Australian Network Rules and Procedures Development Policy Revision 1-12 9 February 2012
Australian Network Rules and Procedures Development 1 Document Control Status Issue- Date Prepared Reviewed Approved Revision Draft 1-3 21/9/2006 Frank 12/10/06 Client Hussey Draft 1-4 12/10/06 Mark 18/10/2006 Felstead Draft 1-5 20/10/2006 Mark 9/11/2006 Felstead Draft 1-6 13/11/2006 Mark 13/12/2006 Felstead Draft 1-7 19/12/2006 Mark 23/2/2007 Felstead Draft 1-8 3/4/2007 Mark 10/5/2007 Felstead Draft 1-9 17/12/2008 Kevin 17/12/2008 Taylor Draft 1-10 17/03/2010 Kevin Taylor 26/02/2010 Board Approved 1-11 01/04/2010 Kevin Taylor 17/03/2010 RISSB Board Approved 1-12 09/02/2012 Joe Thompson 09/02/2012 AMC approved
Australian Network Rules and Procedures Development 2 Amendments Register Issue Section Date Detail Authority 1.7 S2 Point 6 1.8 All 17/12/200 8 3/4/2007 Point to read The person who introduces the risk must ensure that the risk is appropriately managed. Amended Endorsement sheet. Included section on Core Rules. Removed section about RISSB providing training docs (responsibility of access providers and users). Pagination etc. undertaken AMC AMC 1.9 To include Stage 2 issues AMC 1.12 All 09/02/201 2 AMC Amendments to Risk Management reference Amendments to Core and Non-Core ANRP Amendments to Organisational Operating handbook development
Australian Network Rules and Procedures Development 3 Contents 1 Scope... 4 2 Safeworking principles... 4 3 Legislation, Australian Standards and Codes of Practice... 5 4 The Relationship between Rules, Procedures and Work Instructions... 6 5 Core Rules and Procedures... 7 6 Non-Core Rules and Procedures... 8 7 Organisational Operating Handbook Development... 9 8 ANRP Development... 9 9 Document Distribution... 10 10 Changes to the ANRP... 10 11 Implementation... 11 12 ANRP Performance Monitoring... 11 13 Risk management... 11 14 Training and Assessment... 12 15 AS 4292.5 2006 Occupancy table... 12
Australian Network Rules and Procedures Development 4 1 Scope This Policy sets the overall framework for the development and management of the Australian Network Rules and Procedures (ANRP), and the conditions for ensuring their use in promoting the safety of rail operations throughout Australia. The ANRP sets out the principal national safeworking rules and procedures for access providers and access users. In essence, this means the rules and procedures for the safe and proper operation of trains and the protection of employees, passengers, freight and vehicles on the rail corridor, including loops and yards owned and managed by the access provider. This Policy sets the framework for how ANRP are developed, maintained and distributed. They are risk based in their development and application and each rule, when adopted is to be complied with in its entirety although slight wording change is permissible providing the intent and outcome of the Rule and Procedure is not compromised. The Policy provides the context for the ANRP, which should assist with implementation and interface requirements between Track Access providers and Access users. It also provides the context and guidance for the development of ANRP training curricula and materials. 2 Safeworking principles Safeworking principles have been developed to provide a coherent framework for the development of the ANRP. These principles provide a link between overarching general policies and more specific rule development. The following principles were developed in consultation with industry: a. When on track and in the Danger Zone, all workers must be protected. b. People must have identified safe places when on track and must be separated from rail traffic at all times. c. If rail traffic cannot be separated from people, it must be managed to ensure the safety of people on track. d. Work on track must only be carried out using a defined work on track method or authority. e. A safety assessment must be completed before persons enter the Danger Zone. f. The person who introduces the risk must ensure that the risk is appropriately managed. g. A simplified and common system for degraded operations should be formulated to apply in all systems of safeworking. h. Workers must be provided with all relevant information and workers must be warned about hazards in the rail corridor. i. Qualified Workers must have the ability and responsibility to carry out a safety assessment where appropriate. j. Safe rail traffic separation must be maintained.
Australian Network Rules and Procedures Development 5 k. Safe routes must be established for all rail traffic. l. Rail traffic integrity must be ensured before and during a journey. m. Common protocols and methods for communication must be adopted. 3 Legislation, Australian Standards and Codes of Practice The ANRP Project s suite of documentation has been developed to ensure consistency with relevant legislation and has utilised standards and codes that promote: best safety practice; and harmonisation with the Standards, Codes of Practice and Guidelines of the Australian Code of Practice. The content of the ANRP has been developed to be aligned with: Model Rail Safety Legislation State and Territory governments have agreed to implement national model rail safety legislation and the ANRP has been developed to accord with this legislation. The ANRP has been developed to be consistent with: AS 4292 Railway Safety Management - AS 4292 is the principal standards document that must be considered when Safeworking documentation is drafted or revised. National Code of Practice for Operations and Safeworking - One of the National Codes of Practice for Railways, Operations and Safeworking, it is aimed at encouraging harmonisation of safeworking practices across Australia. The National Codes are consistent with, and in part derive from, AS 4292. AS/NZS ISO 31000:2009 Risk Assessment - Published by Standards Australia, AS/NZS ISO 3100:2009 provides a generic guide for the establishment and implementation of the risk management process involving the identification, analysis, evaluation, treatment and ongoing monitoring of risks as well as describing a general methodology for implementing risk management in organisations. The style and format guide developed by The RISSB has been used as a basis for the style and format used to develop the ANRP.
Australian Network Rules and Procedures Development 6 4 The Relationship between Rules, Procedures and Work Instructions The ANRP is part of a set of four levels of documents that form the basis of training and instructional material for rail safety workers. These provide detailed instructions for carrying out particular tasks or responding to certain situations. The ANRP consists of the level one policy document and the level two suite of rules and procedures only. Figure 1: Document Layers The Rail Industry Safety and Standards Board (RISSB) is only responsible for the development and management of Level 1 and Level 2 documentation. The RISSB is advised and assisted by the ANRP Management Committee (AMC) which consists of representatives from Access Providers. Other documentation (Level 3, Level 4) and the implementation of Level 2 is the responsibility of the Access Providers and the Access users. The RISSB will, however, establish procedures and processes to ensure the integrity of Level 2 is maintained when implemented. The ANRP Concept of Operation details principles concerning the development of the Level 2 suite, its format and structure and the nature of Level 3 and Level 4 materials.
Australian Network Rules and Procedures Development 7 5 Core Rules and Procedures There are a number of rules and procedures that must be utilised (core rules and procedures) when drawing down on The RISSB ANRP. These rules and procedures are to be incorporated by Access Providers when developing handbooks. WOT System Train Ops General processes Signals ANRP 3000 Planning work in the Rail Corridor ANRP 4001 Protecting rail traffic ANRP 2001 Walking in the Danger Zone ANRP 3001 Local Possession Authority ANRP 3002 Using a Local Possession Authority ANRP 3005 Track Occupancy Authority ANRP 3006 Using a Track Occupancy Authority ANRP 3009 Track Work Authority ANRP 3010 Using a Track Work Authority ANRP 3019 Track Vehicles ANRP 3020 Track vehicle travel ANRP 3025 Temporary Speed Restrictions ANRP 9010 Protecting work from rail traffic on adjacent lines ANRP 4002 Protecting rail traffic - Procedure ANRP 4003 Rail traffic integrity ANRP 4005 Rail traffic lights and markers ANRP 4007 Rail traffic whistles ANRP 4009 Disabled rail traffic ANRP 4013 Shunting and marshalling ANRP 4015 Setting back or propelling on running lines ANRP 5019 Alternative Proceed Authority ANRP 6001 Overrun of limit of authority ANRP 9012 Operation of points ANRP 9014 Written rail traffic Authorities and forms ANRP 2003 Handsignals and verbal commands ANRP 2007 Network communication ANRP 2008 Spoken and written communication ANRP 2009 Reporting and Responding to a Condition Affecting the Network ANRP 2013 Speed restrictions during hot weather ANRP 2015 Active control level crossing management ANRP 2016 Protecting active control level crossings ANRP 2025 Communications equipment ANRP 9006 Piloting rail traffic ANRP 6005 Fixed signals ANRP 6007 Signs - General ANRP 6011 Responding to signals and signs ANRP 6013 Passing fixed signals at STOP
Australian Network Rules and Procedures Development 8 6 Non-Core Rules and Procedures Access Providers will draw down relevant rules and procedures for their operations from the RISSB ANRP suite, if applicable to their network. WOT System Train Ops ANRP 3011 Absolute Signal Blocking ANRP 3012 Using Absolute Signal Blocking ANRP 3013 Lookout Working ANRP 3014 Using Lookouts ANRP 3015 Infrastructure Booking Authority ANRP 3016 Using Infrastructure Booking Authorities ANRP 3017 Work trains ANRP 3021 Work that affects TRC or TC ANRP 3023 Electronic Authority System Blocking ANRP 3024 Working using Electronic Authority System Blocking ANRP 9002 Using XYZ keys ANRP 9008 Managing multiple worksites in a LPA ANRP 5001 Centralised Traffic Control system ANRP 5009 Electric Staff system ANRP 5013 Staff and Ticket system ANRP 5014 Using staffs and tickets ANRP 5017 Manual Train Order Working ANRP 4011 Yard limits ANRP 5023 Manual block working ANRP 5025 Work Authority ANRP 5027 Single Line Working ANRP 5028 Using Single Line Working General processes ANRP 2011 Responding to a major incident ANRP 2025 Communication s equipment ANRP 9000 Clipping points ANRP 9006 Piloting rail traffic Signals ANRP 6003 Blocking facilities ANRP 6009 Indicators
Australian Network Rules and Procedures Development 9 7 Organisational Operating Handbook Development Organisations may compile a document that incorporates the required Level 2 rules and procedures (drawn down from the ANRP) with their own relevant organisational documentation resulting in an Organisational Operating Handbook. 8 ANRP Development The ANRP is owned by the Rail Industry Safety and Standards Board (RISSB). The ANRP is held within the structure of the Australian Codes of Practice (ACOP), which includes the following: Australian Network Rules and Procedures. Standards rolling stock, civil and electrical infrastructure, operations and performance, train control systems, safety, and wheel rail interfaces Codes of Practice in line with the domains for standards. Guidelines various subjects. The ANRP documentation set will be readily accessible from the RISSB website free of charge to Access Providers who have an endorsed access agreement. Registered user organisations (Access Providers and Access Users) will draw down rules in the format held by the RISSB. The draw down facility will be managed by software available on the website. The matrix of the ANRP and its application within various environments will be developed and maintained on the RISSB website as a ready reference to understand where various rules and procedures are applied. Following approval of the ANRP by the RISSB Board, the RISSB is to: issue the ANRP; provide ANRP documentation (including any changes) to registered users; apply RISSB s change management procedures when administering changes to the ANRP; ensure ongoing review of the ANRP in response to industry requirements and to accommodate future developments; maintain version control over ANRP documents so that the latest version is readily apparent to the user (or able to be verified) and easily accessible; present Level 2 documents accurately in a language clearly understood by all recipients; ensure the suitability and applicability of the rules and procedures is monitored and reviews are carried out on a regular basis; and ensure the integrity of the Level 2 rules and procedures is maintained by using a formal adoption process such as a licensing framework or other appropriate mechanism.
Australian Network Rules and Procedures Development 10 9 Document Distribution RISSB will maintain a documentation development and distribution process which: makes sure that registered user organisations are consulted about and are aware of changes, reflects the responsibilities of registered users, and meets risk management and quality assurance requirements. The objectives of the distribution process include: timeliness of distribution; cost efficiency; use of information technology (including web based solutions); and awareness of the needs of operators and maintainers including the level of usage of different media. To ensure the imperative that current, up to date material is available to those required to apply the ANRP suite, a complete and accurate set of the L2 rules and procedures will be maintained on the RISSB internet website. To maintain document integrity and control, electronic versions of publications downloaded and locally printed will be considered to be beyond RISSB s control process and are current only at the time of download. 10 Changes to the ANRP The ANRP will be a dynamic set of documents that will be maintained in a controlled and safe manner. Any changes will be controlled through a defined and approved Change Management Process. This will involve a consultation process whereby applicable organisations requirements, view and reviews will be considered. The proposer of a change must provide: justification for the proposed change, and risk analysis of the operational impact of the proposed change. Adoption of any change to ANRP will be assessed and agreed by the AMC then formally approved by the RISSB. The change management process will be managed by the RISSB in accordance with its established process for maintenance of the ACOP. This process is characterised by the following: Change proposals can be submitted by any stakeholder.
Australian Network Rules and Procedures Development 11 ANRP change priorities will be determined by the RISSB in consultation with the relevant stakeholders. Revisions are to be drafted and then subjected to industry stakeholder consultation. Revisions are to be subjected to a risk assessment and an independent validation. Revisions are then subjected to a final review and endorsement by the AMC. Revisions will be formally approved by the Rail Industry Safety and Standards Board. 11 Implementation The ANRP and/or any revisions to it may be implemented in a staged manner over the various networks as determined by the different Access Providers. Implementation is the sole responsibility of Access Providers and they will be required to engage all affected parties to ensure the network resource information is properly implemented. 12 ANRP Performance Monitoring The RISSB will monitor the ongoing efficacy of the ANRP to ensure that it is meeting the needs of the Australian railway industry. Performance monitoring will be achieved by encouraging stakeholder feedback to the RISSB ANRP Manager whenever a potential ANRP deficiency is encountered. Additionally, the RISSB will actively seek comment on the performance of the ANRP from key stakeholders as part of its ongoing management responsibility. 13 Risk management All ANRP development is undertaken using a risk based approach to identify and assess potential risks in the management and use of the ANRP L1 and L2 suite. ANRP risk assessment encompasses the principles of AS/NZS ISO 31000:2009, and is further supported by RISSB s adoption of the requirements of AS/NZS ISO 31000:2009. All rules and procedures have been developed with SFAIRP in mind. Access providers and access users will use their own risk management processes to determine what risk control measures they may require in order to adopt the ANRP, and how they are to be used and monitored. The RISSB expects that risks will be assessed and appropriately controlled before any activity is carried out that is reliant on elements of the ANRP. Where hazards cannot be eliminated, appropriate levels of hazard mitigation should be in place.
Australian Network Rules and Procedures Development 12 14 Training and Assessment Training and certification for competence of rail safety workers in ANRP is the responsibility of Access Providers and Access Users. This means they must have in place: the appropriate training and assessment programs, confirmation of accreditation of persons delivering training and assessment, certification of rail safety worker competence, documentation detailing attainment and currency of competence, and periodic reassessment of competence. Training organisations that deliver training in the ANRP and/or undertake the associated assessment must be a Registered Training Organisation (RTO) with Transport and Distribution (Rail) registration as defined by the Department of Education, Science and Training (DEST). 15 AS 4292.5 2006 Occupancy table The ANRP has been developed to be consistent with the principles of AS4292.5. The principles outlined in the Occupancy table will be comprehended and any changes to it will be progressed through Standards Australia. An agreed table will be appended to this document.