • Learning and development ONRSR employees during 2015–16. the year, three audits were conducted ONRSR’s learning and development and their recommendations were framework aims to provide consistency endorsed by the Audit & Risk Committee. ONRSR system development and rigour of ONRSR processes and The committee regularly monitors the build a knowledge-driven shared implementation of recommendations. During the year, ONRSR continued culture based on ONRSR values. to implement its 3 year rolling strategic plan for Information Management and During the year, ONRSR continued its ONRSR’s cost recovery model Technology. Achievements during phased approach to assessing core this financial year include: competencies for ONRSR Rail Safety The existing cost recovery provisions Officers across ONRSR branches for ONRSR were agreed to in 2012 by • supporting the IM&T requirements including determining their training the Transport and Infrastructure Council, for transitioning states, with Western needs. ONRSR also has e-learning which also agreed to a review of the Australia successfully transitioned modules available to assist staff in provisions after three years in operation. in the period completing their required training. During 2015–16, ONRSR consulted • redevelopment and successful stakeholders on options for a revised Work has commenced on an implementation of the RegIS module cost recovery model to ensure equitable organisation-wide learning and for accreditation, providing a national recovery under an efficient model. The development framework incorporating system for regulatory management review includes the development of a fee all staff which will be progressively for major rail projects to better reflect rolled out during 2016–17. • a major technical upgrade of the and support the level of regulatory effort corporate system, which provides required for these projects and reduce finance, HR and payroll functionality cross-subsidisation. Work on the review • renegotiation of the existing external is ongoing with proposals being referred contract for managed IT service to the Transport and Infrastructure provision, leading to an improved Council in November 2016 for service provision at lower cost. its consideration. The contract was extended for a further 2 years
Annual Report 2015 – 2016 31 Part B: Jurisdictional Performance
The following outlines participating ONRSR state specific activities and outcomes for 2015–16. Participating states work under a national regulatory work program. For more information on the national work program, see page 20. ONRSR responds to rail safety incidents and conducts investigations as necessary to determine whether rail safety legislative breaches have occurred and to take action as deemed appropriate to rectify and/or improve rail safety management issues so as to ensure safety of the travelling public and rail staff. The following summary refers to two types of investigations — operational and compliance investigations. An operational investigation refers to the initial investigation of a notifiable occurrence which informs ONRSR if there is any immediate safety issues that need to be addressed and/or ONRSR’s decision to undertake a compliance investigation. Part B: Jurisdictional performance
Adelaide Metro tram in North Terrace Adelaide, South Australia
32 Office of the National Rail Safety Regulator Part B: South Australia
South • The Defined Interstate Rail Network Incident response Australia (DIRN) managed by the Australian Rail Track Corporation (ARTC) comprising During the reporting period, ONRSR approximately 1990 kilometres of track responded to the following significant in South Australia. The DIRN covers safety incidents in South Australia: the main interstate rail lines linking Rail industry context • derailment of a Pichi Richi Melbourne and Sydney to Adelaide as empty passenger train at Stirling well as Adelaide to Western Australia. As at 30 June 2016 there were 45 North, near Port Augusta on 8 operators accredited by the National • The Genesee & Wyoming (G&W) September 2015. ONRSR required Rail Safety Regulator under Rail network comprising approximately Pichi Richi Railway to undertake an Safety National Law for operations 1870 kilometres of track that covers investigation which identified that a in South Australia. the main line to Darwin (linking with cracked axle was the primary cause the ARTC network at Tarcoola as well of the derailment. ONRSR also as the residual networks throughout conducted an investigation. The There are three primary rail regional South Australia). operator has now introduced the networks in South Australia: required corrective actions, including • the Adelaide Metropolitan Passenger non-destructive testing of rolling stock Rail Network (AMPRN) comprising axles. ONRSR continues to monitor approximately 125 route kilometres Significant Pichi Richi Railway’s implementation of track primarily for passenger trains regulatory activities of its corrective actions. and also servicing a limited number • derailment of a SteamRanger In addition to routine auditing, inspec- of broad gauge freight services. empty passenger test train at tions, site visits and network patrols, There is also a tram network within Gemmels in the Adelaide Hills areas of focus for ONRSR in South Adelaide comprising approximately on 12 September 2015. ONRSR Australia during the period included: 15 route kilometres. requested SteamRanger to undertake • continuing to assess the Australian an investigation which identified a Rail Track Corporation’s application number of corrective actions required for variation of accreditation to in regard to track condition and implement the Advanced Train inspection. ONRSR officers have Management System (ATMS) as the met with the SteamRanger Board safeworking system between Port of Management to secure commitment Augusta and Whyalla. Testing and to the corrective actions and continues trials are to take place in 2016–17. to monitor their implementation. • undertaking an SMS review • two Genesee & Wyoming program across the tourist and Australia freight train derailments heritage sector with site visits that occurred near Marla, north-west conducted in metropolitan and South Australia, on 31 October due regional areas of South Australia. to track deficiencies and Marryat, ONRSR provided each operator northwest of Adelaide, on 10 January with a detailed report that analysed 2016 due to axle bearing failure. their current SMS against The corrective actions identified by legislative requirements. Genesee & Wyoming Australia will be the subject of ongoing ONRSR ONRSR hosted a Branch Operations monitoring during 2016–17. Forum in Adelaide in November 2015 which was well attended by RTOs from South Australia, Tasmania and the Northern Territory. ONRSR informed operators of issues arising from its 2015 audit and inspection program. The Chief Executive of RISSB also provided a presentation.
Annual Report 2015 – 2016 33 Part B: New South Wales
Grain loading operation Narromine, New South Wales
New South Wales
Rail industry context As at 30 June 2016 there were 84 operators accredited by the National Rail Safety Regulator under Rail Safety National Law for operations in NSW. Sydney’s urban passenger network comprises heavy and light rail. Heavy rail carries the majority of passengers, with an estimated 290 million passenger journeys over 1,820 track kilometres. Light rail operates an estimated 4 million passenger journeys over approximately 24 track kilometres, following a significant extension to the light rail network in Sydney’s inner west. Major networks operating Dedicated metropolitan freight lines are In regional NSW, NSW TrainLink is the in NSW include: relatively small in terms of their collective major passenger railway carrying an track length but serve a critical role in the • the Metropolitan Rail Area (MRA) estimated 16 million passengers on effective management of the freight and - centred in Sydney under the a number of networks managed passenger tasks in metropolitan areas. management and control of Sydney by other operators. Sydney’s dedicated freight lines are Trains. It is used mainly by Sydney managed by ARTC and consist of: Trains for urban passenger services and NSW TrainLink for intercity and • the Southern Sydney Freight Line country services, but also carries (SSFL) which is a 36-kilometre intra and interstate freight trains. dedicated freight line that links the DIRN at Macarthur and the • the approximately 4,693 kilometres Metropolitan Freight Network (below). of track managed by the ARTC under long term lease from the NSW • the Metropolitan Freight Network Government. This includes the DIRN, which connects with the SSFL and the inland route between Parkes and provides dedicated access for freight Werris Creek, and the Hunter network, trains to the Main Northern Line near the latter comprising 1,100 track Strathfield, the Illawarra Line near kilometres. It is used primarily for Tempe, as well as to major terminals transporting coal to Newcastle ports. including Port Botany which handles It also carries bulk intermodal freight the majority of NSW import/export as well as commuter and long distance containerised freight. NSW TrainLink passenger services. • the NSW Country Regional Network (CRN). It is owned by the NSW Government and managed by John Holland Rail (JHR). The network, comprising 2,500 kilometres of track, is used primarily for bulk commodities such as grain but carries other freight and long distance passenger services.
34 Office of the National Rail Safety Regulator Significant Early input into state-significant • Sydney Light Rail major projects has also been provided The CBD and South East Light Rail regulatory activities to the following major rail projects: is a new light rail network for Sydney, In addition to routine auditing, • Sydney Metro Northwest currently under construction. The inspection activities and site visits, 12km route will feature 19 stops, Sydney Metro Northwest will be the areas of focus for ONRSR in NSW extending from Circular Quay along first fully-automated metro rail system during the period have been: George Street to Central Station, in Australia. Sydney Metro Northwest through Surry Hills to Moore Park, • ongoing compliance monitoring will deliver eight new railway stations then to Kensington and Kingsford of railway organisations providing and 4,000 commuter car parking via Anzac Parade, and Randwick maintenance of safety critical rolling spaces to Sydney’s growing via Alison Road and High Street. stock components under contract to north west. accredited rolling stock operators ONRSR also hosted three Branch • Sydney Metro Southwest • commencing a compliance Operator Forums in NSW in July program to monitor labour hire Sydney Metro Southwest is the and November 2015 and March 2016. agencies’ provision of safe working second stage of Sydney Metro. Representatives from 14 RTOs, the resources to rail industry It will extend metro rail from the Rail Tram and Bus Union and the Office end of Sydney Metro Northwest at of Transport Safety Investigation are • commencing a compliance Chatswood and then under Sydney invited to each forum. Issues discussed program on the ability of engineering Harbour, through new underground included emergency management organisations to meet their duty of stations in the CBD and south-west planning, ONRSR’s Major Projects care obligations under Rail Safety to Bankstown. Guideline, ONRSR’s safety National Law during the design, improvement projects and drug construction and commissioning • Light Rail – Parramatta and alcohol testing regulation. of railway assets and systems. and Newcastle Newcastle Light Rail is 2.7 kilometres of light rail track from the new transport interchange at Wickham to Pacific Park. Parramatta Light Rail will be over 20 kilometres long, providing reliable public transport to link residential, employment, cultural and education precincts.
Annual Report 2015 – 2016 35 Part B: New South Wales
Tram leaving Central Station Sydney, New South Wales
A number of operational investigations were also undertaken in NSW: • on 1 August 2015, there was a near hit involving track workers conducting a walking track inspection near Kogarah Station, Sydney. ONRSR’s investigation found that the workers failed to comply with the applicable rules and procedures. The operator has been advised of the investigation findings and requested to provide advice on actions taken to prevent a recurrence. Incident response • on 8 March 2016, a set of 26 • on 18 October 2015, a freight train wagons moved after being left derailed at Sefton Junction, southern During the reporting period, ONRSR temporarily on the Port Botany arrival Sydney. The operator’s investigation responded to the following significant road. A crew member attempted to found the derailment occurred due safety incidents in NSW, a number stop the wagons and subsequently to a lack of adequate maintenance. of which resulted in a compliance suffered injuries to his foot which ONRSR has initiated an investigation investigation being undertaken: required hospitalisation. The wagons and is requiring the responsible travelled in an uncontrolled state Rail Infrastructure Manager to • on 23 September 2015, two for approximately 420 metres provide advice on actions taken locomotives were uncoupled from before colliding with a stationary to address maintenance issues. a freight train in a yard at the Sydney locomotive which was then pushed Freight Terminal. One hour later, the • on 19 December 2015, a worker for approximately 10 metres before locomotives ran uncontrolled onto was injured when a passing train coming to a stand. ONRSR’s the main line for approximately 200 was struck by an object at a worksite investigation includes a review of metres. There was no damage to at Telarah, Maitland. ONRSR’s how the operator applied its Safety rolling stock and infrastructure. The investigation found inadequacies Management System with respect investigation has identified the incident with protection arrangements at the to risk identification, training was the result of unauthorised and worksite as well as with monitoring and monitoring of train stabling unqualified staff assisting in shunting and supervision. ONRSR has written operations. The investigation activities contrary to procedures. The to the operators involved advising of is ongoing. operator has since issued instructions ONRSR’s investigation findings and to reinforce these procedures. • on 18 June 2016, a signal electrician seeking advice on actions taken was struck by a train and fatally injured to prevent recurrence. at Clyde. ONRSR officers attended the • on 19 January 2016, a single wagon incident site and a compliance of an empty coal train derailed at investigation is underway. Denman, upper Hunter Valley whilst travelling on the Ulan Line. The wagon travelled in a derailed state for 700 metres and then re-railed at the Rosemount level crossing. The train crew were unaware of the derailment and continued for approximately 50 kilometres before being directed to stop in the Bylong Loop. ONRSR has initiated an investigation and is following up on a number of issues with the operator. The investigation is continuing.
36 Office of the National Rail Safety Regulator Part B: Australian Capital Territory
Australian Capital Territory
Freight train at Lake Bathhurst, Australian Capital Territory
(image supplied by Les Coulton of Canberra Railway Museum)
Rail industry context The ACT Government announced • Canberra light rail project the Canberra Metro consortium as the The Canberra light rail project is a As at 30 June 2016 there were 8 successful tenderer for the construction 12-kilometre route from the City to operators accredited by the National and operation of a light rail service Gungahlin, along Northbourne Avenue Rail Safety Regulator under Rail Safety between Gungahlin and Civic, Canberra. and Flemington Road. The project will National Law for operations in the Preliminary works for construction are build 13 stops over the 12 kilometre Australian Capital Territory (ACT). expected to commence in early 2016–17. route and is scheduled for operation There is one primary network in in early 2019. the ACT. It comprises the Canberra The application for accreditation to Queanbeyan railway line linking with Significant the CRN operated by John Holland Rail. for construction of the light rail was NSW TrainLink operates passenger regulatory activities under assessment at the end of rail services from NSW into the ACT. the reporting period. In addition to routine auditing and The ACT Division of the Australian inspection activities, a key area of focus Railway Historical Society also operates for ONRSR in the ACT during the period a tourist and heritage passenger service has been the ongoing involvement of Incident response and a freight rail service. ONRSR in the following significant rail project: During this reporting period, there were no significant collisions, derailments or incidents resulting in fatality or serious injury within the ACT that required the attendance of ONRSR officers.
Annual Report 2015 – 2016 37 Part B: Victoria
Victoria
Rail industry context Significant As at 30 June 2016 there were 49 regulatory activities operators accredited by the National During 2015–16, the Victoria Rail Safety Regulator under Rail Safety Branch focused on the core functions National Law for operations in Victoria. of accreditation and compliance as well ONRSR-regulated rail industry as providing early input into the following in Victoria comprises the following significant state rail projects: primary networks: • Melbourne Metro Rail • commercial passenger The project will deliver two rail operator Metro Trains 9-kilometre rail tunnels travelling Melbourne (MTM) operating underneath Swanston Street in the over 830 kilometres of track. CBD, as part of a new Sunbury to • commercial regional rail operator Cranbourne/Pakenham line, new V/Line has a network consisting underground stations at Arden, Parkville, of 5 short haul and 8 long haul CBD North, CBD South and Domain, lines totalling 1747 kilometres. train/tram interchanges at Parkville and Domain and rail tunnel entrances at • the ARTC freight network, Kensington and South Yarra. predominantly two standard gauge lines (with some branch lines) • High Capacity Signalling consisting of approximately 1332 This project comprises the develop- kilometres of track. ment of a High Capacity Signalling (HCS) • various tourist & heritage system for the metropolitan rail network rail operators. and trial of this system on a section of the network. It is also intended that HCS will be included in the Melbourne Metro Rail Project. • High Capacity Metro Trains The project comprises the delivery of 65 new High Capacity Metro Trains (HCMT). The trains are planned to have a capacity of 1100 passengers with the first scheduled for delivery by November 2018. • Level Crossing Grade Separation Project The scope of the project is to remove 50 level crossings in the Melbourne metropolitan rail network over the next eight years, with at least 20 level crossings to be completed by 2018.
38 Office of the National Rail Safety Regulator Puffing Billy Belgrave, Victoria
Incident response • On 2 October 2015 a track worker was struck by a Melbourne Trains During the reporting period, ONRSR Metropolitan (MTM) passenger service responded to the following significant near Laverton railway station. The safety incidents in Victoria: track worker received serious head injuries. The accident is currently • On 11 July 2015, a V/Line train under investigation by ONRSR. travelling on the Albury line was involved in an overspeed incident • On 14 January 2016 a V/Line train at Wallan in north-east Victoria. As had loss of detection in a track circuit a result, some passengers suffered section on approach to the Progress minor injuries. The line operator, the Street level crossing in Melbourne. Australian Rail Track Corporation, The booms had descended; however, and rail operator, V/Line Pty Ltd the loss of detection resulted in the have provided requested investigation boom gates beginning to rise as the reports to ONRSR and administrative train approached the crossing. As a controls have since been put in place. result of this incident, MTM prevented ONRSR has also requested the VLocity trains from operating on a operator to investigate whether number of its lines. ONRSR worked train protection equipment should closely with both V/Line and MTM be installed. V/Line is seeking to to effect an engineering solution that progress this work. allowed V/Line services to resume normal operations across the network.
Annual Report 2015 – 2016 39 Part B: Tasmania
TasRail coal train, Tasmania
Tasmania
Rail industry context As at 30 June 2016 there were 15 operators accredited by the National Rail Safety Regulator under Rail Safety National Law for operations in Tasmania. Tasmania’s primary rail network is the freight network operated by TasRail which runs approximately 130 services a week over approximately 610 kilometres of operational track. Tasmania also has a diversity of tourist and heritage operators ranging in technical complexity and passenger numbers. Incident response During the year, a number of incidents in Significant Tasmania required ONRSR’s response: regulatory activities • a collision by a Don River Railway railcar and a buffer stop at Coles In addition to routine auditing Beach on 6 July 2015 while being and inspection activities, ONRSR has used for passenger operations. focused on liaising and providing advice ONRSR worked with the operator and to the tourist and heritage sector. identified the cause of the collision as a braking issue. A Prohibition Notice ONRSR also provided a submission was issued on 7 July 2015, prohibiting and verbal evidence to the Tasmanian the use of DP and PT class railcars. Legislative Council Inquiry into TasRail ONRSR is now satisfied the problem regarding its proposal for the operation has been resolved and cancelled the of tourist and heritage passenger trains Notice on 30 November 2015. on the TasRail network. • a derailment of a TasRail freight train between Colebrook and Turnbridge on 6 August 2015 which was the result of a track defect. At the time of this derailment, ONRSR had been informed about TasRail’s program to improve its inspection regime and changes being implemented that will assist in the detection and early management of track defects, including the specific type that contributed to this derailment. As a result, no further immediate action was taken by ONRSR.
40 Office of the National Rail Safety Regulator Part B: Northern Territory
Northern Territory
Rail industry context As at 30 June 2016 there were 11 operators accredited by the National Rail Safety Regulator under Rail Safety National Law for operations in the Northern Territory. The primary rail network is the freight network operated by Genesee & Wyoming joining Darwin to the ARTC network in South Australia consisting of approximately 1737 kilometres. The iconic Ghan passenger train service of Great Southern Rail also operates on this network.
Significant regulatory activities The focus for ONRSR in the Northern Territory during the period has been the Railway track ongoing routine auditing and inspection near Alice Springs, activities, principally involving Genesee Northern Territory & Wyoming Australia and Great Southern Rail, and network patrols across the territory to ensure operators remain informed of rail safety legislative requirements and guidance.
Incident response During this reporting period there were no significant collisions, derailments or incidents resulting in fatality or serious injury within the Northern Territory that required the attendance of ONRSR officers.
Annual Report 2015 – 2016 41 Part B: Western Australia
Western Australia
Rail industry context As at 30 June 2016 there were 42 operators accredited by the National Rail Safety Regulator under Rail Safety National Law for operations in Western Australia. The ONRSR-regulated rail industry in Western Australia comprises the following primary networks: • Public Transport Authority of Western Australia (PTA) has a metropolitan commercial passenger network consisting of 395 kilometres of track. PTA also operates regional passenger services utilising the network of Brookfield Rail Pty Ltd comprising AvonLink (East Perth – Northam), MerredinLink (East Perth – Merredin), the Prospector (East Perth – Kalgoorlie) and Aus- tralind (Perth – Bunbury). • Great Southern Railway Ltd uses the Defined Interstate Rail Network (DIRN) for its operation of the Indian Pacific between South Australia and East Perth. It is managed by ARTC (Deakin to Kalgoorlie) and Brookfield Rail Pty Ltd (Kalgoorlie – East Perth). Railway crossing • Two major networks in Western Pilbara, Western Australia are used for the transpor- Australia tation of general containerised goods, agricultural products and minerals. They consist of: - the ARTC interstate network of approximately 787 kilometres of optimised standard gauge track along the DIRN between Kalgoorlie and Deakin - the Brookfield Rail Pty Ltd network consisting of approximately 5,543 kilometres of predominantly narrow gauge track. Brookfield’s network also includes the western most portion of the DIRN between Kalgoorlie and East Perth, which is standard gauge.
42 Office of the National Rail Safety Regulator Other smaller-scale freight networks in Significant Western Australia include Karara Rail Pty Ltd, a commercial iron ore rail line in the regulatory activities Mid West region and Mid West Ports In addition to routine auditing, inspection Authority in Geraldton. activities and site visits and reviewing Several commercial networks exist and finalising work handed over from in the Pilbara region used for the the former Office of Rail Safety, areas transportation of iron ore from mines of focus for ONRSR in Western Australia to ports. Major operators consist of: during the period have been: • Pilbara Iron Pty Ltd (Rio Tinto): Its • conducting assessments supporting network consists of approximately the accreditation of CSBP Limited, 1,782 kilometres of track Downer EDI Works Pty Ltd, Golden Mile Loopline Railway Society, Laing • The Pilbara Infrastructure Pty Ltd O’Rourke Australia Construction Pty (Fortescue Metals Group Ltd): Its Ltd; and Shire of Dowerin (Wheatbelt Incident response network consists of approximately Heritage Rail project) During the year, a number of incidents 673 kilometres of track • providing regulatory oversight in Western Australia required ONRSR’s • Roy Hill Infrastructure Pty Ltd: Its of a number of ongoing railway response. These included the following: network consists of approximately projects including: • the derailment of 39 wagons 395 kilometres of track - Pilbara Iron Pty Ltd (Rio Tinto)’s between Rawlinna and Narreetha • BHP Billiton Iron Ore Pty Ltd: Its Autohaul (driverless train) project on the Trans-Australian line on network consists of approximately 4 December 2015 which caused 1,342 kilometres of track - the introduction of the new rule significant damage to 600 metres books for PTA in November 2015 and of track and a fire in the diesel motor • Various tourist and heritage Brookfield Rail Pty Ltd in May 2016 of the refrigerated food van. rail operators are distributed sporadically, predominantly in - the development of Roy • the derailment of two locomotives the South West region and Hill Infrastructure Pty Ltd from and six wagons at Rawlinna on the outer metropolitan construction project to production the Trans-Australian line on 21 April area of Perth. operation and the movement of train 2016. The subsequent rollover caused control to a central location in Perth facial injuries to a crew member - insourcing of rail maintenance and significant damage to railway activity from John Holland Pty Ltd infrastructure. An investigation as principal contractor by Brookfield is currently being undertaken Rail Pty Ltd. by ONRSR. - liaising with the Public Transport Authority on the Forrestfield Airport Link project which will deliver a new 8.5 kilometre train line mostly in tunnel and three new stations connecting the Forrestfield area to the city of Perth. The project is currently forecast to be operational by 2020.
Annual Report 2015 – 2016 43 Financial Summary
Financial summary Financial 2015-16
ONRSR’s detailed audited financial statements are on page 48 of this annual report. Report ONRSR showed a net surplus of $0.723 million for the financial year ending 30 June 2016. The surplus was attributable to the delay in Western Australia transitioning in to ONRSR, Drug and Alcohol monies not fully spent and additional interest revenues. The major income items were fees and charges and ($32.289 million). This item increased by $1.594 million on 2014–15 due largely to Western Australia transitioning to ONRSR in November 2015. There were two major expenditure items. The first was Service Level Agreement payments for both ONRSR’s NSW and Victoria Branches ($19.435 million). These were paid to the Independent Transport Safety Regulator and Transport Safety Victoria respectively. The second major item was employee benefit expense ($8.304 million). The increase in expenses from 2014–15, is largely due to the transitioning of Western Australia. As referred to in the Statement of Financial Position, the cash and cash equivalents balance ($11.707 million) includes the balance of monies held for transition costs ($0.918 million) which will not be used for general operations. The increase in cash and cash equivalents on 2014–15 is largely due to the current year surplus and the quarterly Victoria Service Level Agreement expense, accrued but not yet paid as at 30 June 2016.
44 Office of the National Rail Safety Regulator INDEPENDENT AUDITOR'S REPORT
=''-",""'.;;..._.-.•,,-:, --....--.. ..".,"' ".,"' To the Chief E>cecutlve ...... , ",,e, .... __ " TI>e DtfIce ot tl>e National Rail Safety Regulator .... _..
A, ""Iuired by """""" J 1( IXbl of\he PkbIk Fintmu and Audit ..1<1 1987 ..-.! """iOll 263 of rho Scl> " • S-., of C The QU.r Eileouti •• io n q",';ble lot !be proJ>Oratioo or !be f.-.:ioI ropor1 tballIi_ • In>< ond foil vi ... iD -.mIonce wilh !be provioioao of\he p,.1JJi<: FiMPK:< and A/Idj, ..1<1 1987 ODd \he &>il Safrty /-:1JliMIDI Law rSo",h A...m.Ii My _ibility io to ..pt<>t an opinio<> "" .... firw> An oudi' iD' MJ __ ''J ... :I:05 '''. 1 't1 .... 1IIII __ ..oo'l LE _ ... . , i'~,ofl 'I' :'",of .. __ ..,...""forOfllco"" ... r ;. ... RaiISofolyR Si ' •• I ' _dooooit,. ... _.( 'n_..,._InI<, " ,WL'bid: _ I:ooe_ 1:)l>oorIi:W ...... _ . ,', Of:lnlon 1.0 '", I " I for fInoIIci::I _ p ..... \rut ond c..; ...... "" \be r.....,ioI pooilion of:l:o 0I'IIcc oflllc NooioMlllfoll Sof • 'a RI-I."'• - •,"~M __ 1) s.~' I: ;!(lIt; 46 The Office o(tbe NatloaallWl Safety RflUlator .. _.... _--- .... _.... _.. _.. 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" ' ....." .. .. 56 --___ .. _-__ .... _.- The OffiU of the National Rail Saftty Rflgulat!,!r , " - --_._-__~'~';';":'~:':':';':h.'_" ' , • i ,_.. _ __ ...... "." _ ... __ ' "" i, ---_...... -.. ... _._ .... - .... __ ... __ . ... ___, -_._- ._ ... __ ,,_"',,_,," .. ._ '-_."-.. __ .. __ ...... " (, ..... _...... --~-- .. "h._ ...... _.. - " .. --_;:o=.::.:.... ___ ,...... ~~, '" -_._ ~.. , _~._ ...... _.,-,_J_ "., ... ---..,. .., , - ...oM, ...'::~'~_"'-'J"_"'''''''' _ ...... _ .. _ .... _J_ , ...... , ". _ ...... _ .. _ .. +" .... ___.. _J.. _" .. ,d • ...... J .. _ ...... , __. ... J,_ ... -_, '...... __...... ' , ..._., __ ...... ,.... -.. " .. c , , "_""'" ~"_._...... ----" ...... -.." .. __ , ,--" ... _J.. .. __ -, ...J _ _-.", ,..... _-,,_ ..... __ .... -...... J':',_ ...... '.~~.... _~ •• ' .... _,,__ """'-"'.... _0' . .. __.. ______...... ""___ _., ___J , "" ...... ,,- '" ,'... , . -,, , ...... 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'r ' , ." .... r, ...... , ." -" m ~. .-.... .-,." .- .... --..... • ,. • -- •• ." ~ ...' __ -...... 0 "--1--"1 -" .-" • " 59 The Office oftht "'''tlonal RaH SafeN Rnulator '.. -_ ...... ,. .." ! ~ __an ' " .-•• .. ,. .." ~ ~ , ~.-- ...... ~ .-• -- ",• ~"" ~.. " _~ ... __._ ...... __IIO-"._ ... _ .. _.. _ .. _.- ...... _...... ", -_1100"""' ...... _--- _ ...... · a , ... ____... _ ...... ,. a " ...... , .-m .- • " .. .-.. ~ ... • • •• •• 6 0 The Omse of th e Natlon.1 Rail Safely Ruul.tor ' h .,...... __ ... __. n.,' "'. ioooo). , ...... _ ..-u... · , , ...... --,,--~-, "" - ...... ".~",.... -" ... __ .... ,.. ~ , .. -"'--"'--'" . ,,-"'---- ,...... , •• ... , ~. """"" ..... ---• .. .. _...._ ,' • ._- - -.. --- .." ... ,._._- ,... . C' .." .. " .- • _... - .- =. """--"'-' , .- '" •• 61 The omU oflht Nllionl i Ri ll Slftty Ret.uillor ,. , , ,. - ...... , - - .- , , " ",' ,... ""_.. -.__ .. ---_...... _. __ ...... L od ...-_ _ ... - -"" ___ or .. _""' ...... ·~,•• _. ___,. ___ •• ___• E ,_ , , ~-. .. -.'.'''-.''-'''~ -... .'. "' "'" --- ,--- .- ...... , -., ...... "" .-"'• .-'.* - ," •• "' - • • , '"• -."• - -'..- ---~- -• - " ~- -... -." -, ~, -, ".- -0 -• --.... _'--- ,• '-• !I!! "'''~ • '--,.,.- "" ... ' 62 The omsr of the National Rail Safely RC!! ul ltor ,.. ." '''- -"''' .... " MSO ..+_ .. '= ...... ___.MS ... . _ .. _ .... ,;,II -~ --~.. .-":;:~::::.... "...... ,.. < .._ .. ". _."(J._~",...... -- ,..-, .... _~ .. _...... _Io_ ... _. __... _ .... ___ .... _ ...... - -...... _ --- ...... " , .. ___..... ___ "'"'U!<) ~., ..IMO) ..... __ ...... ___.. _ .... -~ ...... , --_.; ---_...... - ...._._" _, --- "'--_ ... .. __...... --- --.-...... , .. '-11' -"'" .... " . - .. " ,." 11. .-....,' ..... _-.~ __ ,- 63 ThS Qm~e of Ih e Nalional Rail Safely Rn:ulator • • " 7 n " .... _ .. " ." --... _-""...... , _...... - -'"• ---,-- '" ~, ,.-", .... ." "0"""' ..... _ ...... ,' • __...... " ... - ---_..._... ._---- ." --_ .. .. _... _-_ ...... """" ,-, ... , ...... _r- , _ .. """' ..... _ ... _ ." I>. C 'd __ .,., .".~ ..... _ ...... a" ... _..... " _w' ...... -_a . _ ...... " .... , _--• ...... ~-- r, _w.c ...... '.. a._a ._- d' __ " _._• • ____,., ...... _ ...._ .. d ..._ -".. .-".. ·r .... '" _____ " ,.. __...... , - 64 The Offlee of the Nat ional Rail S! fdv Ruylator -~.~ .-_ W _ " 4 -"'- .... , ~_,,"'Moo""_"'''''''''.~'''''''.o__ m , _-'_ ••• __ -""",,, .. _... _", , "_._ ...._-_ ...... -...... -.. -~ ... --.. ""-- c , ' .. _ _ ' ~ ..... " .tt ,, ______.. _ .. _.-.,... .. _.._. __ ..... _------, .. -.. --... -~~-. .. --_ ... _.... - ."' .. --... --~- ... -- ...... _ .. , -"' -- ._-.- -- ._-.- -,,,ILI II,ILI --,""" ... - - ~ I " _-• tt' " - .1 ' ...... ___.... ___. _ ••• , ... _c-_._"'..... _ .___ .... __ 'I, ...... __,...., _ , .. _, _ ...... , , , ... , .. __- ...... _ -.. .._"" __ ... .. -- _--- " ...... '" _ -""----p=11 ...... ""',,,.....,. ~4Q ..,,_,, .. ~ ",._" ...... - ...-- _-_.. - ...... ~ ...... __ ," .... - .. _---"-_."-"- ... a_"",,,,. __ _ ...... , .. _...... _- 65 6 6 Office of the National Rail Safety Regulator Appendix 1 Appendix 1 Key performance indicators Goal 1: Maintain and improve rail safety regulation through a risk-based approach to regulation KPI Measure Definition ‘13–’14 ‘14–’15 ‘15–’16 Comment Delivery of % of National “Completed“ refers to activities 94% 86.5% 82.6% Target is 80% to national operations Operations completed as per originating allow for flexibility workplan of audits workplan endorsed Plan within original to address and inspections completed to time-frames. The Plan is for the emerging issues schedule calendar year. It does not include and incidents. additional activities added during the year. Implementation % of NCRs NCRs (Non Conformance Reports) 0 0.5% 0.15% Reflective of high of compliance escalated to a are only escalated to a formal level of compliance recommendations formal Notice direction when the breach of Rail by RTOs within Safety National Law identified agreed time- No. escalated to through ONRSR’s compliance 0 2 1 a formal Notice frames monitoring activities is not addressed No. of NCRs 284 400 644 Increasing number issued reflective of regulatory oversight in additional jurisdictions. Enforcement No. of Improvement Notices are issued 0 5 19 As above actions undertaken Improvement when ONRSR determines that the by ONRSR Notices safety issue does not pose an immediate threat to safety No. of Prohibition Prohibition Notices prevents 0 2 3 Notices railway operations until the operator addresses the identified safety risk Results from No. of D&A tests ‘Positive’ is defined as 206 216 109 ONRSR is unable ONRSR’s drug (ONRSR) those tests confirmed to (Drug) (Drug) (Drug) to undertake drug and alcohol (D&A) evidentiary standard testing in Victoria testing program 203 220 191 until legislative (Alcohol) (Alcohol) (Alcohol) change made % positive through the 0% 0% 0% (ONRSR) Victorian (Drug) (Drug) (Drug) Parliament. 0% 0% 0% (Alcohol) (Alcohol) (Alcohol) Results from No. of D&A tests ‘Positive’ is defined as those tests 23,777 21,691 24,891 industry’s drug (industry) reported by industry as notifiable (Drug) (Drug) (Drug) and alcohol occurrences though their testing testing programs program 227,38 0 169,848 152,991 (Alcohol) (Alcohol) (Alcohol) % positive 0.42% 0.55% 0.35% (industry) (Drug) (Drug) (Drug) 0.029% 0.047% 0.042% (Alcohol) (Alcohol) (Alcohol) Annual Report 2015 – 2016 67 Appendix 1 Goal 2: Reduce regulatory burden on industry KPI Measure Definition ‘13–’14 ‘14–’15 ‘15–’16 Comment Positive response to % of surveyed Co-regulatory rail n/a n/a n/a ONRSR’s inaugural ONRSR’s external operators safety model refers to: stakeholder survey stakeholder survey indicating i) legislative framework scheduled for satisfaction with ii) ONRSR application of model 2016–17 status of ‘Benefits’ refers to the objectives co-regulatory rail of the national rail safety reform safety model and reform benefits The NTC interim % of jurisdictions A key focus of the rail safety 63% 75% 88% review of the rail with enabling Rail regulatory reform influencing safety regulator Safety National positive industry safety outcomes reform indicates Law is full jurisdictional participation in positive outcomes ONRSR regulatory model Legislative review n/a ONRSR’s legislative review n/a Underway Finalised ONRSR legislative identifies reduced project focused on jurisdictional review report inconsistencies application laws excluding drug scheduled for Nov across jurisdictions and alcohol legislation Ministerial Council meeting Goal 3: Promote greater self-regulation by industry KPI Measure Definition ‘13–’14 ‘14–’15 ‘15–’16 Comment ONRSR provides % of ONRSR “ONRSR priorities” are for any type 50% 57% 90% ONRSR input on quality feedback and priorities for of product that is being developed 11 product review input to Australasian RISSB or reviewed by RISSB working groups Railway Association development in 2015–16 and RISSB products approved by and programs RISSB Goal 4: Prepare for and support the entry of other state regulators into ONRSR KPI Measure Definition ‘13–’14 ‘14–’15 ‘15–’16 Comment Western Australia % of Australian “track kilometres” 40% 53% 77% Qld to transition and Queensland railway track is the length of track in 2017 Includes Includes Includes transition to kilometres regulated “railway track” includes heavy rail, SA, NT, Vic, ACT WA ONRSR by ONRSR under Rail light rail, monorail, inclined railway, Tas & Safety National Law railway in marshalling yard or NSW terminal, tram, private sidings and guided systems in all states % of Australian “train kilometres” refers to 40% 58% 71% railway train distance a train travels kilometres regulated by ONRSR under Rail Safety National Law 68 Office of the National Rail Safety Regulator Goal 5: Promote safety awareness and safety improvement initiatives and research KPI Measure Definition ‘13–’14 ‘14–’15 ‘15–’16 Comment Safety improvement No. of projects ONRSR’s Safety Improvement 4 2 1 ONRSR’s workplan program workplan completed workplan is a rolling plan with complements developed and annual priorities Developed ONRSR Rolling industry program Safety workplan workplan implemented improve- under developed ment policy develop- & strategy ment Individual project % of targeted Industry awareness to be n/a n/a n/a ONRSR’s inaugural evaluation indicates industry tested through ONRSR stakeholder survey an effective outcome demonstrating stakeholder survey scheduled for was achieved awareness of 2016–17 desired safety practices Goal 6: Develop and enable our people to optimise internal capability and organisational effectiveness KPI Measure Definition ‘13–’14 ‘14–’15 ‘15–’16 Comment Delivery of ONRSR % of approved ONRSR Executive approves an 80% 80% 85% staff learning and L&D activities annual L&D schedule for ONRSR development plans completed staff for the calendar year Staff satisfaction % of staff Terms reflect specific n/a n/a 93% Inaugural staff survey indicates indicating queries in ONRSR internal survey completed positive support commitment staff satisfaction survey in Oct 2016 for the direction and to ONRSR culture of ONRSR % of ONRSR n/a n/a 82% staff indicating job satisfaction A revised model % of cost ONRSR is reviewing its cost n/a 35% 85% Draft model developed based recovery recovery model to ensure developed for on regulatory effort review project nationally consistent fees Ministerial Council and approved by undertaken applied based on risk consideration in Ministerial Council Nov 2016 Annual Report 2015 – 2016 69 Appendix 2 Appendix 2 Office of the National Rail Safety Regulator Freedom of Information Statement 2015–2016 Introduction Structure The functions of ONRSR are set out in section 13 of the RSNL which states: The Office of the National Rail Safety and Functions Regulator (ONRSR) is an independent 13(1) In addition to any other function The constitution of ONRSR is set out conferred on ONRSR by this Law or an body corporate established under the in section 16 of the RSNL which states: Rail Safety National Law (RSNL), a Act, ONRSR has the following functions: Schedule to the Rail Safety National 16(1) ONRSR consists of — (a) to administer, audit and review Law (South Australia) Act 2012. (a) a person appointed by the the accreditation regime under An outline of ONRSR’s establishment, South Australian Minister acting this Law; functions and corporate goals are on on the unanimous recommendation (b) to work with rail transport pages 8–9 of this report and is also of the responsible Ministers as the operators, rail safety workers, and available on ONRSR’s website National Rail Safety Regulator others involved in railway operations, www.onrsr.com.au (the Regulator); and to improve rail safety nationally; (b) 2 non-executive members (c) to conduct research, collect (full-time or part-time) as are and publish information relating Oversight Compliance appointed by the South Australian to rail safety; Minister acting on the unanimous ONRSR is required to comply with section recommendation of the (d) to provide, or facilitate the 263 of the RSNL which requires ONRSR responsible Ministers. provision of, advice, education to comply with certain South Australian and training in relation to rail safety; Acts (the Oversight Laws). These are Freedom of Information Act, Public (e) to monitor, investigate and Finance and Audit Act, Ombudsman enforce compliance with this Law; Act and State Records Act. The RSNL (f) to engage in, promote and provides that all Oversight Laws in each coordinate the sharing of information participating jurisdiction are disapplied, to achieve the objects of this Law, and then reapplied to ONRSR with including the sharing of information modifications made by the RSNL National with a prescribed authority; Regulations so that one set of Oversight Laws (South Australian) apply to ONRSR (g) at the request of the regardless of jurisdiction. Commonwealth or a jurisdiction — to carry out any other function as agreed between ONRSR and the jurisdiction. Further information as to the detailed structure of ONRSR (including the Executive Team) can be found in the About ONRSR section of the ONRSR website or in this or previous copies of the ONRSR Annual Report. 70 Office of the National Rail Safety Regulator Stakeholder Forums Documents Documents are generally available on the ONRSR website (www.onrsr.com.au) and ONRSR has a number of forums held by ONRSR may also be inspected, by appointment whereby members of the rail industry ONRSR and RSNL make publicly available between 9.00am and 5.00pm on week- can participate in the formulation of a variety of documentation, including: days (excluding public holidays), at the ONRSR’s policies, procedures, and in National Office of ONRSR located at some cases, proposed modifications • the organisation’s Annual Report, Level 1, 75 Hindmarsh Square, Adelaide, to the RSNL. These are: Corporate Plan, Statement of South Australia. Arrangements to view Intent and media releases the documents can be made by email: • Branch Operations Forums [email protected] or by contacting • ONRSR policies providing guidance the Manager, National Communications • CEO Industry Reference Group to and setting expectations for ONRSR on (08) 8406 1555. • Joint CEO/Industry Reference Group officers in their exercise of regulatory functions under the Rail Safety National ONRSR also holds the following broad • National Operations Forum Law, and made publicly available categories of documents. Pursuant to the • Union Reference Group for transparency. These are: FOI Act, some of these documents may be exempt: • Senior Government Policy Group • Fees policy • corporate files containing correspond- • Private siding registration policy The National Regulator/CEO and ence, memoranda, terms of reference other Executive members also make • Safety Performance Reports policy and minutes on various aspects of regular appearances at relevant public the organisation’s operations • Safety Improvement policy conferences and other presentations and committees where the general public can • Drug and alcohol testing policy attend and interact. • corporate risk management records • Accreditation policy ONRSR has a dedicated Communications • accounting and financial records team that can be contacted at any time, • Compliance and enforcement policy • personnel records via the ‘Contact Us’ page on the website, • Freedom of Information policy by any person on a wide range of issues, • work health and safety records and where required those can be • Application of Australian • internal policies, procedures and escalated to the appropriate ONRSR Quality Training Framework and guidelines that set out the way various Executive member for action, which Australian Quality Framework to activities and programs are performed might include amendments to policies, Rail Safety Worker competency procedures or modifications to the RSNL. assessment policy • legal opinion and advice. The complete list of exemptions may be viewed in the • National Rail Safety Register policy Schedule of the FOI Act. • Application of cost benefit analysis Other online information and data requirement policy resources for RTOs include operations • Operational delegations policy and safety improvement information and tools on the ONRSR website • Review of decisions policy (www.onrsr.com.au). • Exemptions from the RSNL policy. • guidelines, fact sheets and safety alerts to provide assistance to duty holders in understanding their requirements under the Rail Safety National Law and to improve rail safety • a National Rail Safety Register and Rail Transport Operator notices of accredi- tation and notices of registration issued under the Rail Safety National Law Annual Report 2015 – 2016 71 Appendix 2 Making a Freedom In addition to the application fee, there may be further charges for processing of Information and copying if the document(s) are long application or complex. Fees may be waived on presentation of evidence of hardship Under the FOI Act, ONRSR has or a concession card by the applicant. obligations to ensure that certain information concerning its operations The form for FOI applications and is readily available. Additionally, members requests may be found on the State of the public and Members of Parliament Records of South Australia website at: are conferred a legally enforceable right • http://www.archives.sa.gov.au/files/ to be given access to documents held by forms_foi_request_for_access.pdf ONRSR, subject to some exemptions in the FOI Act. Some of these exemptions • http://www.archives.sa.gov.au/files/ have a public interest test (as prescribed forms_foi_amendment_personal.pdf in the FOI Act). Under the FOI Act, members of the public may also seek amendment to ONRSR’s documents records concerning ONRSR Policy: Freedom his or her personal affairs. of Information A comprehensive introduction to freedom Once an FOI application or request of information can be found on the State is received, ONRSR will process and Records of South Australia website at determine it in accordance with the FOI http://archives.sa.gov.au/foi. Act. The purpose of this document is to guide ONRSR staff members in their obligations with respect to the FOI Act Requesting access and ONRSR’s obligations as an agency. or amendment to ONRSR records Contact It is best to discuss your Queries, applications and application or request with ONRSR requests may be directed to: prior to lodging. If proper and lawful, ONRSR will attempt to provide access to Accredited FOI Officer information voluntarily in order to minimise Office of the National Rail Safety Regulator applications under the FOI Act and the PO Box 3461, Rundle Mall associated costs. It should be noted that Adelaide SA 5000 the RSNL already provides for some information to be made available to the Ph. (08) 8406 1500 public at no cost on the ONRSR website. [email protected] Requests for access made under the FOI Act must: • be in writing • specify that it is made under the FOI Act • provide enough information to enable the requested document(s) to be identified • include an address and telephone number at which you can be contacted in Australia • indicate the type of access being Accredited sought (e.g. inspection of a document FOI Officers: or a copy of the document) Barry Carr (July–August 2015 only) • be accompanied by the application fee of $33.50 (current, July 2016) Laura Paulus: [email protected] James Bruun: [email protected] Cathy Ray: [email protected] PO Box 3461, Rundle Mall Adelaide SA 5000 Ph. (08) 8406 1500 72 Office of the National Rail Safety Regulator Office of the National Rail Safety Regulator Freedom of Information Report 2015–2016 In accordance with section 54AA of the FOI Act (as modified by the RSNL National Regulations) Applications for Access 2015–2016 Time Taken, Agent Applicant Status Fee Summary Outcome & organisation type Exemptions Claimed Nowicki Carbone Lawyer / Agent Determined $33 Documentation relating to incident < 30 days on 17 July 2014 at Windsor Station Hennikers Lawyer / Agent Determined $33 Request for documents, status Full Release Solicitors of investigation, preliminary findings < 30 days and recommendations in relation to incident at Sydney Tramway Museum on 25 May 2015 n/a MP Determined $33 Drug and Alcohol testing results Partial Release returned for Victorian rail operators Clause 10 (including but not limited to Metro <30 days Trains Melbourne and V/Line Central Lawyer / Agent Determined $33 Request for any reports, record of Partial Release Australian complaint or information or any other Clause 13 Aboriginal Legal documents relating to a railway incident >30 days (deemed Aid Service in Alice Springs on or about 0015, refusal but negotiated 24 January 2012. extension) Herald Sun Media Determined $33 Request information detailing number Full Release of alleged assaults on the Melbourne >30 days Metro System railway stations from (delayed due date due 19 May 2014 to date of request. to payment of deposit) n/a Member Determined $33 Information relating to safety issues on Full Release of Public the removal of velocity trains in Victoria < 30 days Seven Network Media Active $33 Any documents, specifically reports, Partial Release (Group) Limited briefing notes and attachments, Clause 4 photos and CCTV of positive drug Ongoing and/or alcohol test results involving train drivers since 20 May 2014. Maurice Lawyer / Agent Determined $33 Copies of all documents, correspond- Deemed refusal Blackburn ence, photographs, CCTV footage Negotiated extension Lawyers and material relating to an accident 30 days on 10 March 2014. Page Seager Lawyer / Agent Active $33 Access to materials held by this office Full Release Lawyers created on or after 31 July 2013 relating >30 days to an incident involving a worker injured on 3 June 2013. n/a MP Determined $33 Seeking copies of monthly Full, Partial returns of D&A tests for passenger and Refused rail operators in Victoria (specifically Clause 12 MTM and V/Line) outlining the number 30 days returning positive result and the number refused for each month from Sep- tember 2015 to March 2016. Lindbloms Lawyer / Agent Active $33 Any documents, CCTV footage, Full Release Lawyers investigation reports, statements, Ongoing photographs, sketches or maps relating Deemed refusal to an incident on 26.05.15 when A Negotiated extension Woolford was struck by a train near the North Adelaide train station. Annual Report 2015 – 2016 73 Appendix 2 Time Limits Extension of Time Limit under Section 14a Application Primary reason for Number of extensions for periods granting extension (1-7 days; 8-14 days; 15-21 days) Seven News Limited The application required a search through 21 day extension (exhausted) a large quantity of information and dealing Not yet determined with the application during the 30 day time period would unreasonably divert the agency’s resources. Herald Sun The application required a search through 14 day extension a large quantity of information and dealing Determined with the application during the 30 day time period would unreasonably divert the agency’s resources. Extension of Time Limit not under Section 14a Application Reason for seeking informal Number of extensions for periods extension with applicant (1-7 days; 8-14 days; 15-21 days) Seven News Limited Extended timeframe unable to be met. Ongoing Negotiated extension agreed by applicant Not yet determined CAALAS Timeframe unable to be met. 21 day extension Extension agreed by applicant Determined Page Seager Due to number of documents (and having to 4 week extension go through many duplicates as part of search). Determined Extension agreed by applicant Lindbloms Lawyers Timeframe was unable to be met. Ongoing Extension agreed by applicant Not yet determined Charges Collected Application Advance Total Charges Deposit collected collected Herald Sun $90.00 $369.00 Seven News Limited Not yet determined Not yet determined Applications for Amendment of Personal Information 2015–2016 None Staff Administration Costs 4 FTE >$70,000 Cost of administering the FOI Act met as part of Corporate Counsel Team budget. Reviews and Appeals • Internal Reviews Application by Herald Sun - Review conducted under s53 (3) of the Act - Amount of the requested advance deposit was reduced. • External Reviews None District Court Appeals None 74 Office of the National Rail Safety Regulator XX Section Heading XX 75 Office of the National Rail Safety Regulator a r Office of the National Rail Safety Regulator Level 1, 75 Hindmarsh Square, Adelaide SA 5000 PO Box 3461, Rundle Mall Adelaide SA 5000 National Office: 08 8406 1500 Fax: 08 8406 1501 E-mail: [email protected] Web: www.onrsr.com.au ISSN NO: 2202-3127 Copyright Information © 2016 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.