Itsr Annual Report
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ITSR ANNUAL REPORT 2012-13 Vision Safe transport for NSW Values Independence from industry, political and individual influences Excellence in what we do and how we do it Transparency with expected actions and no hidden agendas Accountability including being open and honest and integrity in decision-making Responsiveness in meeting expected timelines and providing feedback along the way ITSR ANNUAL REPORT | 2 The Hon Gladys Berejiklian MP Minister for Transport Parliament House Macquarie Street Sydney NSW 2000 Dear Minister It is my pleasure to submit to you the Independent Transport Safety Regulator’s Annual Report 2012-13 for presentation to the NSW Parliament. The report has been prepared in accordance with the requirements of the Annual Reports (Statutory Bodies) Act 1984, the Annual Reports (Statutory Bodies) Regulation 2000 and the Public Finance and Audit Act 1983. Yours sincerely Len Neist Chief Executive About this report This report details the 2012-13 financial year activities conducted by ITSR as an agency of the NSW Government. It includes all regulatory and governance activities and financial management. On 20 January 2013, the Office of the National Rail Safety Regulator commenced operations and ITSR began providing its regulatory activities to the ONRSR under a service level agreement. As a result, information on ITSR’s regulatory performance for January to June 2013 is also reflected in the ONRSR Annual Report. Report © Independent Transport Safety Regulator 2013 This material may be reproduced in whole or in part, provided the meaning is unchanged and the source is acknowledged. ISSN 1839-1559 October 2013 ITSR ANNUAL REPORT | 3 Contents 5 Overview A summary of ITSR’s performance in 2012-13 and its governance structure 21 Performance Review A review of ITSR’s performance against its corporate objectives: Objective 1 - Improving transport safety through regulation, innovation and advice Demonstrates ITSR’s responsibilities as the NSW Branch of the Office of the National Rail Safety Regulator to regulate rail safety in NSW and engage with transport operators to continually improve their safety performance Objective 2 - Excellence in corporate governance Demonstrates ITSR’s quality-based governance framework and practices, management structures, personnel policies, professional development initiatives and organisational culture 60 Financials Financial information required under the Public Finance and Audit Act 1983 102 Appendices Material to support report content including information required under annual reporting legislation 127 Glossary Includes reference to ITSR-specific terms, national bodies and rail-related terms used in this annual report 130 Compliance index An index referencing the report’s compliance with annual reporting legislation 131 Issues index An index of general issues ITSR ANNUAL REPORT | 4 Overview ITSR at a glance Who we are ITSR is an independent statutory authority within the NSW Government’s transport portfolio. ITSR reports directly to the NSW Minister for Transport while maintaining independence in relation to decisions on key rail safety functions. On 20 January 2013, ITSR commenced operations as the NSW Branch of the Office of the National Rail Safety Regulator (ONRSR) under Rail Safety National Law in accordance with the NSW Rail Safety (Adoption of National Law) Act 2012. ITSR provides rail safety regulatory services and resources on behalf of the Adelaide – based ONRSR in accordance with the principles and functions agreed in a service level agreement. ITSR also retains the function to provide independent advice to the Minister on rail safety. What we do Services conducted by ITSR include: providing advice to the ONRSR on accreditation applications, variations and issues for NSW rail transport operators safety promotion including education and liaison with industry regulatory compliance action (audits, inspections, investigations) regulatory enforcement action (statutory notices, prosecution) risk reduction through invited participation in review of design of new rail infrastructure and services rail safety risk management advice and expertise to governments and industry independent advice on rail safety issues to the NSW Minister for Transport as required monitoring responses to recommendations from independent rail safety investigations by the Office of Transport Safety Investigations, the Australian Transport Safety Bureau and the Special Commission of Inquiry into the Waterfall Rail Accident. ITSR is based in Sydney, although its rail safety officers travel throughout NSW and interstate to conduct audits, compliance inspections and investigations of railway operations and advise on and promote rail safety improvement. OVERVIEW | 5 Our statutory framework ITSR’s principal objective under the Transport Administration Act 1988 is to facilitate the safe operation of railway operations in NSW. Under the Act, ITSR also has the following objectives: to exhibit independence, rigour and excellence in carrying out its regulatory and investigative functions to promote safety as a fundamental objective in the delivery of railway services. The principal functions assigned to ITSR under the Transport Administration Act 1988 include: to review and evaluate any matter related to the safe operation of railway operations to advise the Minister, or make recommendations to the Minister about any matter related to the safe operation of railway operations to exercise any functions conferred on the ITSR for the purposes of the Rail Safety National Law. Any matters concerning rail safety, including responses to public requests on safety information, are dealt with under the Rail Safety National Law. For other matters, the relevant NSW legislation applies. Our operating environment ITSR is an independent agency within the NSW Government’s transport portfolio and its Chief Executive is accountable to the NSW Minister for Transport. It is also a branch office based in Sydney of the Office of the National Rail Safety Regulator with accountability for delivering rail safety regulation under national law. Staff are employed by ITSR with services delivered as defined by a service level agreement with the National Rail Safety Regulator. For an overview of ITSR’s stakeholders, see page 9. Our resources In 2012-13, ITSR employed approximately 65 staff and had a budget of $16.9 million. ITSR’s primary costs are staff salaries and operational costs. It does not own property assets. OVERVIEW | 6 Achieving corporate priorities Achievement of ITSR’s corporate priorities is measured through milestones and qualitative assessment. The following table summarises ITSR’s corporate priority achievements for 2012-13. Corporate priority Strategies Performance Forward directions More for 2012-13 detail Objective 1: Improving rail safety through regulation, innovation and advice ITSR supports the Provision of risk Achieved Delivery of service Page 28- National Rail Safety based services to the level agreement Ongoing 41 Regulator (NRSR) in NRSR Contribution to assuring that safety delivering national risk management in Collaboration with Achieved regulatory workplan rail transport the NRSR on policy Ongoing operations continues and procedure Provision of safety to improve and development and promotion projects in mature under improvement for rail NSW as part of national rail safety safety regulatory regulatory approach law services Leadership to Achieved facilitate longer term Ongoing industry safety improvement through consolidation of safety promotion with core regulator functions ITSR supports the Robust quality and Achieved Continue working with Page 42- NSW Government’s timely safety NSW rail operators on Ongoing 44 delivery of major accreditation for safety accreditation NSW transport NSW Government requirements for projects and reforms rail safety projects major NSW rail projects Advice and liaison Achieved Compliance monitoring with transport Ongoing of implemented agencies on their projects accreditation requirements and accountabilities Objective 2: Excellence in corporate governance ITSR supports Support for manager Achieved Continued support for Page 47 continuous implementation of managers Ongoing improvement of change including Tailored support performance during internal strategies for staff substantial communications organisational strategies, briefings change and targeted training for staff and implementation of a new organisational structure OVERVIEW | 7 Corporate priority Strategies Performance Forward directions More for 2012-13 detail Review and Achieved System monitoring and Page 47 improvement targeted audits to Ongoing strategies to ensure ensure maintenance of maintenance of ISO standards 9001 certification for Review of ITSR’s regulatory effectiveness of the services and service level implementation of agreement the Service Level Agreement with the Office of the National Rail Safety Regulator OVERVIEW | 8 Delivering to our stakeholders As a NSW Government agency, ITSR recognises that it is responsible and accountable for providing public value to its stakeholders as outlined below. Stakeholder What we deliver NSW Minister for Transport Regulation of rail safety in NSW Specialist advice and reports on transport safety issues NSW Parliament Reports on rail safety Community Independent monitoring of network-wide rail safety risks with the capability to address safety issues Information on rail safety trends Assurance that rail safety operations in NSW comply with the requirements of national