Western Australian Current Regulations Western Australian Current Regulations In this Schedule, a
reference to the chief executive and governing body of the rail transport
operator includes a reference to any other person or body that has control of
the rail transport operator.
(1) A safety policy or
policies that aligns or align with other organisational policies and that is,
or that are, endorsed by the chief executive and governing body of the rail
transport operator.
(2) A safety policy or
policies that includes or include an express commitment to safety, the
development and maintenance of a positive safety culture and the continuous
improvement of all aspects of the safety management system.
Methods to promote and
maintain a positive safety culture, so far as is reasonably practicable, with
consideration given to —
(a) the
importance of leadership and commitment of senior management; and
(b) the
executive safety role of line management; and
(c) the
need to involve rail safety workers at all levels; and
(d)
encouraging open communication; and
(e) the
need for human factors to be positively addressed; and
(f) the
promotion of a just culture and environment; and
(g) the
awareness and recognition of opportunities for safety improvement; and
(h) a
willingness to devote resources to safety.
4 . Governance and internal control arrangements
(1) Systems and
procedures to ensure that the chief executive and governing body of the rail
transport operator, or the people managing the railway operations, have
sufficient knowledge —
(a) of
the risk profile of the railway operations carried out by the rail transport
operator to enable the operator to probatively manage the risks arising from
those operations; and
(b) of
the level of compliance by the organisation with its duties and obligations
under the Law and these regulations; and
(c) to
determine whether —
(i)
the safety management system is working effectively; and
(ii)
risks to safety are being identified, assessed and
managed so far as is reasonably practicable; and
(iii)
controls used to monitor safety and to manage risks to
safety are being regularly reviewed and revised.
(2) Systems and
procedures to ensure that decisions and directions made by the chief executive
and governing body of the rail transport operator, or of the people managing
the railway operations, that affect safety are being implemented effectively.
5 . Management, responsibilities, accountabilities
and authorities
(1) Policies that
indicate how safety responsibilities, accountabilities, authorities and
interrelationships have been determined.
(2) Documents that
describe the responsibilities, accountabilities, authorities and interrelation
of the personnel who manage or carry out rail safety work, or who verify such
work.
(3) Procedures for the
reporting of risks to safety by personnel with safety responsibilities.
(4) Documents that
describe the authorities given to personnel with safety responsibilities to
enable them to meet those responsibilities.
(1) Systems and
procedures for the identification of safety requirements under the Law and
other safety legislation.
(2) Systems and
procedures to ensure compliance with those requirements.
7 . Document control arrangements and information
management
Systems and procedures
to control and manage all documents and information relevant to the management
of risks to safety associated with railway operations, including systems and
procedures for —
(a) the
identification, creation, maintenance, management, storage and retention of
records and documents; and
(b)
ensuring the currency of documents required for operations; and
(c) the
communication of any changes to the document control systems and procedures to
rail safety workers and employees of the rail transport operator who rely on
those systems and procedures to carry out their work.
8 . Review of the safety management system
(1) Systems and
procedures for the review of the safety management system in accordance with
section 102 (Review of safety management system) of the Law and
regulation 17.
(2) Documentation of
the matters set out in regulation 17(3).
9 . Safety performance measures
(1) Systems and
procedures to ensure that the safety management system is effective by using
key performance indicators to measure safety performance and determine the
effectiveness of the safety management system.
(2) Systems and
procedures to ensure the collection, analysis, assessment and dissemination of
safety information held by the rail transport operator.
10 . Safety audit arrangements
(1) An audit program
that provides for —
(a) the
scheduling and frequency of audits; and
(b)
safety management system audits as part of the audit program; and
(c) the
giving of priority to those matters that represent the greatest safety risk.
(2) Documented audit
procedures to ensure there is a process for the collection of information to
determine whether the railway operations comply with the safety management
system and the effectiveness of the safety management system.
(3) Procedures to
ensure that auditors —
(a) have
the skills and knowledge to undertake audits; and
(b) are
independent from the area being audited to the maximum extent that is
practicable.
(4) Procedures
for —
(a)
communicating the results of audits to those people who are responsible for
the oversight of the railway operations in the area audited for review and,
where appropriate, for corrective action; and
(b)
where appropriate, the registration and effective implementation of
recommendations for action identified by the audit; and
(c) the
review of the effectiveness of the audit program.
(1) Procedures to
ensure, so far as is reasonably practicable, that corrective action is taken
in response to any safety deficiencies identified following inspections,
testing, audits, investigations or notifiable occurrences.
(2) Procedures
for —
(a)
registering any corrective actions taken; and
(b) the
review of those corrective actions; and
(c) the
implementation of corrective action if it is determined that corrective action
is required; and
(d) the
assigning of responsibilities for corrective action.
(3) Procedures for
giving priority, when undertaking corrective action, to those matters
representing the greatest safety risk.
Procedures for
ensuring that changes that may affect the safety of railway operations are
identified and managed, including procedures for ensuring, so far as is
reasonably practicable, that —
(a)
changes are fully identified and described in the context of the railway
operations; and
(b)
affected parties are identified and, if practicable, consulted; and
(c) the
roles and responsibilities of rail safety workers and employees of the rail
transport operator are clearly specified with respect to the change; and
(d) the
rail safety workers and employees of the rail transport operator are fully
informed and trained to understand and deal with the proposed change; and
(e) the
requirements of section 99(1)(c) and (d) (Safety management system) of
the Law are observed in relation to any risks associated with the proposed
change; and
(f) the
change, once implemented, is reviewed and assessed by the rail transport
operator to determine whether or not the change has been appropriately
managed.
Systems and procedures
to ensure that the consultation required by section 99(3) (Safety
management system) of the Law occurs when the safety management system is
reviewed or varied.
Systems and
procedures —
(a) for
the dissemination of information about the content of the safety management
system to people who are to participate in the implementation of the system or
who may be otherwise affected by the implementation; and
(b) for
the communication of the rail transport operator’s safety policy and
safety objectives to all people who are to participate in the implementation
of the safety management system; and
(c) for
the internal reporting of accidents and incidents involving the
operator’s railway operations, including accidents and incidents
involving contractors and subcontractors; and
(d) to
support communication and the dissemination of information throughout, and
between all levels of, the operator’s railway operations.
(1) Systems and
procedures —
(a) for
the training of rail safety workers who are to participate in the
implementation of the safety management system or who may otherwise be
affected by the implementation; and
(b) to
encourage the awareness, understanding and participation of rail safety
workers in the safety management system.
(2) Provision for
induction and ongoing training with regard to rail safety including
information, instruction and training on new work practices, procedures,
policies and standards, specified hazards and relevant control measures.
(1) Systems and
procedures for compliance with the risk management obligations set out in
sections 46 (Management of risks) and 99(1)(c), (d) and (e)
(Safety management system) of the Law.
(2) A risk register
that includes —
(a) a
listing of the risks to safety identified under section 99(1)(c) (Safety
management system) of the Law; and
(b)
details of the assessment of those risks (including their likelihood, likely
consequences and ranking); and
(c) a
description of any elimination or risk control measures that are to be used to
manage, so far as is reasonably practicable, those risks, including, where
appropriate —
(i)
the identification of who is responsible for implementing
the measures; and
(ii)
a reference to the general location or locations in the
safety management system where more details on the measures can be found.
(3) Systems and
procedures to ensure that the details in the register are current, so far as
is reasonably practicable.
Procedures to ensure
that human factor matters are taken into account during the development,
operation and maintenance of the safety management system and for the
integration of human factors principles and knowledge into all relevant
aspects of operational and business systems.
18 . Procurement and contract management
Systems and
procedures —
(a) for
the review of tender documents and contracts to ensure that safety
requirements under the safety management system are adequately defined and
documented in those tender documents and contracts; and
(b) to
ensure that the terms of any tender documents or contracts do not lead to
unsafe work or an activity that may affect the safety of railway operations;
and
(c) for
the selection and control of contractors and to ensure the monitoring of the
performance of contractors, including conducting or commissioning audits of
the contractor’s performance in relation to the safety aspects of the
contract; and
(d) to
ensure that safety duties under the Law are being met under contracts, and
procedures for the taking of remedial action where necessary; and
(e) to
ensure that goods and services provided to the railway operation meet the
standards and specifications required for the safety of the railway operation.
19 . General engineering and operational systems
safety requirements
(1) A documented set
of engineering standards and procedures, and operational systems, safety
standards and procedures, to cover the following, and, if relevant, the
interface between any 2 or more of them:
(a) rail
infrastructure;
(b)
rolling stock;
(c)
operational systems.
(2) Details of the
implementation and updating of the documents specified in subclause (1).
(3) Procedures for the
control and verification of the design of structures, rolling stock,
equipment, and systems, in accordance with the engineering standards and
procedures, and operational systems safety standards specified in
subclause (1).
(4) Systems,
procedures and standards for the following in relation to rail infrastructure
and rolling stock:
(a)
engineering design;
(b)
construction and installation;
(c)
implementation and commissioning;
(d)
monitoring and maintenance;
(e)
system operation;
(f)
modification;
(g)
decommissioning or disposal.
(1) Procedures for the
rail transport operator to monitor the operator’s compliance with the
standards and procedures specified in clause 19, including procedures for
the inspection and testing of safety related engineering and operational
systems.
(2) Procedures for the
control, calibration and maintenance of all equipment used to inspect or test
rail infrastructure or rolling stock.
(3) Arrangements for
the establishment and maintenance of inspection and test records to provide
evidence of the condition of rail infrastructure or rolling stock.
An asset management
policy and processes that address all phases of the asset life cycle of the
rail infrastructure or rolling stock operations.
22 . Safety interface coordination
(1) Procedures for the
identification of interface risks to the safety of railway operations and for
the development and implementation of interface agreements in accordance with
Part 3 Division 6 Subdivision 2 (Interface agreements) of the
Law.
(2) Procedures for
monitoring the implementation and effectiveness of and compliance with
interface agreements.
23 . Management of notifiable occurrences
(1) Systems and
procedures for the reporting of notifiable occurrences in accordance with
regulation 57.
(2) Procedures for the
management of the scene of a notifiable occurrence and for the preservation of
evidence where reasonably practicable.
(3) Procedures for the
management of all notifiable occurrences, including procedures to enable the
determination of which notifiable occurrences are to be investigated, and how
investigations are to be conducted.
24 . Rail safety worker competence
Procedures and, where
necessary, standards to ensure compliance with section 117 (Assessment of
competence) of the Law.
(1) The security
management plan required by section 112 (Security management plan) of the
Law.
(2) Systems and
procedures to ensure compliance with section 112 (Security management
plan) of the Law and regulation 18.
(1) The emergency
management plan required by section 113 (Emergency management plan) of
the Law.
(2) Systems and
procedures to ensure compliance with section 113 (Emergency management
plan) of the Law and Part 4 Division 3 of these regulations.
Systems and procedures
to ensure compliance with section 114 (Health and fitness management
program) of the Law and with regulation 27.
Systems and procedures
to ensure compliance with section 115 (Drug and alcohol management
program) of the Law and with regulation 28.
Systems and procedures
to ensure compliance with section 116 (Fatigue risk management program)
of the Law and regulation 29.
Systems and procedures
for estimating the resources, including people and equipment, that the rail
transport operator will need to operate and maintain the operator’s
railway operations and to implement, manage and maintain its safety management
system, and for the preparation of plans to ensure that it has adequate access
to those resources.