Rail Safety (General) Regulation 2008
Schedule 1 Safety management system content
(Clause 4 (1) (a))
1 Safety policy
(1) A safety policy that aligns with other organisational policies of the rail transport operator and that is endorsed by the person or body controlling the operator.(2) A safety policy that includes 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.
2 Governance and internal control arrangements
(1) Systems and procedures to ensure that the person or body controlling the rail transport operator, or any person managing the operator’s railway operations, has sufficient knowledge:(a) of the risk profile of the railway operations carried out by the operator to enable the operator to proactively manage the risks arising from those operations, and(b) of the level of compliance by the organisation with its duties and obligations under the Act and this Regulation to determine whether the operator is complying with those duties and obligations, 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 person or body controlling the rail transport operator, or any person managing the operator’s railway operations, that affect safety are being implemented effectively.
3 Management, responsibilities, accountabilities and authorities
(1) Policies that indicate how safety responsibilities, accountabilities, authorities and interrelationships have been determined.(2) Documents that describe the safety responsibilities, accountabilities, authorities and interrelationship between the persons who manage or carry out rail safety work for the rail transport operator, or who verify such work.(3) Procedures for the reporting of risks to safety by persons with safety responsibilities.(4) Documents that describe the authorities given to persons with safety responsibilities to enable them to meet those responsibilities.
4 Regulatory compliance
(1) Systems and procedures for the identification of safety requirements under the Act and other safety legislation.(2) Systems and procedures to ensure compliance with those requirements.
5 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 of the rail transport operator, including systems and procedures for the following:(a) the identification, creation, maintenance, management, storage and retention of records and documents,(b) to ensure the currency of documents required for operations,(c) the communication of any changes to the document control systems and procedures to rail safety workers and employees of the operator who rely on those systems and procedures to carry out their work.
6 Review of safety management system
(1) Systems and procedures for the review of the safety management system in accordance with the Act and this Regulation.(2) Documentation of the matters set out in clause 16 (3) of this Regulation.
7 Safety performance measures
(1) Systems and procedures to ensure the safety management system is effective by using key performance indicators to measure safety performance and to determine the effectiveness of the safety management system.(2) Systems and procedures to ensure the collection, analysis, assessment and dissemination of safety information held by the rail transport operator to persons within the operator’s organisation and to other appropriate persons and organisations.
8 Safety audit arrangements
(1) An audit program for the audit of the safety management system that provides for the following:(a) the scheduling and frequency of audits,(b) the giving of priority to the auditing of 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 of the rail transport operator comply with the safety management system and to determine the effectiveness of the safety management system.(3) Procedures to ensure that auditors:(a) have the skills and knowledge to undertake audits, and(b) are independent from the area being audited to the maximum extent that is practicable.(4) Procedures for the following:(a) communicating the results of audits to those persons who are responsible for the oversight of the railway operations in the area audited for review and, where appropriate, for corrective action,(b) where appropriate, the registration and effective implementation of recommendations for action identified by the audit,(c) the review of the effectiveness of the audit program.
9 Corrective action
(1) Procedures to ensure, so far as is reasonably practicable, that corrective action is taken in response to any safety deficiencies identified following inspections, testing, audits, investigations or notifiable occurrences.(2) Procedures for the following:(a) registering any corrective actions to be taken,(b) the review of those corrective actions,(c) the implementation of corrective action if it is determined that corrective action is required,(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.
10 Management of change
Procedures for ensuring that changes that may affect the safety of railway operations of the rail transport operator are identified and managed, including, but not limited to, procedures for ensuring the following, so far as is reasonably practicable:(a) that changes are fully identified and described in the context of the railway operations,(b) that affected parties are identified and, if practicable, consulted,(c) that the roles and responsibilities of rail safety workers and employees of the operator are clearly specified with respect to the change,(d) that the rail safety workers and employees of the operator are fully informed and trained to understand and deal with the proposed change,(e) that the requirements of section 12 (2) (c) and (d) of the Act are observed in relation to any risks associated with the proposed change,(f) that the change, once implemented, is reviewed and assessed by the operator to determine whether or not the change has been appropriately managed.
Systems and procedures to ensure that the same consultation as is required by section 12 (3) of the Act occurs when the safety management system is reviewed or varied.
12 Internal communication
Systems and procedures for the following:(a) 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,(b) the communication of the rail transport operator’s safety policy and safety objectives to all persons who are to participate in the implementation of the safety management system,(c) the internal reporting of accidents and incidents involving the operator’s railway operations, including accidents and incidents involving contractors and sub-contractors,(d) to support communication and the dissemination of information throughout, and between all levels of persons involved in the operator’s railway operations.
13 Risk management
(1) Systems and procedures for compliance with the risk management obligations set out in section 12 (2) (c), (d) and (e) of the Act.(2) A risk register that includes the following:(a) a list of the risks to safety identified under section 12 (2) (c) of the Act,(b) details of the assessment of those risks (including their likelihood, likely consequences and ranking),(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 of the measures can be found.(3) Systems and procedures to ensure that the details in the register are current, so far as practicable.
14 Human factors
Procedures to ensure that human factor matters are taken into account during the development, operation and maintenance of the safety management system and for the integration of human factors principles and knowledge into all relevant aspects of operational and business systems.
15 Procurement and contract management
Systems and procedures for the following:(a) 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,(b) to ensure that the terms of any tender document or contract do not lead to unsafe work or an activity that may affect the safety of railway operations,(c) the selection and control of contractors of the rail transport operator, and to ensure the monitoring of the performance of such contractors, including conducting or commissioning audits of a contractor’s performance in relation to the safety aspects of the contract with the operator,(d) to ensure that safety duties under the Act are being met under contracts of the operator and that those contracts provide for the taking of remedial action where necessary,(e) to ensure that goods and services provided to the operator or a contractor of the operator in respect of the railway operations of the operator meet the standards and specifications required under the Act.
16 General engineering and operational systems safety requirements
(1) A documented set of engineering standards and procedures, and operational systems and 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 procedures for updating 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 and safety standards, specified in subclause (1).(4) Systems, standards and procedures for the following in relation to rail infrastructure and rolling stock:(a) engineering design,(b) construction and installation,(c) implementation and commissioning,(d) system operation,(e) monitoring and maintenance,(f) modification,(g) decommissioning or disposal.
17 Process control
(1) Procedures for the rail transport operator to monitor its compliance with the standards and procedures specified in clause 16 of this Schedule, 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.
18 Asset management
An asset management policy and procedures that address all phases of the asset lifecycle of the rail infrastructure or rolling stock operations.
19 Safety interface co-ordination
(1) Procedures for the identification of risks to safety of railway operations and for the development of interface agreements.(2) Procedures for monitoring compliance with interface agreements.(3) Systems for the maintenance of registers required under section 33 of the Act.
20 Management of notifiable occurrences
(1) Systems and procedures for the reporting of notifiable occurrences in accordance with this Regulation.(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.
21 Security management
Systems and procedures to ensure compliance with section 16 of the Act and Division 2 of Part 2 of this Regulation.
22 Emergency management
Systems and procedures to ensure compliance with section 17 of the Act and Division 3 of Part 2 of this Regulation.
23 Health and fitness
Systems and procedures to ensure compliance with section 18 of the Act and clause 10 of this Regulation.
24 Drugs and alcohol
Systems and procedures to ensure compliance with section 19 of the Act and the Rail Safety (Drug and Alcohol Testing) Regulation 2008.
25 Fatigue management
Systems and procedures to ensure compliance with section 20 of the Act and Division 5 of Part 2 of this Regulation.
26 Rail safety worker competence
Procedures, and where necessary standards, to ensure compliance with section 21 of the Act and clause 15 of this Regulation.
27 Resource availability
Systems and procedures for the following:(a) estimating the resources, including people and equipment, that the rail transport operator will need to operate and maintain its railway operations,(b) implementing, managing and maintaining the safety management system of the operator,(c) preparing plans to ensure that the operator has adequate access to the resources referred to in paragraph (a).