SAFETY MANAGEMENT SYSTEM - Sydney Rail Services

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Safety Management System Plan SRS PL 001 Safety Management System Plan VERSION 5.0 STATUS APPROVED DOCUMENT OWNER GENERAL MANAGER ISSUE DATE January 2016 EFFECTIVE DATE January 2016 REVIEW DATE January 2017

Transcript of SAFETY MANAGEMENT SYSTEM - Sydney Rail Services

Safety Management System

Plan

SRS PL 001 Safety Management System Plan

VERSION 5.0

STATUS APPROVED

DOCUMENT OWNER

GENERAL MANAGER

ISSUE DATE January 2016

EFFECTIVE DATE

January 2016

REVIEW DATE January 2017

Table of Contents

1. General .............................................................................................. 5

1. 1 Introduction 5

1.2 Organisation Objectives 5

1.3 Definitions 5

1.4 References 5

1.5 Scope of Operations 6

2. Safety Management System ................................................................ 7

2.1 Rail Safety Policy 7

2.2 Management and Governance 9

2.2.1 Management Structure 9

2.2.2 Governance Arrangements 9

2.2.3 Independent Audit 10

2.3 Responsibilities and Accountabilities 10

2.4 Resource Management 14

2.4.1 General Information 14

2.4.2 Insurance Policies 14

2.4.3 Financial Capacity 15

2.4.4 Resource Allocation 15

2.5 Regulatory Compliance 15

2.6 Document and Data Control 16

2.6.1 Scope 16

2.6.2 Document Identification 16

2.6.3 Document Register & Storage 16

2.6.4 Accuracy, Clarity and Language 17

2.6.5 Document and Data Approval and Issue 17

2.6.6 Document Changes 17

2.6.7 Storage and Retention of Safety Records 17

2.7 Key Safety Performance Indicators and Performance Monitoring 18

2.8 Safety Management System Audit 18

2.8.1 Annual Audit 18

2.8.2 Record of Annual Audit 19

2.9 Railway Safety Audit 19

2.9.1 Safety Audit Program 20

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2.9.2 Audit Scheduling 20

2.9.3 Audit Reporting 20

2.10 Change Management 20

2.11 Human Factors 21

2.12 Security Management 22

2.13 Safety Culture 22

2.14 Consultation 23

2.15 Communication 23

3. Risk Management ............................................................................ 24

3.1 Hazard Identification 26

3.2 Risk Assessment 26

3.3 Risk Assessment Methodology 27

3.3.1 How to Measure Consequence 27

3.3.2 How to Measure Likelihood 28

3.3.3 How to Determine the Risk Rank 29

3.3.4 Risk Treatment and Control 29

3.4 Risk Control 30

3.5 Monitor and Review 30

3.6 Risk Register 30

4. Personnel Management STD 011 Safety Training ............................. 31

4.1 Workers' Competence 31

4.2 Health and Fitness STD 005 33

4.3 Drugs and Alcohol STD 006 33

4.4 Fatigue Management STD 007 34

5. Goods and Services Procurement STD 004 ....................................... 34

5.1 Contract Management 34

5.2 Purchasing 34

5.2.1 Materials 34

5.2.2 Fuel 34

5.2.3 Records 34

6. Engineering and Operational Systems Safety .................................... 35

6.1 General. 35

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6.1.1. Track and Infrastructure 35

6.1.2 Rolling Stock 35

6.1.3 Signalling and Telecommunications Systems and Equipment 36

6.1.4 Operations and Train Control Systems 36

6.1.5 Interface with Other Transport Modes 36

6.2 Process Control 36

6.2.1 Track and Infrastructure 36

6.2.2 Rolling Stock 36

6.2.3 Communications 37

6.2.4 Operations Systems 38

6.3 Design and Development 39

6.4 Inspection and Testing 39

6.4.1 General 39

6.4.2 Inspection Frequency 40

6.4.3 Inspection and Test Records 40

6.4.4 Inspection and Test Status 40

6.4.5 Corrective Actions 40

7. Interface Management ..................................................................... 41

8. Occurrence Management ................................................................. 41

8.1 Occurrence Notification and Management 41

8.1.1 Procedure for notification of occurrences 41

8.1.2 Recording and Analysis 41

8.1.3 Investigations 41

8.1.4 Review and Rectification Process 42

8.1.5 Occupational Health and Safety Incidents and Investigations 42

8.2 Emergency Response 42

8.2.1 Sandgate Terminal 43

8.2.2 Mainline Network 43

8.2.3 Recovery Procedures 43

8.2.4 Preservation of Evidence 43

9. Responsibility .................................................................................. 44

10. References and Related Documents .................................................. 44

11. Document History ............................................................................ 44

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1. General

1. 1 Introduction

Sydney Rail Services is an accredited rail freight operator hauling containerised freight within NSW.

All SRS staff involved in train operations will have the mandatory qualifications and experience required for all train operations.

1.2 Organisation Objectives

SRS aims to provide an efficient rail freight option to industry and is committed to meeting all internal and regulatory safety requirements in order to create a safe environment for SRS personnel, other rail users, the public and all third party stakeholders.

1.3 Definitions

SRS SYDNEY RAIL SERVICES

RSNL Rail Safety National Law NSW 82a 2012

AS/NZS ISO31000-2009 Risk Management International Standard

AS4292.1 Australian Standard 4292.1:2006 Railway safety management - general requirements

NAP National Accreditation Package

RSMP Rail Safety Management Plan

SMS Safety Management System

1.4 References

National Occurrence Standard for Rail Incident Classification (ONS1)

Australian Standard 4292.1:2006 Rail safety management - general requirements

National Accreditation Package Network Rules Access Agreement with ARTC, RailCorp and John Holland

Rail Safety National Law NSW 82a 2012

Rail Safety National Regulation 2012

AS/NZS ISO31000-2009 Risk Management International Standard

Dangerous Goods (Road and Rail Transport) Act 2008

Dangerous Goods (Road and Rail Transport) Regulation 2014

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1.5 Scope of Operations

SRS core operations will provide containerised rail services from Metropolitan and Regional NSW to/from Port Botany.

Freight will consist of Dangerous Goods, Security Sensitive Dangerous Substances, and General Freight.

Security Sensitive Dangerous Substances will be moved in accordance with the conditions listed on a licence issued either to the Prime Contractor or SRS by the applicable regulator.

SRS will seek further contracts which may include but not limited to bulk grain, Minerals and general freight such as Logs, Stone, Cars, Steel and Infrastructure work trains throughout NSW.

In addition SRS will carry out rollingstock relocation across NSW.

SRS will undertake minor maintenance and inspections of rolling stock using appropriately qualified SRS personnel and contractors. In addition SRS will engage appropriately competent employees and contractors to undertake repairs, scheduled maintenance and servicing of rolling stock.

Safeworking Systems

When operating on rail networks SRS uses the safeworking systems of those networks

with arrangements covered by a formal access agreement.

All movements within private sidings are managed in accordance with:

The requirements of the safety interface agreement for the location. The safety

interface agreement is compiled in accordance with Standard STD 015 Safety

Interface Management; and

Standard STD 013 Train Operations Manual.

Shunting operations shall be undertaken in accordance with the terminal shunting plan

as detailed in the Safety Interface Agreement between Sydney Rail Services and the

respective terminal(s). Specific terminal shunting plans shall be included in SRS STD

015 Appendix 1.

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2. Safety Management System

2.1 Rail Safety Policy

SRS has a Rail Safety Policy (SRS Pol 001) that defines the safety aims and objectives of the organisation and expresses SRS's commitment to risk management and the development of a positive safety culture. The Policy conforms to the requirements set out in Appendix A of AS 4292.1-2006 and was developed in consultation with SRS staff. It has been approved by the SRS Management Committee.

The Rail Safety Policy is reviewed every year, or as need arises. The review involves consultation with SRS staff, while any changes to the Policy are submitted to the SRS Management Committee for approval.

The Rail Safety Policy is a controlled document. It requires the signature of the CEO to take effect.

The Rail Safety Policy will be displayed at various prominent locations around the SRS workplace so it is available to all staff.

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SAFETY POLICY STATEMENT SRS Pol 001

Sydney Rail Services highest priority is Safety.

Sydney Rail Services is committed to being above all efficient, cost effective, customer focused and environmentally friendly organisation that will maintain and develop safety principles and practices through an integrated risk management system that will capture and process all risk associated with the operation of the railway. This then will ensure the safety of all of its employees, customers, other operators, members of the public and all third party stakeholders.

A robust Safety management system (SMS) has been developed to ensure that all functions of Sydney rail services are carried out with safety as the priority. The SMS is a living document subject to continuous improvement.

Sydney Rail Services will make available sufficient resources to ensure that all rolling stock, locomotives, and all electrical and mechanical equipment is in a safe condition and are fit for purpose.

Sydney Rail Services expects all employee’s, management and contractors entering the site, to work safely and not cause any action that would compromise safety in the work place to employees, customers, other operators, members of the public and all third party stakeholders.

Any person may approach their responsible manager to advise that their safe work area has been compromised or could be improved this then will be acted upon immediately by that manager whom will be responsible for the corrective action to be taken. It is important that Sydney Rail Services will create a safety culture within the workforce to ensure that safe decision making is made by all management and employees.

Sydney Rail Services will ensure that all employees have sufficient training to carry out their duties safely and competently.

Sydney Rail Services will monitor all safety incidents and address any safety hazards as soon as practical, whether prior to or after an incident occurring.

Sydney Rail Services believes that adopting a just culture and safe work place will encourage and foster a good safety culture and working relationship between employee’s and management as well as customers and other operators.

The Board of Directors and Management will do all that they are empowered to do, ensuring that Sydney Rail Services is a safe place for all employees, customer, other operators and the community at large.

Sydney Rail Services endorses and abides by all Government regulations and legislation including the, Rail Safety National Law (NSW) regarding drugs and alcohol in the work place, anti-discrimination, work place harassment, fatigue management, O.H.S.&E. and any other work place guidelines.

SIGNED ………………………….... SIGNED……………………………………..

OPERATIONS MANAGER MANAGING DIRECTOR

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2.2 Management and Governance

2.2.1 Management Structure

The SRS organisational structure is shown in the chart below.

Position responsibilities and accountabilities can be found in the table at Section 2.3. The CEO and General Manager may be the same person in the first instant.

The General Manager of SRS has the responsibility and authority to ensure appropriate rail safety standards and procedures are developed, implemented and their effectiveness monitored.

The General Manager ensures document control processes are in place to ensure all safety documentation is accurate and up to date. When the General Manager is on approved absences responsibilities under this section are delegated to the Operations Manager.

Management committee

General Manager

GeneralManager

Rolling Stock Manager Train Crew

CEO

Operations Manager

Safety Manager

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2.2.2 Governance Arrangements

The Management Committee of SRS is made up of the following positions:

CEO

General Manager

Operations Manager

Rolling Stock Manager

Safety Manager

The Management Committee will review standards and procedures as a regular agenda item at its meetings held on a fortnightly basis or more frequently when necessary, in order to monitor the effectiveness of document control processes.

Review of Tender documents and Contracts will also be carried out by the management committee.

The General Manager provides the CEO and Management Committee with appropriate safety information to assist them in their decision making this is to include any corrective actions reports received or implemented.

2.2.3 Independent Audit

A suitably qualified independent auditor will be appointed by the Management Committee to annually assess compliance with all aspects of the Safety Management System. This includes compliance with SRS procedures, Acts, Regulations and conditions of track access under the Track Access Agreement with the network owner.

Audits are conducted according to the SRS audit schedule (see section 2.9).

2.3 Responsibilities and Accountabilities

Responsibility for implementing and maintaining the Safety Management System at SRS has been given to the General Manager.

Management of operational safety of rolling stock is the responsibility of the respective Rolling Stock Manager, who has responsibility for applying risk management processes to maintain a safe operational and work environment.

The Operations manager is responsible for the safe operation of all trains and personnel.

The major safety responsibilities and accountabilities within SRS are listed in the table below.

Any identified management training required for positions within Sydney Rail Services will implemented.

Position Responsibilities Accountabilities

CEO Provides leadership to SRS. Executive approval of SRS safety policies.

Approval of major capital expenditure

Endorsement of accuracy and completeness of Annual Safety Report and other submissions to the regulator.

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Position Responsibilities Accountabilities

General

Manager

Ensuring the financial and safe operation of SRS.

Compliance with relevant acts and regulations.

Provision of safety information and advice to the CEO.

Demonstrating leadership on issues of safety including participation in compliance inspections.

Maintaining the Safety Management System.

Selection and performance monitoring of senior staff.

Approval of safe working systems.

Initiating independent risk assessments or validation of risk assessments, where appropriate.

Negotiation of track access agreements.

Initiating compliance and safety audits.

Approval of budgets, including allocation for safety expenditure.

Approval of expenditure, including ensuring that purchase request forms contain safety specifications for the requested items.

For the upkeep of all accreditation documentation;

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Position Responsibilities Accountabilities

Operations Manager

Day to day management of train operations.

Fleet management.

Compliance with relevant SMS provisions and related standards and procedures.

Selection and performance monitoring of training officer, yard manager, rolling stock manager and train crews.

Supervision of all train crews.

Determining and presenting the SMS framework to ONSR for accreditation purposes and, in doing so, demonstrates SRS has a detailed understanding of the SMS components, requirements and commitments given;

For ensuring all accreditation commitments are implemented, particularly including arranging major accident investigations, independent safety audits and independent safety system reviews;

Rostering train crews.

Allocation of resources, including resources for safety actions.

Initiating corrective action where breaches of safety requirements are detected.

Approval of access to network.

Carrying out compliance inspections.

Identification, assessment and rectification of workplace hazards.

Safety certification of operations arrangements including personnel management issues and operations procedures and protocols.

Certification of accuracy and completeness of information in annual safety reports for area of responsibility

Specifying safety requirements when requesting purchase of goods.

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Position Responsibilities Accountabilities

Safety Manager

Compliance with relevant SMS provisions and related standards and procedures.

Determining the SRS rail safety worker competence requirements as they relate to the provisions of the NSW Rail Safety National Law and regulations, including, national health assessment, drug and alcohol arrangements and fatigue;

Auditing SRS employee compliance with training standards;

Administration of the document management system;

For receiving and reviewing legislation, regulation and industry codes or standards and for modifying the SMS to ensure compliance to those requirements;

Playing a positive role in supporting the organisational safety culture, which involves promoting and demonstrating safe behaviours and practices, reporting accidents and near misses and identifying hazards and unsafe acts;

Complying with all safety policies, procedures, Occupational Health and Safety legislation, Rail Safety legislation and other safety management system requirements;

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Position Responsibilities Accountabilities

Rolling Stock Manager

Fleet maintenance Scheduling of locomotives and wagons.

Compliance with rolling stock standards and safety requirements and procedures.

Monitoring maintenance schedules.

Train examination.

Recommending rolling stock for major overhaul.

Identification and assessment of workplace hazards.

Rectification of workplace hazards or make recommendations or referral to Operations Manager.

Under supervision from General Manager. Safety certification of rolling stock and related equipment and procedures.

Selection and supervision of service providers for rolling stock maintenance and testing, including specification of safety requirements.

Certification of accuracy and completeness of information in annual safety reports for area of responsibility.

Rail Safety Worker

Adherence to the rail safety policies.

Driver Trainers are responsible for the supervision of all train crews.

All train crews will be responsible for performing allotted duties in accordance with SRS documented procedures, instructions and Network Services track access conditions and procedures.

Constructive participation in development and review of safety systems as required.

Reporting of safety issues and suggestions for solutions in accordance with SRS’s reporting protocols.

2.4 Resource Management

2.4.1 General Information

SRS funding for SRS operations is the responsibility of CEO.

2.4.2 Insurance Policies

SRS maintains full insurance cover for its operations. The types of insurance cover held are listed in the table below. Certificates of Currency are held at the SRS office.

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Policy Type TBA Policy No. Insurer Policy Value Renewal Date

Rail Operations – Mainline Network

Public Liability SYCCA214418202 LIBERTY $20,000,000 14/05/2017

T142077 NEWLINE $30,000,000 14/05/2017

TBA PEN $200,000,000 14/05/2017

Industrial Special Risk

NA

Workers Compensation

1GFE014829GWC154

QBE $NA 30/09/2017

2.4.3 Financial Capacity

SRS allocates sufficient budget resources for the safe conduct of the business. This includes resources to meet the operational requirements of the Safety Management System, to meet public liability insurance premiums and to deal with foreseeable emergencies and catastrophic incidents.

2.4.4 Resource Allocation

As operational requirements change by way of new equipment and or freight contracts etc. The Management Committee will develop an Operational Plan that identifies the resources necessary to sustain safe operations and indicates how these resources will be provided. Identified resources include funding, people and equipment.

2.5 Regulatory Compliance

SRS complies with all Acts and Regulations relevant to its operations and ensure its staff are aware of their legal responsibilities.

The General Manager has responsibility for keeping current copies of relevant Acts and Regulations according to SRS document and data control procedures described in section 2.6.

The General Manager reviews the copies of Acts and Regulations to ensure they are up to date. This review is carried out every twelve months, or more frequently if it becomes known that changes have occurred to the relevant documents. Some Acts and Regulations relevant to SRS operations include:

Rail Safety (Adoption of National Law) ACT 2012 No 82a

Rail Safety National law (NSW) No 82a Regulation

WHS Workplace Health and Safety Act and Regulations.

When company policies and procedures are developed, or existing policies and procedures are reviewed, a check is made of relevant Acts and Regulations to make sure the company's policies and procedures are legally compliant.

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2.6 Document and Data Control

2.6.1 Scope

SRS has a document and data control system SMS STD 009 to make sure all documents and data that may affect rail safety are identified, controlled, reviewed, authorised, retained and distributed to staff who need them.

Documents and data that are controlled by this process include:

SRS policies, procedures and forms

Drawing and design documents

Agreements (e.g. Track Access Agreement, Interface Coordination Plan)

Technical standards and manuals.

Responsibility for each internal document is assigned to a staff member qualified and knowledgeable in the content of the document who becomes known as the document manager.

2.6.2 Document Identification

Controlled documents are allocated a unique identification number. Where there is more than one copy of a controlled document they are numbered in sequence.

SRS applies the following numbering system to documents developed within SRS and those obtained externally. Documents and data are controlled through insertion of a control page (Document Control Form SRS F001) in the front of each copy.

The document and data control numbering protocol is:

a) Organisation Name: SRS

b) Standards S Policies Pol

Procedures P Plans Pl

Forms F c) Number: 3 digit e.g. 001

d) Revision status Rev. 0

e) Copy Number when more than one copy is issued.

f) Version Number Ver 0.0

For example, this version of the Safety Management System is SRS SMS Ver 2.0 Rev.0.

2.6.3 Document Register & Storage

A Document Register (SRS F 002) is kept at the SRS office.

The Document Register includes the following minimum information:

Document, standard, procedure or form title

Unique number

Document manager

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Document Version (e.g. draft, revision number, superseded or obsolete)

Risk register cross reference (where appropriate)

Document review date.

Uncontrolled documents that could impact on the safe operations of SRS are kept in subject-specific files at the company's office, and are listed in a File Register.

2.6.4 Accuracy, Clarity and Language

Staff who will use safety documentation are consulted during drafting and review to ensure they understand the contents. All safety documents are written in English.

Document managers check the accuracy and clarity of all safety documents prepared or amended by SRS before they are issued.

2.6.5 Document and Data Approval and Issue

The General Manager of SRS reviews and approves all new and amended rail safety documents before they are issued.

The document manager when completing document changes will publish the updated documents on the server. The most current published documents are then maintained and available.

SRS distributes controlled documents by hand to each person on the document distribution list for storage in agreed locations (eg company office, locomotives). The document manager removes obsolete documents. The document manager then updates the Document Register to indicate the current status of each document.

SRS keeps obsolete documents for a minimum of three years, after which they are reviewed and either discarded or retained in accordance with management committee decisions.

2.6.6 Document Changes

The document manager is responsible for issuing any amendments to the documents for which they have responsibility.

Amendments to rail safety documents are reviewed and approved by the General Manager, with the support of the Management Committee, if required. The Management Committee reviews document changes at least every three months, or as required.

2.6.7 Storage and Retention of Safety Records

SRS makes safety records available for inspection by authorised parties, as required.

The management committee lists the records to be retained, how long they are to be retained and the responsible manager.

Hard copy records are kept at the SRS office for the required period and then either retained or destroyed (and the Safety Records updated accordingly). Documents are securely stored to guard against the risk of loss through deterioration or damage.

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Electronic records are regularly backed-up at regular intervals. Back-up records are kept secure at a location remote from the main office where the master records and computers are kept.

2.7 Key Safety Performance Indicators and Performance Monitoring

The Management Committee sets goals each year for the improvement of SRS safety performance. SRS assesses its performance to ensure Systems and procedures that affect Safety are being implemented effectively against these goals by monitoring and analysing the numbers and types of:

Notifiable occurrences per kilometre travelled and tonnes carried – This information is recorded on the service Schedule and incident register.

Corrective actions resulting from the annual review implemented within agreed timeframes

Directions from regulator implemented within required timeframe.

SRS collects data to show how it is meeting its safety performance objectives. The main safety data is:

Occurrence notification forms - indicate past safety outcomes

Analysis of causes of accidents and incidents - helps to develop strategies to prevent future occurrences

Data on completion and compliance with safety management activities - gives an indication that safety system processes are being applied.

Accident and incident data is categorised according to the National Occurrence Standard for Rail Incident Classification (ON-S1). Reports of key safety performance data are provided to the CEO and Management Committee. Safety performance for the year is presented in each annual report.

2.8 Safety Management System Audit

2.8.1 Annual Audit

An audit/review of the safety management system is conducted annually. The Audit is undertaken by a Review Committee, comprising the members of the Management Committee and worker representatives from each functional area. In the lead up to the review the General Manager circulates a notice to all workers inviting them to raise safety issues or suggestions for improvement, and calling for nominations for worker representatives to participate in the audit.

The objectives of the Audit are to:

Consider the effectiveness of the SMS and decide whether changes are needed. Changes could be required as a result of:

– Safety performance against established goals and measures

– Safety directions or prohibition notices received from the regulator since last audit

– Recommendations or issues arising from audits, occurrence investigations or commissioned reports.

– Incremental or other changes to systems or organisational context

– Safety issues and suggestions for improvement provided by staff

– Opportunities for safety improvement.

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Initiate action to implement system or other changes decided upon following the review. This could include:

– Risk assessment and safety validation for any significant system changes

– Development of Safety Improvement Plan for implementation of agreed changes or actions.

2.8.2 Record of Annual Audit

Full records are kept of the annual review process and its outcomes. The Audit is certified in the annual report, which sets out:

How the audit was conducted, the date the audit took place and those people who directly participated in the process

A statement certifying the matters that were considered, along with copies of supporting documentation, which could include copies of safety directions, prohibition notices, recommendations from audits and occurrence investigations.

If changes are made to any parts of the Safety Management System the following records are created:

A copy of the proposed system

A statement identifying the differences between the original and revised content

A significant change will be identified by the need of the change to be covered by the SMS as determined by the Management Committee.

Risk assessment safety validation documentation for significant changes to the existing safety management system as stated in change management procedure.

The annual safety management system audit is a key part of SRS's continuous improvement cycle. The cycle is shown in the figure below:

1. Identify/review risks 2. Develop/ improve safety

management system

3. Monitor system performance

(outcome data, audits etc.)

4. Investigate occurrences and learning

5. Review safety

management system

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2.9 Railway Safety Audit

2.9.1 Safety Audit Program

SRS Management Committee is responsible for establishing and managing the SRS annual audit program. Two levels of auditing may be undertaken:

SRS employees and contractors with relevant experience and knowledge of position responsibilities, but independent of the position being audited, carry out internal audits to make sure people assigned rail safety responsibilities are effectively carrying out their responsibilities

Where appropriate, external auditors with relevant experience (eg managers from other rail operators) may carry out audits of specific Safety Management System policies and procedures.

Audits are conducted according to the Audit Standard (STD 003).

2.9.2 Audit Scheduling

The Management Committee prioritises the audit program taking into account various factors including:

Previous audit findings and recommendations

Recent rail safety performance

Status and importance of activities to be audited.

Review of Risk register

The program is run on a financial year basis, according to a prepared Audit Schedule. This schedule may vary as a result of changes to audit priorities or if additional audit requirements are identified. The Audit Schedule makes provision for all rail safety related activity to be audited at least once in each financial year.

The audit program is monitored at meetings of the Management Committee, which inspects the Audit Log to make sure audits are proceeding according to schedule.

2.9.3 Audit Reporting

Audit findings are documented in Report Form as per SRS STD 003, with any Corrective action required documented on (SRS FRM 008 corrective action report form).

Audit reports are given to the General Manager and are reviewed at Management Committee meetings until all corrective action items have been completed.

Where findings from audits require urgent attention the General Manager can assign corrective action items for the attention of relevant staff or arrange to convene a Management Committee meeting to review the findings and assign action.

2.10 Change Management

SRS has a change management procedure to ensure that the risks are identified, assessed and controlled during the implementation of all significant changes to equipment, infrastructure, operational procedures and safety systems.

Changes that affect safety may arise from a number of sources, including:

Modifications to infrastructure and rolling stock

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Changes to procedures, processes and systems

Changes to organisational structure and position roles and responsibilities

The general operating environment and interfaces.

All changes that may affect safety are carried out in accordance with the change management procedure. The procedure requires a risk assessment to identify safety implications of the change, including the consequences or impacts of the proposed change on related operations and procedures.

Where required by legislation, an application for variation of SRS accreditation is prepared and lodged with the rail safety regulator.

Provision is made in the change management plan to maintain existing risk response strategies while changes are introduced and to respond to any new hazards that may be created by the change.

Change management planning involves people who have qualifications, knowledge and skills in the areas affected by the proposed change.

The change management procedure is authorised by the General Manager, while the Management Committee regularly reviews progress in implementing changes.

2.11 Human Factors

SRS recognises that the design of work and the working environment influence the way people behave. SRS recognises that human factors are a significant contributor to the occurrence of incidents, and that safety systems and procedures need to be designed to recognise and provide for human error.

SRS is committed to ensuring that human factors are considered during:

Risk assessments and the identification and implementation of risk controls

The development of operational procedures

Reviews of occurrences and

The change management process.

To assist the effective consideration of human factors in safety systems and procedures, staff are encouraged to report problems experienced during operations, including difficulties in applying systems and procedures and personal errors, without prejudice to themselves.

Reported human factor-related problems and errors will be examined to determine the cause and to develop appropriate responses, where necessary. All operational staff will be informed about reported problems and errors so they can learn from the experience of others.

Some examples of Human factors considered for train crews are

Drivers using their positional authority to disregard an assistant drivers caution.

Talking on a mobile phone whilst in the driver’s seat

Rushing or lack of attention to set tasks or procedures at the end of shifts

Anticipating the aspect of a signal on approach.

Complacency or boredom with repetitive tasks.

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SRS when developing processes and procedures has adopted so far as is reasonably practical the keep it simple method to ensure clear and to the point information.

A key control measure for human factors in train crewing is all SRS services are 2 person operation. Crew members are required to cross check with each other when carrying out all tasks to ensure the safety of the train.

The Operations Manager will be responsible for obtaining expert help regarding Human factors if and when the need arises.

2.12 Security Management

SRS has a Security Policy and Plan (STD S 012) to protect the unique rail assets operated by the company and to prevent damage to operational infrastructure as a result of crimes to property including vandalism, sabotage or terrorism.

The Plan also covers the security of staff, and members of the public, and on the prevention of crimes to people. The General Manager is responsible for the implementation and maintenance of security arrangements under the Plan.

The Security Plan is based upon a thorough risk assessment which attempts to identify all security risks arising from the company's operations. Staff help identify security risks.

In carrying out the risk assessment assistance will be sought from local police and emergency services personnel, and these personnel will have defined support roles under the Plan.

The Management Committee reviews the Security Plan annually as part of its general review of company operations.

2.13 Safety Culture

SRS recognises the importance of developing and maintaining a positive safety culture and that this can be achieved through:

Strong leadership

Consultation and communication with staff

Encouraging staff to watch for and report safety issues and

Acknowledging staff who take action to ensure safety outcomes are met.

The Management Committee fosters a positive safety culture by:

Communicating to all personnel, through newsletters, meetings and social gatherings, the importance of good safety performance in ensuring the continuing operation and community support for SRS railway operations

Ensuring human factors are addressed in risk assessments and the development of risk controls and operational procedures (see section 2.11)

Ensuring all relevant personnel are actively involved and consulted during risk assessments, the development of operational procedures and the review of procedures and systems (see section 2.14)

Promoting open communication between all staff, no matter what role they play (see section 2.15)

Ensuring personnel are encouraged to report safety problems, errors and occurrences without fear of personal blame (see section 8.1) and

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Ensuring personnel who demonstrate initiative in identifying and promoting safety improvements are openly thanked and recognised.

2.14 Consultation

SRS recognises the importance of effective consultation with personnel and other stakeholders in developing and maintaining the safety management system.

Structures and processes to facilitate effective consultation include:

Monthly meetings where the Management Committee reports on company activities and where staff members have the opportunity to raise matters of concern and suggestions for improvement

Informal discussions ("tool box talks") at the beginning and end of the conduct of railway operations to ensure personnel are informed about recent changes to procedures or operating conditions, and have opportunity to provide comments and suggestions

Ensuring relevant personnel are actively involved in risk assessments and the development and review of systems and procedures.

2.15 Communication

SRS recognises the importance of ensuring all personnel are provided with the necessary information to enable them to effectively discharge their responsibilities in relation to safety.

Processes to ensure the timely and effective communication of safety related information include:

Regular Management Committee meetings and circulation of outcomes of relevant Committee proceedings to all personnel

Ensuring the Safety Management System and all related standards and procedures are available for inspection at the SRS office

Ensuring that controlled copies of relevant operational procedures and standards are readily accessible to relevant personnel at relevant places throughout the operations (eg office, workshop)

Processes and forms for reporting safety occurrences

A periodic staff members' newsletter which regularly carries safety related information

Safety bulletins are circulated to all operational staff when particular safety issues are identified and displayed on noticeboards.

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3. Risk Management

SRS risk management is supported by SMS STD 001 and recognises that a high level of safety management is essential to its future as a rail operator. All areas of its operations must be subject to rigorous analysis to detect and counter hazards in order to protect its staff and to protect members of the public who support its operations. The obligations of operational safety and of worker health and safety can only be met through the application of effective and consistent risk management activities.

The SRS approach to risk management is illustrated in the SRS Risk Management Process Flowchart below and in detail in SRS S001.

The Operations and General Manager have considerable risk management experience which they will use to ensure that SRS operations are not compromised during train operations.

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SRS Risk Management Process Flowchart

Communicate and consult

Who needs to be involved?

Who has the knowledge?

Establish the context

What is being analysed?

What is our acceptability criteria?

Identify Risks

What might go wrong?

Identify Causes

Why and how can it go wrong?

Analyse Risks

Identify existing controls

What are we currently doing to control these risks?

Who is responsible for existing controls?

Determine level of risk

Determine Likelihood

How often does it go

wrong?1 2 3 4 5

A A1 A2 A3 A4 A5

B B1 B2 B3 B4 B5

D D1 D2 D3 D4 D5

E E1 E2 E3 E4 E5

F F1 F2 F3 F4 F5

Determine Consequences

What happens if it does go

wrong?

Evaulate Risks

Are our risks too high? What risks are highest?

Treat Risks

Have we got all reasonable controls?

Are we following relevant good practice?

Do we have sufficient and effective controls?

Identify Further Controls

Who is responsible for additional controls?

Train Energy

Hazard

Train Energy

Hazard

SPAD

THREAT

Driver

incapacitation

THREAT

Driver

incapacitation

THREAT

BARRIER

VIGILLANCE

AndDEADMAN

DEVICES

THREAT

BARRIER

DRIVER

MEDICAL

EXAMINATIO NSAnd

CERTIFICATE

OF FITNESS

THREAT

BARRIER

DRUG AND

ALCOHOL

POLICY AND

ENFORCEMENT

THREAT

BARRIER

?

Monitor and Review

Have things changed?

Are controls still effective?

Determine level of

residual risk

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3.1 Hazard Identification

SRS uses various sources of information to identify hazards in its operating environment. These sources include:

Analysing records of incidents and injuries: this analysis is used to uncover incidence patterns that may point to particular hazardous situations, or uncover limitations in training, communications, maintenance etc.

Error and incident investigation: these investigations are used to highlight previously undetected hazards and uncover problems in operating procedures, staff knowledge and understanding and communication of safety critical information

Inspections: regular inspections of the operating environment are undertaken to detect hazards, the process is supported by a formal checklist to ensure consistency and to record outcomes

Reporting hazards: staff members are encouraged to report any safety concerns to people in management positions e.g. Rolling stock Manager, Rail Track Supervisor and the Operations Manager. There is a Hazard Reporting Form that allows these safety concerns to be formally documented.

3.2 Risk Assessment

Once hazards have been identified, the associated risks are assessed to determine the level of threat they pose. The assessment considers the likelihood of a safety incident happening against the possible severity of the outcome.

Risk assessments are carried out in consultation with qualified and knowledgeable staff members. These are people who bring extensive industry experience to the risk assessment process.

Risk assessments are performed with the help of the matrix below that allows incident likelihood and consequences to be quantified. The matrix used by SRS has been adapted from AS/NZS ISO 31000:2009.

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3.3 Risk Assessment Methodology

When a hazard is identified, it must be assessed to determine the severity of risk that

hazard represents. This in turn determines the priority of risk treatment applied to the

hazard. As mentioned previously, risk is calculated using the following method:

RISK = CONSEQUENCE X LIKELIHOOD

(of an incident or loss occurring) (of an incident or loss occurring) Figure 4: Calculation of Risk

3.3.1 How to Measure Consequence

The consequence 'rating' of the occurrence of the hazard is read from the table below.

For example, if the hazard is considered likely to result in a Lost Time Injury (see column

Safety), then the consequence is Negligible (see column "description").with a value

score of 1 (see column 1 "value").

The consequence rating is then used in conjunction with the likelihood rating to

determine the risk rank from the 'risk rank table’.

CONSEQUENCES

Descriptor Safety Operational performance

Environment Financial

1 Negligible

Illness, first aid treatment or injury not requiring treatment

Localised, short term disruption rail services.

Negligible to no environmental damage that is contained onsite or is fully recoverable with no permanent effect on the environment

Direct loss or opportunity cost of less than $10K within a financial year.

2 Minor

1 or more minor injuries

Small scale disruption to non critical freight and long distance passenger networks.

Short and medium term environmental damage with localised impacts

Direct loss or opportunity cost of $10K - $100K within a financial year.

3 Major

1 Major injury Small scale disruption to critical freight networks. Medium scale disruption to non critical freight and long distance passenger networks.

Short term (under 1 year) environmental damage with widespread or high value impacts OR Any medium to long term environmental damage with localised impacts.

Direct loss or opportunity cost of $100K - $1M within a financial year.

4 Critical

1 fatality (or multiple major injuries)

Small scale disruption to significant major urban passenger operations. Medium scale disruption to critical freight networks. Large scale disruption to non critical freight and long distance passenger networks.

Short to medium term (1 to 5 years) environmental damage with widespread or high value impact OR Any permanent or long term environmental damage with localised impacts

Direct loss or opportunity cost of $1M - $10M within a financial year.

5 Catastrophic

2-10 fatalities Medium scale disruption to major urban passenger operations. Large scale disruption to critical freight networks.

Medium to long term (5 to 10 years) environmental damage with widespread or high value impacts

Direct loss or opportunity cost of $10M - $100M within a financial year.

6 Disastrous

Greater than 10 fatalities

Large scale disruption to major urban passenger operations.

Permanent or long term (10+ years) environmental damage with widespread or high value impacts

Direct loss or opportunity cost of more than $100M within a financial year.

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Figure 5: Measure of Consequence Table

3.3.2 How to Measure Likelihood

The likelihood 'rating' of the occurrence of the hazard is read from the table below. For

example, if the hazard is considered likely to occur once every 10 years (see column

event Frequency), then the likelihood is 'remote' (see column "description") with a value

score of 3 (see column 1 "value").

The likelihood rating is then used in conjunction with the consequence rating to

determine the risk rank from the 'risk rank table'.

LIKELIHOOD

Descriptor

Historical Likelihood

Probability (Performing a single activity)

Event Frequency

1 Highly improbable

Not expected to occur 1 in 100,000 - 1,000,000 chance

Less than once every 1000 years

2 Improbable

May occur only in exceptional circumstances

1 in 10,000 - 100,000 chance

Once every 100 to 1,000 years

3 Remote Could occur at some time but not likely

1 in 1,000 - 10,000 chance

Once every 10 to 100 years

4 Occasional

You would expect it to occur at least once in the next 10 years performing similar activities

1 in 100 - 1,000 chance

Once every 1 to 10 years

5 Probable

You would expect it to occur at least once this year performing similar activities

1 in 10 - 100 chance

More than once per year up to and including 10 times per year

6 Frequent

You would expect it to occur at least once this month performing similar activities

>1 in 10 chance More than 10 times per year

Figure 6: Measure of Likelihood Table

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3.3.3 How to Determine the Risk Rank

Once the 'consequence' and 'likelihood' ratings have been determined, the 'risk rank'

table below can be used to prioritise the hazard according to its risk rank.

Figure 7: Risk Rank Table

3.3.4 Risk Treatment and Control

Once the 'risk rank' is determined, the priority of action to be taken and the 'risk

treatment' is determined using the following table:

E EXTREME RISK Immediate action required

H HIGH RISK Senior Management attention needed

M MODERATE RISK Management responsibility must be specified

L LOW RISK Manage by routine procedures

Figure 8: Risk Treatment Table

Consequence

1 2 3 4 5 6

Lik

elih

oo

d 6 H H E E E E

5 M H H E E E

4 M M H H E E

3 L M M H H E

2 L L M M H H

1 L L L M M H

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3.4 Risk Control

Once hazards have been identified and their level of risk assessed, steps are taken to either eliminate the hazards or to control the risks they pose to a level which is 'So Far As Reasonably Practicable' (SFARP).

SRS develops its risk response strategies in terms of the standard hierarchy of risk control. The hierarchy of risk control as applied in SRS is reproduced below.

Hierarchy Of Risk Control

1. Eliminate the hazard and so eliminate any risks (eg have liquid fuels delivered directly into locomotives so that no onsite storage is required).

2. Substitute a less hazardous alternative

3. Isolate the hazard (eg fence maintenance areas ).

4. Use engineering controls (eg install intruder alarms).

5. Use administrative controls (eg require that rail safety work only be carried out by those with the necessary competencies).

6. Use personal protective equipment (PPE) and clothing. PPE is only to be used when other controls cannot be implemented (eg high visibility clothing is not a substitute for a safe work method).

Often one risk control will not be effective on its own so SRS implements risk controls in tandem to achieve an acceptable level of prevention. Sometimes interim risk controls are used until a more permanent solution can be applied.

The information and analysis gathered during risk management activities often results in the development of safe working procedures. SRS uses these procedures to inform staff of the risks involved in their work and to direct them in how to carry out the operation with maximum protection.

3.5 Monitor and Review

SRS recognises that risk management activity is not concluded when risk controls are introduced. The operating environment is always subject to change and risk controls are regularly monitored and are reviewed annually to make sure they continue to work. Any changes required may then be implemented as part of the annual review of the Safety Management System (see section 2.8).

3.6 Risk Register

The outcomes from the regular risk management activities have been used to develop a SRS Risk Register.

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The Risk Register records all of the hazards that have been identified in the operating environment, along with the associated risks. It records how SRS goes about controlling these risks and the staff who have oversight for risk control activity.

The Register also includes references to relevant sections of this Rail Safety Management Plan and associated procedures, standards and guidance material that is relevant to each risk control.

4. Personnel Management STD 011 Safety Training

SRS is a freight rail operation managed and staffed by competent management and staff qualified in all facets of train operations. All staff members meet rail safety competency standards for the duties they carry out.

4.1 Workers' Competence

The SRS Management Committee develops and regularly reviews position descriptions for all positions identified as involving rail safety work (see section 2.3). From these, the competencies necessary to ensure that the person undertaking the duties has the knowledge, skills and experience to carry out the duties in a safe manner are identified.

All workers including operational staff members working on site, visitors visiting non-public areas and contractors undergo a General Safety Induction (STD 011).

All SRS personnel hold appropriate rail safety qualifications and are regularly assessed for necessary competencies related to their work responsibilities, including competency certifications required under the Track Access Agreement and network owner's Safeworking Rules.

Competency assessments are organised by the Operations Manager and are carried out by people with qualifications associated with SRS in the field of expertise being assessed.

Relevant records of qualifications and competency assessments are held at the SRS office.

Management and Rail Safety Worker’s Competency Requirements

Position Competency Re-accreditation

General Manager / CEO

Track Safety Awareness

Risk and Safety Management

CAT 3 Medical

2 Years

Every 5 years

Once only then 5 yearly after 40 years of age

Operations Manager

Track Safety Awareness

Risk and Safety Management

CAT 3 Medical

2 Years

Every 5 years

Once only then 5 yearly after 40 years of age

Safety Manager Track Safety Awareness

Risk and Safety Management

CAT 3 Medical

2 Years

Every 5 years

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Once only then 5 yearly after 40 years of age

Rollingstock Manager

Track Safety Awareness

Risk and Safety Management

CAT 3 Medical

2 Years

Every 5 years

Once only then 5 yearly after 40 years of age

Safety Critical Rail Safety Workers

Relevant Safeworking qualifications for the areas they work over.

Medical, in accordance with national health assessment standard.

Drivers must be qualified and competent in the road knowledge for the areas that they work over

CAT 1 Medical

Drivers must be qualified and competent in freight locomotive driver’s course.

Trainee Drivers must be qualified and competent in the yard knowledge for the areas that they work over AND

CAT 1 Medical

Qualified and competent in shunting operation AND

Qualified and competent engine management

Assistant Driver must be qualified and competent in the yard knowledge for the areas that they work over

CAT 1 Medical

Qualified and competent in

shunting operations

Shunters must be qualified and competent in shunting operations

CAT 1 Medical

2 Years

5 yearly until 50 years of age, then 2 yearly until 60, then yearly if over 60.

Rollingstock Maintenance Staff

Track Safety Awareness

Medical, in accordance with national health assessment standard

None

5 yearly until 50 years of age, then 2 yearly until 60, then yearly if over 60.

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CAT 2 Medical

Must be qualified and competent in the competencies as indicated on individual assessment forms

4.2 Health and Fitness STD 005

SRS complies with the requirements of the National Health Assessment Standard for Rail Safety Workers (NHAS) in managing the health and fitness of its rail safety workers.

The duties and medical requirements for all positions have been documented. Each position has been assessed for risk and categorised according to the NHAS.

Relevant staff will be medically assessed in accordance with the Procedure for Managing Rail Safety Worker Health Assessments and copies of health assessments will be held at the SRS office. SRS will either arrange for a staff member to have a medical assessment or review an assessment conducted on behalf of another railway operator, using the Portability of Health Assessment Form, to ensure that the level of health assessment performed by the original rail organisation is equal to or greater than that required for the tasks performed by the staff member at SRS.

No one is allowed to carry out rail safety work unless they have been certified fit for the work according to the NHAS.

Where a health assessment indicates a temporary or permanent medical impairment that prevents a person carrying out Category 1 or 2 work, SRS examines whether the person is fit for Category 3 or 4 work, or other alternative duties. SRS tries to involve staff as far as their health and fitness safely allows.

4.3 Drugs and Alcohol STD 006

SRS policy prohibits any person who is affected by drugs and alcohol from taking any part in its operations. Personnel are required to advise their supervisor if they are taking any medication which may affect their performance.

SRS managers rely on visual and verbal assessments to form a reasonable impression as to whether a person's behaviour is affected by drugs or alcohol. Where necessary to determine whether a person is affected by alcohol, a breath test and/or breath analysis may be arranged with the local police or persons qualified and appointed by SRS. In these cases the supervisor must refer the matter to the Operations Manager, who has responsibility for making the final decision.

A person prevented from taking part in SRS operations because of the belief they are affected by drugs will be subjected to a drug test this may be carried out by persons suitably qualified and appointed by SRS or referred to a qualified medical practitioner for drug urine analysis if they wish to challenge the assessment.

SRS personnel working on the mainline network shall comply with the network owner's drugs and alcohol rules and procedures.

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4.4 Fatigue Management STD 007

SRS is aware that fatigue may be an issue for its staff. SRS rosters its staff to ensure no one works for extended periods and to ensure staff have appropriate rest breaks.

Supervisors rely on visual assessment to ensure staff will be sufficiently rested and alert to perform their duties. Staff will be encouraged to report any feelings of fatigue so they can be given the opportunity to rest.

5. Goods and Services Procurement STD 004

5.1 Contract Management

When engaging contractors SRS requires that they provide appropriate safety documentation for the work to be carried out. This documentation is usually in the form of Safe Operating Procedures or Safe Work Method Statements. These documents are assessed before work commences to make sure they are relevant to the work environment at SRS.

Contract workers are also required to prove that they hold any necessary certification for particular work tasks or to operate particular plant and equipment.

Contract workers are given an induction to the SRS worksite before they start work.

An SRS representative monitors the quality and safety of the work while contractors are carrying out their duties.

5.2 Purchasing

5.2.1 Materials

The Rolling Stock Manager specify purchasing needs and establish quality, serviceability and safety requirements for the material on a purchasing request form which is submitted to the Manager for approval. The Rolling Stock Manager is responsible for accepting materials and checking that they comply with the requirements documented on the purchasing form. The Manager is responsible for making sure suitable checks have been carried out when accepting materials before authorising payment for the items.

5.2.2 Fuel

Fuel for locomotives is delivered directly from an authorised fuel supplier's road tanker to the locomotive fuel tanks. Fuel distributor will be authorised by the relevant site owner.

5.2.3 Records

Purchasing records for materials and fuel are held by the Operations Manager in the SRS office. The Operations Manager also keeps records of suppliers who have failed to meet rail safety standards and these records are used to identify suitable suppliers.

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6. Engineering and Operational Systems Safety

6.1 General.

SRS has no direct responsibility for infrastructure owned and managed by the network owner. However, when operating on part of the mainline network SRS complies with the network owner's rail safety systems and reports any infrastructure-related incidents to the network owner. The responsibilities of each party are defined in the Track Access Agreement between SRS and the network owner.

6.1.1. Track and Infrastructure

SRS has no responsibility for managing track or infrastructure.

6.1.2 Rolling Stock

SRS follows the operational mechanical standards specified by the network owner under the Track Access Agreement, which includes such information as:

Rolling stock outline diagrams

Appropriate and sufficient drawings to adequately maintain rolling stock operated by SRS

Relevant parts of the applicable Railways of Australia Manual of Standards and Recommended Practice and

.

All rolling stock is certified as being fit for intended purpose in accordance with the provisions of this Safety Management System.

Rolling stock is frequently inspected in accordance with Safety Management System procedures to ensure its safety while in service.

Details of all SRS rolling stock, leased or on loan, are recorded in the Rolling Stock Register.

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6.1.3 Signalling and Telecommunications Systems and Equipment

Signalling infrastructure on the mainline between Sandgate and Main line is the responsibility of the network owner.

SRS uses hand held and fixed base radio communication systems for its operations. These systems comply with mandatory communications industry standards. Management and maintenance of communication equipment is carried out according to the provisions of this Safety Management System.

6.1.4 Operations and Train Control Systems

SRS operations on the mainline follow the network owner's standards and rules.

Rail operations within the Sandgate Terminal are conducted according to Safety Interface agreement:

6.1.5 Interface with Other Transport Modes

Interface with other modes of transport occurs on the mainline rail network and the network owner has responsibility for the level crossing equipment standards.

Interface with the network will be as required by the network owner and as specified in the Rolling Stock Manual of the network owner.

6.2 Process Control

SRS has a series of operational and engineering procedures to ensure the safe operation of its rail services. These procedures set out processes for identifying and responding to risks in rail operations, responding to emergencies, managing changing circumstances and making sure the procedures are understood and effectively applied to allow SRS to operate with safety.

6.2.1 Track and Infrastructure

Maintenance work, inspection and testing of track within the Sandgate Terminal is undertaken to maintain it in accordance with the safety interface plan for Sandgate siding and is the responsibility of the siding owner.

6.2.2 Rolling Stock

Rolling Stock Certification

Any work, inspection or testing on SRS operated rolling stock is undertaken to ensure the rolling stock meets the network owner's standards which are located online.

SRS uses suitably qualified and competent persons to inspect its rolling stock. The persons conducting inspections certify in writing that, at the time of inspection, the rolling stock is in a structural and mechanical condition that is safe for its intended use.

Rolling Stock Certification Forms are issued and signed by the person conducting the inspection. Rolling stock not certified in accordance with these conditions is never used for operational purposes.

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Locomotives and other rolling stock used on SRS trains are inspected by suitably qualified and approved inspectors and certified as being fit for purpose and meeting the network owner's standards

Locomotives and other rolling stock that fail either the engineering or operational mechanical inspection process are not used on SRS train services or moved on the main line. . These locomotives and rolling stock are not used until all matters requiring attention have been completed, re-inspection carried out and certification issued.

Only rolling stock listed in the Rolling Stock Register as approved and certified is used on SRS train services. The Register also indicates the certification status of all rolling stock held by SRS.

Additional rolling stock acquired by SRS for operational requirements is examined and certified as fit for purpose, in accordance with this section, and a request for variation to Certificates of compliance signed and issued by rolling stock inspectors are retained on file at the company office.

Rolling Stock Operating Standards

Rolling stock operating standards (axle loads, tare, capacity, draw gear and speed) are documented in the relevant track owners Train operating conditions or Access agreement.

Trailing loads for each locomotive classification is based on the network owner's approved ruling grade loads defined in the network owner's Working Timetables.

Restrictions applied by the network owner, in addition to the documented standards, are imposed through the issue of the network owner's Special Train Notices.

Rolling Stock Maintenance

Rolling stock operated by SRS, is maintained in accordance with the network Rolling Stock standards

6.2.3 Communications

Communications for mainline operations and shunting activity within Private sidings/terminals is by radio using the standard operational channels approved by the network owner. Back up facilities are the Telstra phones for train operations information and shunting hand signals for shunting activities. Where communication failure occurs on the network, train crew comply with the network owner's Rules covering the specific circumstances at the time of failure.

Mainline locomotives are fitted with appropriate radio equipment and ground shunting staff will be issued with hand held radios.

Operating channels are: Mainline (Train/Train Control) Channel 1 Shunting in yards and terminals Channel 2.

The Operations Manager is responsible for the safe storage, testing and maintenance of all hand held radios. Radios are tested and their batteries recharged before being issued.

Train crews must test locomotive fixed radio equipment at the beginning of each shift and this must be done before moving the locomotive for any purpose.

Staff will be required to report all radio faults to the Manager.

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SRS maintains a register of hand held and fixed radios. Any lost or stolen radio equipment is recorded in the register and the network owner's Train Control Centre at Broadmeadow and Sydney are immediately informed of the loss to make the network owner's Train Control aware of the potential for misuse of the equipment.

The network owner's standard radio procedures are used for communications by radio and crews are trained in these procedures.

6.2.4 Operations Systems

Private sidings / Terminals

Operations within private sidings/terminals are performed in accordance with:

Network rules and procedures

Safety interface agreements

Mainline Rail Network

SRS operations on the mainline rail network are conducted in accordance with:

The network owner's Rules as required under the terms of the Track Access Agreement.

SRS staff working on the mainline network must hold appropriate rail safety qualifications and current Track Access Accreditation from the network owner.

SRS negotiates schedules with at least 72 hours’ notice. Approved services are documented in the network owner's Weekly Notice and by the issue of Special Train Notices.

Train crew are provided with the following information before taking responsibility for their train:

Train service schedule (Weekly Notice or Special Train Notice)

Where applicable, notification of any special operations restriction related to the section of line (Speed Restrictions).

A completed Train Load Advice to Driver (SRS F 013)

Train Examination Certificate (SRS F 018)

Written notification of any special SRS operational requirements for the service.

Drivers must not allow their train to enter the mainline rail network until they have permission from the network owner's Train Control and access is in accordance with the Train Operations manual (STD 013).

Train Control Systems

Train Control systems are the responsibility of the network owner. SRS operates under the direction of the network owner's Train Controllers while operating on the rail network.

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6.3 Design and Development

Because of the nature of its operations SRS does not design and develop new equipment.

6.4 Inspection and Testing

6.4.1 General

Rolling Stock

Pre-Accreditation Inspection and Testing

All rolling stock used for operational purposes is certified by a suitably qualified person engaged by SRS, as:

Having no modifications to the rolling stock that degrades operational safety

Being structurally sound, at the time of the inspection, for the intended use and operating standards specified by SRS and

Being maintained to the operational mechanical standard required by the network owner.

Signed certifications are provided to the rail safety regulator, and copies are stored at the company office.

Rolling Stock Track Access Inspection and Certification

All rolling stock proposed by SRS to operate over the mainline rail network is certified by a suitably qualified person. The Track Access Agreement requires that, at the time of inspection, all rolling stock meets the network owner's rolling stock operational standards and is certified by an approved person as being suitable for the safe operation on rail freight services under the operating conditions specified by SRS.

Rolling Stock Train Examination

Train examination is conducted in accordance with the Train Examination Procedure (SRS S 013) prior to the departure of each mainline train service.

Train preparation inspection and testing requirements comply with the network owner's train examination, brake and continuity testing requirements within the network owner's Safeworking Rules.

Signalling and Communications

The Operations Manager inspects all radio equipment before it is issued and on its return. An external service provider carries out repairs to faulty equipment.

Locomotive radios are inspected and tested by drivers at the beginning of each shift and failures in service are recorded on the Locomotive and wagon fault notice Form (SRS F 012) and reported to the Operations Manager on arrival back at Sandgate Terminal. The Operations Manager is responsible for any corrective action necessary.

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Operations

Compliance safety audits are conducted in accordance with the process set out at section 2.9.

Mainline operations on the mainline network are subject to inspection by the SRS Driver Trainers and recording of instances where rail safety requirements have not been observed by the network owner's Train Control. The Operations Manager follows up all notifiable occurrences brought to the attention of SRS by any other party.

The Operations Manager keeps records of all instances where rail safety requirements have not been observed, records them on personnel records where relevant and reports then to Management Committee meetings along with any corrective actions.

6.4.2 Inspection Frequency

The inspection frequency for essential processes such as rolling stock inspections are detailed in STD 014. The frequency of inspection and testing for each process system has been established by taking into account the following:

Traffic volume, operational speed and load limits

Known or estimated rate of deterioration of critical elements

Consequence of failure of any part of the system

Adverse environmental factors

Incident or accident experience.

6.4.3 Inspection and Test Records

Records of all certifications, inspection and tests of the track, rolling stock and equipment are verified on forms attached to the relevant procedures and are maintained as safety records in accordance with provisions of this Rail Safety Management Plan.

6.4.4 Inspection and Test Status

The inspection and test status of:

Track within Terminals is maintained as per The Interface Agreement

Rolling stock certifications are maintained in the Rolling Stock Register

Audits are maintained on the Audit Log

Fire extinguishers are maintained on the Fire Extinguisher Register

.

6.4.5 Corrective Actions

Corrective actions for non-conformances are documented on the Non-Conformance Report Form (SRS F 008) and all corrective actions are checked by the Management Committee. After implementation of the corrective action the Management Committee reviews the response to the corrective action to make sure it has been effective.

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7. Interface Management

The Management Committee is responsible for identifying and recording interfaces between SRS operations and other rail operators, other organisations and individuals. An Interface Register is kept which is reviewed by the Management Committee each year to determine whether any changes have arisen with interfaces.

The primary interface is between SRS and the mainline rail network when SRS operates on the mainline. This interface is controlled by the Track Access Agreement between SRS and the network owner. Under this agreement:

SRS complies with all train control, safe working, signalling, communication and emergency procedures established by the network owner

All SRS rolling stock is assessed for its suitability for operation on the network owner's track

SRS in its operations on this line complies with all interface requirements set down by the network owner with respect to other rail operators, other transport providers and landholders.

8. Occurrence Management

8.1 Occurrence Notification and Management

8.1.1 Procedure for notification of occurrences

Staff will be encouraged to report incidents to managers using the Incident Notification Form (SRS F 022).

The Operations Manager is responsible for notifying occurrences to the rail safety regulator in accordance with relevant legal requirements.

8.1.2 Recording and Analysis

All reported rail safety occurrences are recorded on the approved form as required by the rail safety regulator.

Occurrence notifications are numbered in sequence as each occurrence is reported. Investigation reports are allocated an individual file reference and cross-referenced to the relevant notification form. Records are kept at the office of SRS.

Records of occurrences are placed on the incident register F 016 and are analysed to detect any pattern in safety performance and to assess performance against safety goals. Records are also examined to identify any safety issues not previously dealt with.

8.1.3 Investigations

SRS facilitates the involvement of authorised authorities in the investigation of any occurrence involving SRS rail operations.

SRS has two approaches to conducting its own investigations, depending on where the occurrence happened. The two operating areas involved are:

Within rail Yards and sidings Accessed by SRS.

When operating under the Track Access Agreement on the mainline.

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Terminals

When an occurrence happens at the Sandgate or other Terminal, staff will report the occurrence on the relevant form to the Operations Manager, or in his absence to the General Manager.

Staff are required to provide the following details about the occurrence:

Where the occurrence happened

When the occurrence happened (date and time)

A list of witnesses, with their addresses and telephone numbers

Details of damage

Action taken in response

Train crew names

Any other relevant and appropriate information.

The Management Committee investigates occurrences to determine what happened and to discover all contributing factors. When an occurrence is a Category A event as listed in Appendix C of AS4292.1 (2006) and the investigation requires specialist knowledge not available from the management of SRS, the Operations Manager arranges for an external person with the necessary knowledge to participate in the investigation.

Any recommendations made in an investigation report are considered promptly and implemented as necessary.

Mainline Rail Network

Where an occurrence involving SRS operations happens on the mainline rail network, investigations are carried out according to the provisions of the Track Access Agreement. Where a joint investigation is not conducted into an occurrence SRS may hold its own investigation.

8.1.4 Review and Rectification Process

The Management Committee reviews occurrence notifications and investigation reports, considers any recommendations and implement necessary corrective action to fix rail safety problems. The Management Committee monitors progress on implementing corrective action until the action has been finalised and its effectiveness determined. The Management Committee also reviews occurrence data to detect any trends that may require corrective action.

8.1.5 Occupational Health and Safety Incidents and Investigations

Workplace accidents are recorded, notified and investigated according to legal requirements set out in relevant occupational health and safety legislation.

8.2 Emergency Response

Responsibilities for and management of the SRS emergency response are divided into two areas. These are:

As operator of activities at yards and sidings and

As an operator under a Track Access Agreement for mainline operation.

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8.2.1 Sandgate Terminal

Will be as per the Interface Agreement

8.2.2 Mainline Network

SRS staff immediately Protect opposite running lines and notify the network owner's Train Control of an emergency occurring on the network owner's track. The network owner's Train Controller has the responsibility to implement emergency procedures and notify all relevant authorities. SRS employees abide by the network owner's emergency procedures and follow any instructions given by the network owner's Train Controllers.

8.2.3 Recovery Procedures

Under the Track Access Agreement SRS is responsible for recovery procedures arising from an accident, incident or train break down on the network owner's track. In these circumstances SRS will provide all reasonable assistance to the network owner in accordance with SRS Incident Management Procedure.

8.2.4 Preservation of Evidence

Under the emergency response procedure for the Sandgate Terminal, the Operations Manager is responsible for preserving any evidence related to an emergency. This could involve preserving relevant records, rolling stock, plant equipment and securing the site where the emergency took place.

Preservation of evidence may be for an extended period depending on the nature of the emergency and the needs of the resulting investigation. The Manager is responsible for making available relevant evidence to those carrying out any inquiries.

Where an emergency involving SRS operations occurs on the mainline, SRS co-operates with the network owner's to preserve necessary evidence for investigation.

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9. Responsibility

The General Manager is responsible for this document, which includes its

approval, monitoring compliance and review.

10. References and Related Documents Rail Safety National Law (NSW) 82a

Rail Safety National Regulation 2012

QLD transport (Rail Safety) ACT 2010

SRS SMS all Standards

11. Document History This document is the Document Management Standard used within the Sydney

Rail Services and, as such, the changes will be listed as the list below describes.

Version

Date of Approval Summary of change

4.0 August 2013 New Document

5.0 January 2016 Document rewrite multiple changes.

Document formatting headers Footers and

document control updated inline with SRS STD

009.