rail safety management plan - genesee & wyoming · rail safety management plan gwa addendum to...

Genesee & Wyoming Australia Document Number: RS-PLN-001 Document Version Number: 005 Document Issue Date: 01.12.2007

GWA Rail Safety Document Issuing Section: Rail Safety

RAIL SAFETY MANAGEMENT PLAN

THIS DOCUMENT IS UNCONTROLLED WHEN COPIED OR PRINTED

Genesee & Wyoming Australia Document Number: RS-PLN-001

Document Version: 005 Date of Issue: 01.12.2007 of 79

AMENDMENTS Page Number

Issue Number

Date of Issue

Amendment Details

All 1 01.04.2003 Annual Review. Allocation of new document number.

All 2 01.08.2004 Annual Review. All 3 01.12.2004 Modified to reflect restructure and creation of

ARG Eastern Region. All 4 01.01.2007 Updated to reflect transition of organisation

from ASR to GWA and to meet requirements of AS/NZS 4292.1 (2006) and NAP (Version 2).

All 5 01.12.2007 Reviewed and updated to capture requirements of Victorian Rail Safety Act 2006

DOCUMENT REVIEW AND AUTHORISATION DETAILS Document Created By: Name: S MacGregor

Position: National Rail Safety Manager

Signature: Original Signed Date: 20 December 2007

Document Reviewed By: Name: V Hoey Position: National Human Resources Manager

Signature: Original Signed Date: 20 December 2007

Document Authorised By: Name: R Easthope Position: Managing Director

Signature: Original Signed

Date: 20 December 2007



TABLE OF CONTENTS 1. RAIL SAFETY ACCREDITATION .................................................................. 6

2. PURPOSE ..................................................................................................... 6

3. SCOPE .......................................................................................................... 7

4. REFERENCES .............................................................................................. 7

5. DEFINITIONS ................................................................................................ 7

6. RESPONSIBILITIES RELATIVE TO THIS PLAN........................................... 7

7. THE ORGANISATION ................................................................................... 8

7.1 ORIGINS ....................................................................................................... 8

7.2 OPERATIONS ............................................................................................... 8

7.3. GWA RAIL NETWORK .................................................................................. 9

7.4. ACCREDITATION........................................................................................ 10

8. GWA SAFETY MANAGEMENT SYSTEM.................................................... 10

8.1 SAFETY PRINCIPLES................................................................................. 10

8.2 SAFETY POLICY......................................................................................... 12

8.3 MANAGEMENT AND GOVERNANCE......................................................... 13

8.4 RESPONSIBILITIES AND AUTHORITIES ................................................... 14

8.5 RESOURCE MANAGEMENT ...................................................................... 14

8.6 REGULATORY COMPLIANCE.................................................................... 15

8.7 DOCUMENT AND DATA CONTROL........................................................... 16

8.8. KEY PERFORMANCE INDICATORS AND PERFRMANCE MONITORING 17

8.9. SMS REVIEW.............................................................................................. 18

8.10 SAFETY AUDITING..................................................................................... 18

8.11 CHANGE MANAGEMENT ........................................................................... 19

8.12 HUMAN FACTORS...................................................................................... 20

8.13 SECURITY PLANNING................................................................................ 20

8.14 SAFETY CULTURE, CONSULTATION AND COMMUNICATION ............... 21

8.15 RISK MANAGEMENT.................................................................................. 22

8.16 PERSONNEL MANAGEMENT .................................................................... 24

8.17 GOODS AND SERVICES PROCUREMENT ............................................... 27

8.18 ENGINEERING AND OPERATIONAL SYSTEM SAFETY........................... 29

8.19. ASSET MANAGEMENT............................................................................... 44

8.20. INTERFACE COORDINATION.................................................................... 44

8.21. OCCURRENCE AND EMERGENCY MANAGEMENT................................. 45



ATTACHMENT A – MATRIX OF GWA PROCEDURES AND DOCUMENTS.......... 48

ATTACHMENT B – ORGANSIATION STRUCTURES ............................................ 73

ATTACHMENT C - TABLE OF GWA INTERFACE COORDINATION PLANS AND SAFETY INTERFACE AGREEMENTS ................................................................... 76



Australian Standard AS 4292:2006 and NAP (V:2)

Code of Practice for the Australian Railway Network

Volume One Volume Two

Volume Three – Part One Operations & Safeworking

Volume Four Volume Five

GWA SMS and Rail Safety Management Plan

GWA Addendum to CoP ARN Other Network

Codes and Addenda

Interface Coordination Plans & Safety Interface Agreements

GWA Emergency Response & Incident Management Plans

Various Rail Safety Procedures

GWA Operations Bulletins

GWA Air Brake and Train Handling Rules

GWA Network Operating Guide

Figure 1: Hierarchy of GWA Rail Safety Documentation

Other Network Appendices

Other Network Emergency Response & Incident Management Plans and rail safety procedures.

Rail Safety Acts, Regulations and Guidelines



1. RAIL SAFETY ACCREDITATION

Under the various Rail Safety Acts and Regulations that apply to railway operations in Australia, Railway Organisations are required to attain and maintain accreditation for the activities and services they perform. Conditions may be attached to this accreditation by the Regulating Authority or be enshrined in applicable legislation. One such condition is the requirement for Railway Organisations to develop and maintain a robust Safety Management System (SMS) which defines the scope and limits of railway operations and the means by which they are safely managed. Depending on the regulatory jurisdiction involved, the SMS must be able to satisfy the requirements of one of the following: � Australian Standard AS/NZS 4292.1 (2006) Railway safety management; � The National Rail Safety Accreditation Package (NAP); or � Specific Rail Safety Acts and Regulations.

In keeping with the guidelines and requirements contained within these documents, the GWA SMS provides: � An unequivocal commitment by Senior Management to safety and

continuous improvement in safety management and culture; � Recognition of the importance of a collaborative, open and consultative

approach to risk management including the performance of regular and planned management system reviews;

� Systematic and comprehensive processes for proactive risk management and systemic controls for the identification of hazards;

� Evaluation and review processes, including internal and external audits and inspections;

� Technical and personnel operating, engineering and maintenance standards; and

� Technical maintenance standards. 2. PURPOSE

This Plan is designed to provide an overview of the Genesee & Wyoming Australia Safety Management System. In the process, it shall demonstrate compliance with the conditions attached to the organisation’s Rail Safety accreditation in the various jurisdictions it operates in. The Purpose shall be achieved by calling up the various elements of both AS/NZS 4292.1:2006 and the NAP and providing evidence of the existence of corresponding GWA processes – refer to Section 8 and Attachment A for a comprehensive summary of these processes and the procedures that document them.



Although not designed as an integrated system, the GWA SMS draws on elements of other management systems such as Occupational Health and Safety; Environmental Management and Quality Assurance and where appropriate, may be used to demonstrate compliance with certain requirements of these systems.

3. SCOPE

This Plan shall apply to Genesee & Wyoming Australia (GWA).

4. REFERENCES The principal references that relate to this document are:

� Northern Territory Rail Safety Act (1998) � South Australian Rail Safety Act (1996) � New South Wales Rail Safety Act (2002) � Victorian Rail Safety Act (2006) � Western Australian Rail Safety Act (1998), � Queensland Transport Infrastructure Act (1994) � South Australian Occupational Health and Safety Act (1986) � South Australian Environmental Protection Act (1993) � AS 4292.1 (2006) Railway safety management � National Rail Safety Accreditation Package (Version 2) � AS 4292.7 (2006) Railway safety investigation � AS 4360:2004 Risk management � HB 436:2004 Risk management guidelines � AS 3931:1998 Risk analysis of technological systems. � AS/NZS ISO 9001 Quality Management System - Requirements � AS/NZS ISO 14001 Environmental Management System Standard

5. DEFINITIONS

This document uses terminology contained in Australian Standard AS 4292.1:2006 Railway safety management and the National Rail Safety Accreditation Package (version 2) and the following:

6. RESPONSIBILITIES RELATIVE TO THIS PLAN 6.1 Managing Director The Managing Director shall be responsible for ensuring that the organisation

develops and maintains an SMS, which meets the requirements of the conditions attached to the organisation’s accreditation as a Railway Owner and Operator.

6.2 National Rail Safety Manager

The National Rail Safety Manager shall be responsible for developing, implementing, maintaining and monitoring the SMS in accordance with any conditions attached to the organisation’s accreditation. The National Rail Safety Manager shall also be responsible for developing a documented overview of the organisation’s SMS.



7. THE ORGANISATION

7.1 ORIGINS

Genesee and Wyoming Australia (GWA) was formed in June 2006, following the sale of the Australian Railroad Group (ARG). GWA’s previous entity, Australia Southern Railroad, was a part of ARG and had its origins in 1997 when international railway operator Genesee & Wyoming Incorporated purchased the former Australian National’s freight business. In 2000, Genesee & Wyoming Incorporated (GWI) entered into a joint venture with Wesfarmers Ltd for the purchase of the West Rail freight business – the resultant company becoming ARG. When, ARG was sold in June 2006, GWI purchased Wesfarmer’s share in ASR and created Genesee & Wyoming Australia.

ASR subsequently sought and obtained a variation to its accreditation which recognised the organisation’s transition to GWA. Today, the company employs approximately 170 people and operates both interstate and intrastate freight services from its various depots in South Australia. Attachment B contains copies of Organisation Charts for GWI (relative to GWA); GWA Senior Management and the GWA Transportation Section.

7.2 OPERATIONS

GWA’s Interstate services extend to all mainland States and Territories except Queensland, while the organisation’s Intrastate operations extend over its own regional rail network (refer to section 7.3 below), as well as the Defined Interstate Rail Network and the TransAdelaide Broad Gauge Metropolitan Rail Network. GWA also operates ‘Hook and Pull’ services on behalf of other railway operators. The organisation owns and maintains its own rollingstock fleet, which it supplements on a ‘needs’ basis with items of leased rollingstock from contractors and other railway operators. On occasion, it also leases items of rollingstock to other Railway Operators. All services are crewed and marshalled by qualified and competent Rail Safety Workers, who drive locomotives, marshal trains and perform ground-shunting tasks. Train planning, logistics and the rostering of crews is carried out from the organisation’s main suburban depot at Dry Creek and at various regional locations.



7.3. GWA RAIL NETWORK

GWA owns and operates approximately 1290 kilometres of track and civil infrastructure in South Australia. Under the “Open Access” regime that applies in South Australia, arrangements are in place for other Operators to access the GWA railway network and its terminals and facilities. Movements on the GWA Rail Network are managed by Transport Control from Dry Creek. Transport Control also provides a Train Control function under contract to FreightLink for the Tarcoola – Darwin Railway. GWA has adopted the Code of Practice for the Australian Railway Network – formerly the Code of Practice for the Defined Interstate Rail Network - and the GWA Addendum to the Code of Practice (ARN) as the principal systems of safe working on the GWA Rail Network.

Figure 2: GWA’s Railway Network in South Australia (highlighted in red) and the corridors on the Defined Interstate Rail Network that the organisation routinely operates over.



7.4. ACCREDITATION

As ASR, the organisation achieved accreditation as an Operator of Railway Services from the Department of Infrastructure in Victoria on 17 November 1997.

Since then, the organisation has sought and obtained accreditation from other Regulatory Authorities to cover its various Intrastate and Interstate operations.

GWA is currently accredited as an Owner of Track and Civil Infrastructure in South Australia, and as an Operator of Railway Services in this jurisdiction, as well as the Northern Territory, Victoria, New South Wales, Queensland and Western Australia. The organisation is also accredited as an Owner of Limited Infrastructure (satellite communications systems for train control purposes) in the Northern Territory.

8. GWA SAFETY MANAGEMENT SYSTEM

Please note that this document addresses only those elements of AS/NZS 4292.1 (2006) and the National Rail Safety Accreditation Package (version 2) that apply to GWA and its operations.

For consistency and ease of use, the format of this section has been aligned to that of both AS/NZS 4291.1 and the NAP.

8.1 SAFETY PRINCIPLES [AS/NZS 4292.1 Section 1.6]

The GWA SMS aims to eliminate risk, and where this is not feasible or practical to lessen and adequately control it, by adherence to the following, fundamental safety principles: � The identification and management of risk; � The proper management of incidents and emergencies; � The adequate definition and management of interfaces between the

organisation’s rail safety activities and those of other parties; � The provision of appropriate levels of protection for workers and members of

the wider community; and � The protection of property, assets and the environment from damage. To this extent GWA shall: � Establish and foster a commitment to the principles of Safety Management

within the organisation; � Develop and maintain standards, procedures and risk control measures

commensurate with acceptable levels of risk; � Where applicable, implement the requirements of AS/NZS 4292.1, the NAP,

and specific pieces of rail safety legislation; � Develop and apply a structured review process to maintain and improve

existing systems and procedures; � Develop appropriate interface coordination plans and interface safety

agreements which define rail safety-related activities and responsibilities;



� Develop appropriate levels of worker competence through training and assessment for all functions relating to rail safety;

� Implement controls and measures to monitor appropriate performance levels; and

� Schedule and conduct regular audits of the SMS to ensure its ongoing compliance and effectiveness.

With regard to the functional aspects of the organisation’s operations, the GWA SMS contains documented elements for ensuring compliance and in so doing, the effective implementation of the abovementioned Safety Principles. These elements are detailed in the body of this document and cover: Operational Aspects: � Ensuring train integrity before and throughout a journey. � Maintaining safe train separation. � Protecting rail safety workers moving on or about the track. � Ensuring that trains can operate safely over the route. � Protecting against over-speed operation. � Managing human error in formulation, transmission and execution of authorities or instructions, both written and verbal. Infrastructure Aspects: � Ensuring the integrity of the track and other infrastructure. � Ensuring that both railway traffic, and the track and other infrastructure have

compatible operating parameters. � Ensuring the safety of persons and property on or adjacent to the railway. � Communicating operating parameters, requirements and restrictions by

adequate and effective means. Rolling stock aspects: � Ensuring the integrity of rolling stock. � Ensuring compatibility with track and other infrastructure parameters. � Ensuring safe retention of loads. � Provision of adequate passenger and worker protection in the event of a derailment, collision or other unscheduled events. � Provision of reliable vehicle couplings, brake systems, and brake and other

connections between vehicles.

Interfaces with other transport modes: Recognition of the responsibilities of the interfacing parties in respect of matters such as the following:

� Managing risk at level crossings by implementing appropriate safety control

systems and warning measures for road users including pedestrians. � Ensuring the integrity of rail-over or rail-under structures, including over

height protection from non-rail traffic for rail-over structures. � Where practicable, managing the risk of track obstruction arising from

accidents on nearby roads or other transport routes, or involving services. � Managing the risks associated with the construction and maintenance of

non-railway services and utilities on railway property.



� Managing the risks associated with the interface between rail and non-rail traffic on roadways, at terminals, yards and stations, and at joint/alternate use facilities such as dual use roadways and bridges. Interfaces with other rail networks: Recognition of the responsibilities of the interfacing rail organizations in respect of matters such as the following: � Connection of one network to another including the definition of the interface points and the management of the infrastructure and train operations through the connection. � Crossings (at grade or separated) of the networks including the

management of infrastructure and train operations at the crossing points. � Management of infrastructure and train operations on shared corridors. � Safeworking procedures. Human factors management.

8.2 SAFETY POLICY [AS/NZS 4292.1 section 2.2; NAP section 3.2]

The GWA Rail Safety Policy and Occupational Health, Welfare and Safety Policies document the organisation’s commitment to safety and provide a vehicle for promulgation of this commitment to the organisation’s employees and all other affected parties. These policies also detail the organisation’s commitment to risk management and compliance with internal and external procedures in which risk controls are embedded, and commit the organisation to the development and maintenance of a positive safety culture. Copies of these and other Policies are issued throughout the organisation as Controlled Documents.

Figure 3: Copies of GWA Policies on Rail Safety (RS-POL-001) and Occupational Health, Welfare and Safety (RS-POL-005).



Contractors to GWA who are engaged in work that is likely to impact on safety, shall be required to demonstrate the existence of a corporate policy that supports a commitment to safety and the protection of property from damage. If no such policy exists, the Contractor shall be encouraged to develop one and an SMS that supports it. GWA may provide assistance in this regard.

Examples of Verification: � Copies of all GWA Polices are displayed on depot notice boards and in other

prominent locations. � Copies of all GWA policies are contained in the organisation’s Rail Safety

Document Package. This package is displayed on the company intranet and made available to regional depots and other affected parties such as Contractors via controlled CD.

8.3 MANAGEMENT AND GOVERNANCE

[AS/NZS 4292.1 section 2.3; NAP section 3.3 and 3.4]

The Managing Director has defined authority and responsibility within GWA for ensuring that the requirements of Australian Standard AS/NZS 4292.1and the NAP are implemented and maintained. In addition, the Managing Director is also responsible for ensuring that processes employed by the organisation are documented, controlled and effectively implemented. The Managing Director is supported in this role by the National Rail Safety Manager who is responsible for establishing, implementing, maintaining and monitoring the organisation’s SMS. GWA has established a regular SMS Review Meeting in a bid to ensure sufficient corporate oversight of the organisation’s safety performance. Participation at these meetings is drawn from members of Senior Management and key operational personnel. In addition, a number of critical processes require the direct involvement of the Managing Director and the National Rail Safety Manager either at the ‘close out’ or authorisation stage. Examples of Verification: � Risk Assessments conducted by the organisation require review by the

National Rail Safety Manager and authorisation by the Managing Director. � Non Conformance Reports and Incident reports require the Managing

Director’s authorisation prior to ‘close out’. � The Agenda and Minutes of GWA SMS Review Meetings cover all aspects

of the SMS. Agenda Items are aligned with the various elements of AS4292.1 and the NAP.



8.4 RESPONSIBILITIES AND AUTHORITIES [AS/NZS 4292.1 section 2.4; NAP section3.4]

Responsibilities, authorities and the interrelation of all GWA employees who manage, perform and verify work affecting rail safety are defined in documents such as Position Description Forms; discipline-specific procedures; Interface Coordination Plans and Safety Interface Agreements; and service contracts. The definitions contained in these documents empower GWA employees with the necessary organisational freedom and authority to: � Initiate appropriate action to prevent the occurrence of unsafe incidents; � Identify and record any rail safety problems; � Initiate actions to address rail safety issues through structured mechanisms; � Verify the implementation of rail safety initiatives and solutions; � Control further design, construction, commissioning, operation or

maintenance activities to correct any adverse rail safety issues; and � Identify internal verification requirements, resource levels and training needs

to ensure rail safety issues are adequately addressed. The GWA Risk Management process details responsibilities and delegations for the management of risk within the organisation structure, while procedures and work instructions define the lines of accountability for personnel involved in the certification of safety critical infrastructure, equipment, systems and operations. The GWA suite of competency procedures for Rail Safety Workers establishes criteria against which operational staff are assessed in a bid to establish and ensure their ability to discharge their duties and safety obligations. Example of Verification: � Responsibilities and Authorities for Line Managers, Coordinators,

Supervisors, and staff relative to safety and often a specific function or activity, are documented in procedures.

� GWA procedure for Management, Governance, Responsibilities and Authorities (RS-PRC-027)

� The safety responsibilities and reporting relationships of all operational positions within the organisation are documented in Position Description Forms, which are individually issued to incumbent employees.

� Organisation Charts provide details of management and supervisory positions and incumbent personnel and define reporting relationships.

8.5 RESOURCE MANAGEMENT [AS/NZS 4292.1 section 2.5; NAP section 3.5]

GWA maintains adequate financial capacity and insurance cover to sustain safe railway operations in all of the jurisdictions it operates in.

External parties engaged by GWA are required to demonstrate their financial capacity to undertake the work required of them.



The organisation has established a range of processes within the SMS to ensure the sufficiency of resources for: � the operation and maintenance of the railway, especially under abnormal

operating conditions; and � the ongoing implementation, management and maintenance of the SMS

itself.

These processes extend to the organisation’s employees and contractors in a bid to ensure their physical capacity and competence to perform the work allotted to them. Examples of Verification:

� Certificates of Currency for third party property and public liability insurance. � Annual reports and financial statements. � Existence of Polices and Procedures addressing Fatigue, Drug and Alcohol

Use, and requisite literacy and competency skills for Rail Safety Workers. � Health Risk Categorisations and the GWA Procedure for Health Assessment

of Rail Safety Workers (RS-PRC-011). 8.6 REGULATORY COMPLIANCE [AS/NZS 4292.1 section 2.6; NAP section 3.6]

The GWA SMS contains processes for ensuring compliance with rail safety legislation and regulatory requirements.

A critical element of this process involves receiving electronic alerts for a range of subjects from a specialist service provider whenever new legislation or changes to existing legislation are introduced by a particular State or Territory Government. The alert also contains an overview and analysis of the legislation.

The GWA SMS also contains protocols for keeping Regulatory Authorities

informed of change, either as part of a routine Change Notification advice or a more substantial request for a variation to accreditation – the latter typically being associated with significant material change or an elevated level of risk.

The GWA Procedure for Ensuring Regulatory Compliance (RS-PRC-010) also

details the organisation’s reporting obligations in relation to the various Regulatory Authorities and provides guidance as to the completion of these reports.

These reports include but are not limited to:

� The GWA Annual Rail Safety Report; � Notifiable Occurrence Reporting; � Normalising Data; � Quarterly Drug and Alcohol Screens and details of Positive Screening Tests;

and � Incident Investigation reports (upon request).



Contractors engaged by GWA shall be made aware of the organisation’s reporting responsibilities and regulatory obligations and be expected to adhere to them. Examples of Verification:

� GWA Procedure for Incident Investigation and Reporting (RS-PRC-008)

details Regulatory Notification and Reporting Requirements for various incident categories.

� GWA Procedure for the Management of Change (RS-PRC-009) details the Change Notification triggers and the type of formal advice required by the various Regulatory Authorities.

� Evidence of LAWLEX Legislative Alerts providing electronic advice of proposed or amended legislation.

8.7 DOCUMENT AND DATA CONTROL [AS/NZS 4292.1 section 2.7; NAP section 3.7]

All GWA employees engaged in the performance of safety-related work have ready access to the requisite safety-related documentation and data they require to execute their allotted duties. This documentation and data is written in clear and concise language and subject to control in accordance with established Quality Assurance principals. As a consequence, only current documentation and data of the correct version is used. The GWA SMS contains processes for the control of safety documentation and data that includes the registration, identification, distribution, maintenance and storage of Controlled documents and data such as rail safety procedures, plans, commissioned reports and work instructions. These processes also address the issue and receipting of Controlled documents and data, as well as their cancellation and withdrawal when they become superseded or obsolete. The GWA SMS dictates that Controlled procedures and work instructions must be reviewed prior to release. This review can only be conducted by an employee or contractor who is suitably qualified, competent and/or experienced in relation to the subject mater involved. In keeping with GWA’s approach to corporate governance, the Managing Director is the only person within the organisation who can authorise the release of Controlled procedures and work instructions. The GWA procedure for Document and Data Control (RS-PRC-002) outlines these processes as well as the protocol to be observed for updating and/or revising existing documentation as the result of feedback or structured review. Where deemed appropriate, Contractors to GWA will be required to comply with GWA procedures for document and data control, or demonstrate the existence of similar processes within their own management systems. Examples of Verification:

� Evidence of a unique identifying number, version details and date of issue

on the cover of Controlled Rail Safety Documents. � Controlled document register (RS-PRC-001). � Copies of completed Document Receipt Advice forms (RS-FRM-031).



8.8. KEY PERFORMANCE INDICATORS AND PERFRMANCE MONITORING [AS/NZS 4292.1 section 2.8; NAP section 3.8]

In order to achieve continuous improvement, monitor the effectiveness of the SMS, and eliminate/minimise risk ‘so far as reasonably practicable’ (SFARP), the organisation has developed a process for establishing, documenting, monitoring and reporting safety performance against a set of measurable criteria or Key Performance Indicators. This process is described in the GWA Procedure for Performing SMS Review (RS-PRC-005). Having been established, these KPI’s are documented in the minutes of GWA’s SMS Review Meetings as is the organisation’s ability to achieve them. Meetings are held on a bi-monthly basis and draw their participation from the operational sections of senior management.

These KPI’s include, but are not limited to:

� The number of category A and B Notifiable Occurrences recorded per 100,000 km travelled by GWA services;

� The number of Lost Time and Medically Treated Injuries recorded per 100,000 km travelled by GWA services;

� The number of NCR’s raised against the organisation; � The number of audits scheduled as opposed to the number actually

performed; � The number of prohibition notices raised against the organisation; and � The number of positive alcohol and other drug screens as opposed to the

number performed. A copy of the minutes of these meetings and any supporting trending data is used to inform staff and provide Line Managers and Supervisors with information for use in tool box meetings, special subject forums, safety briefings, etc.

In addition, safety-related KPI’s are often established to benchmark Contractor performance whenever new commercial agreements are entered into. These KPI’s are developed in conjunction with the Contractor and monitored and reported as part of routine Contract Meetings.

Risk Assessments conducted by the organisation also require that the context of the assessment and any measurable outcomes be established, documented, monitored and reported by nominated representatives within pre- determined timeframes. Examples of Verification:

� Evidence of KPI’s in Agenda and minutes of SMS Review Meetings. � Risk Evaluation Worksheets contain a cover page which requires that

participants establish and document the context and expected safety outcomes of the risk assessment being performed.

� Trending of incident statistics and the promulgation of data to all parts of the organisation.

� Minutes of Contract Meetings which report performance against KPI’s.



8.9. SMS REVIEW

GWA employs a structured review process to ensure the ongoing appropriateness and effectiveness of the SMS and identify any changes that may be required. This process enables continuous improvement of the SMS and the elimination/reduction of risk ‘So Far As Reasonably Practicable’ (SFARP). SMS Review Meetings are scheduled on a Bi Monthly basis, with participation drawn from all sections of the organisation’s Senior Management. Meeting agendas consider all elements of the SMS, as well as: � new business opportunities relative to Change Management and its effect, if

any, on the organisation’s accreditation, and � The organisation’s safety performance, as measured against KPI’s and an

analysis of incident trends for the period under review. Meetings are minuted in accordance with the requirements of the GWA Procedure for Performing Safety Management System Review (RS-PRC-005) and Document and Data Control (RS-PRC-002).

GWA uses the information generated by these meetings as the basis for developing its Annual Rail Safety Report. This report covers the preceding Financial Year and addresses changes, both actual and anticipated to the SMS. It also includes, but is not limited to:

� Details of audits conducted including audits performed by independent

consultants and regulatory Authorities; � Particulars of any Prohibition Notices or Non Conformance Reports raised

against the organisation; and � A thorough review of all incidents that involved the organisation during the

period under report and an analysis of any trends that may be present. Copies of the Annual Report are provided to specific Regulatory Authorities in

accordance with the conditions attached to the organisation’s various accreditations.

Examples of Verification:

� Minutes of scheduled SMS Review Meetings. � The existence of Annual Rail Safety Reports that meet Regulatory

requirements. � Existence of safety-related KPI’s and evidence that assessments of

performance are being made against them and reported. � GWA Procedure for Performing SMS Review (RS-PRC-005).

8.10 SAFETY AUDITING GWA employs a planned Safety Audit process as a further means by which safety performance and the effectiveness of the SMS can be measured. This process operates at a range of levels throughout the organisation and extends to include the activities of contractors.



Audits are scheduled and performed against documented protocols, in accordance with established Quality Assurance and Environmental Management methodologies. Audit findings are similarly documented and forwarded to all affected parties along with recommendations for the implementation of corrective action where identified as being required.

Outstanding corrective actions are logged and monitored until resolution and audit outcomes reported as part of SMS Review meetings and monthly meetings of the GWA Executive. In a bid to ensure adequate organisational oversight, the Managing Director is required to authorise all audit reports, including those generated by external parties. Where deemed appropriate, external consultants, with expertise in a particular field or subject may be engaged to conduct an audit. These Consultants must be suitably qualified and competent to carry out the work required of them and comply with the GWA Procedure for Performing Audits (RS-PRC-003) or some other similar process. The abovementioned GWA procedure also ensures that employees of the organisation who are involved in the performance of audits are suitably trained and resourced. Examples of Verification:

� Completed audit reports conducted in accordance with documented schedules.

� Register of outstanding corrective actions, including NCR’s. � GWA procedure for Performing Audits (RS-PRC-003) � Evidence of the delivery of training sessions for staff involved in the audit

process. 8.11 CHANGE MANAGEMENT GWA acknowledges the risk associated with change in its many forms. In a bid to identify and mange this risk, the organisation has developed a Change Management protocol. This protocol is documented in the GWA Procedure for Managing Change (RS-PRC-009) and utilises a checklist to guide staff through the Change Management process. This checklist requires that GWA Change Managers:

� Establish the context of the change; � Engage in consultation with all affected parties at a variety of stages

throughout the process; � Conduct a risk assessment which considers risk associated with the change

itself; the cumulative effect of all hazards associated with the change; the impact of the risk on other existing systems that are not independent of the change; the human factor; and the risk of failing to communicate the nature of the risk to affected parties.

� Evaluate the level of the change and where appropriate, develop an implementation plan.



� Establish files for the retention and maintenance of all associated documentation;

� Conduct a safety validation (for any change that is likely to have an impact on safety) and obtain authorisation from the Managing Director prior to implementing the change;

� Consider the affect the change will have on the SMS; � Implement the change in accordance with the Implementation Plan; and � Monitor and review the process through to implementation. The procedure also contains a summary of the Change Notification requirements attached to the organisation’s accreditations by the various Rail Safety Regulators throughout Australia and provides guidance as to what constitutes a material or significant change to the organisation’s accredited activities. Examples of Evidence: � Existence of completed Change Management Checklists (RS-FRM-029) � GWA procedure for the Management of Change (RS-PRC-009)

8.12 HUMAN FACTORS

GWA understands that human error is normal and has endeavoured to build permissible tolerances into the SMS; its rail safety tasks; and the equipment used to perform these tasks. This acknowledgment is reflected in the GWA Rail Safety Policy (RS-POL-001) and various procedures within the SMS and extends to the following: � Consideration of human interface issues when developing safeworking

protocols or ordering items of new equipment; � Establishing and monitoring competency requirements for the performance

of rail safety tasks; � Establishing health and physiological requirements for specific rail safety

activities; and � Consideration of human factors in occurrence investigations and when

identifying contributing factors. Examples of Verification: � Recognition of the Human Factor in the GWA Rail Safety Policy

(RS-POL-001). � References to human factors in various GWA rail safety procedures. � Identification of human factors when establishing contributing factors to an

incident. 8.13 SECURITY PLANNING GWA is aware of the risk to safety posed by people acting with malicious intent. In a bid to identify and treat this risk, the organisation has conducted a risk assessment, which it will review on a regular basis and update where necessary in accordance with the requirements of the GWA Procedure for Risk Management (RS-PRC-004).



This assessment and the security vulnerabilities it has identified have been used to develop a Security Policy (RS-POL-006) and Security Plan (RS-PRC-018), which will in turn be subject to routine review and maintenance. The organisation is kept informed of security developments and alerts by a variety of State and Federal Security Agencies, with reactive and routine briefings facilitated by the applicable Rail Safety Regulatory Authority. The GWA Security Plan contains a process for initiating an organisational response to advice of an altered or heightened level of security by any of these agencies. The organisation actively promotes a culture of security awareness and using materials supplied by the Department of Transport and Regional Services (DOTARS) and Genesee & Wyoming Incorporated, has developed a training package for staff which provides guidance on reporting suspicious activity; identifying potential security threats; and initiating a response which is appropriate to the perceived risk. GWA’s security measures include the use of Certificates of Competency (CoC’s) as proof of an employee’s identity and ensuring that rail safety workers who require them are in receipt of passes, identity tags, etc for access to secure areas in private terminals, Australian Ports, etc. Examples of Verification:

� GWA Security Policy (RS-POL-006) � GWA Security Plan (RS-PRC-018) � Existence of a Security Awareness Training Package, which has been

delivered to all sections of the organisation. 8.14 SAFETY CULTURE, CONSULTATION AND COMMUNICATION

The GWA SMS embraces the principals of a Just or Positive Safety Culture, which takes account of: � The executive safety role of senior management and their commitment to

safety; � The need to genuinely and collaboratively involve all affected sections of the

organisation in the decision-making process prior to implementing any change that demonstrates potential to impact on safety;

� The need to be aware of and recognise opportunities for safety improvement;

� The proactive role of rail safety workers in the development of safety initiatives;

� The need for the organisation to apply effective interpersonal, facilitative and listening skills;

� The need for mutual trust and respect between the organisation and its employees;

� The need for employees to receive training with regard to the performance of risk assessments and communication skills to better enable their participation in the risk assessment process, and

� A willingness on the part of the organisation to devote resources to safety.



The GWA SMS also includes processes for ensuring that that employees engaged in rail safety work have access to the necessary information they require to perform their allotted duties. Examples of Verification: � Evidence of the involvement of rail safety workers and other affected parties

in the risk assessment process. � Evidence of procedural review by rail safety workers. � Existence of Depot ICP Manuals, Rail Safety Document Packages; Train

Notices and Operational Bulletins. � Training programs for employees engaged in the performance of risk

assessments. � Occurrence investigations conducted by GWA seek to identify and correct

system or process deficiencies, rather than apportion blame. 8.15 RISK MANAGEMENT GWA applies a systematic approach to the identification of hazards and the treatment of risk, which is integrated or linked to other elements of the SMS. The organisations commitment to the identification of hazards and the treatment of risk is documented in the GWA Risk Management Policy (RS-POL-002), while the process for managing risk is detailed in the GWA Procedure for Risk Management (RS-PRC-004). This process is designed to ensure that risks are systematically identified, assessed and prioritized to ensure that residual risk is eliminated or, if this is not possible, controlled ‘So Far As Reasonably Practicable’ (SFARP). It also contains a mechanism for ensuring the application and ongoing effectiveness of the process itself. The organisation uses a range of processes for the identification of hazards and risks, including:

� The reporting of observed hazards; � The performance of formal and scheduled hazard inspections; � Job Safety Analysis; and � Formal Risk Assessments. The GWA Risk Management process is modeled on the guidelines contained in AS/NZS 4360 (2004) Risk management and aims to establish the likelihood and consequence of a risk occurring. Once established, this information is used to arrive at a Risk Rating, based on what the organisation considers to be ‘acceptable risk’. Risk Ratings may range from Extreme to Low, with each attracting a dedicated response in accordance with an established Hierarchy of Controls e.g. Risks of an Extreme level must be eliminated or isolated immediately, whereas Low level risks require treatment with corresponding levels of control e.g. the use of Personal Protective Equipment and the application of administrative processes such as work instructions. All risks are subject to ongoing monitoring and review.



The GWA Risk Management process is systematically applied to all activities associated with the organisation’s operations that demonstrate a potential for detrimental impact on safety.

Line Managers and Coordinators are responsible for conducting risk assessments prior to the introduction of a new service, function, or activity under their control and for identifying altered levels of risk associated with changes to existing practices. The latter may be carried out in response to specific circumstances, or as part of a scheduled review of a previously performed risk assessment.

The GWA risk management process requires consultation with, and the involvement of all affected parties. This requirement is evidenced by the routine participation of rail safety workers, contractors and interface partners in risk assessments. Where necessary, risk assessments are facilitated and/or informed by external parties with subject matter expertise.

Prior to conducting any new risk assessment, the context under which the assessment will be conducted is established, along with the aims and objectives of all those involved/affected. Risk assessments and Job Safety Analysis’ are used to compile the GWA Risk Register. Depots receive their own Depot Risk Register which contains risk assessments relative to their area of operation/responsibility. The corporate Risk Register is maintained by the National Rail Safety Manager and contains details of all identified hazards/risks and their agreed treatment options. The Risk Register also details the person responsible for the implementation of corrective action and the timeframes within which this is to occur. Corrective action is logged and monitored until the risk has been resolved. Ongoing risks within the Risk Register are subject to regular review by affected parties. The GWA Risk Management process is integrated and linked to a number of other system elements within the SMS, which are used to inform the Risk Register e.g. audit findings; Change Management Checklists; and incident and hazard reports. Examples of Verification:

� GWA Risk Register, including log of outstanding corrective actions. � Completed Risk Assessment and Job Safety Analysis worksheets. � GWA Procedure for Risk Management (RS-PRC-004). � GWA Procedure for the Identification and Treatment of Hazards

(RS-PRC036). � GWA Incident Report forms (RS-FRM-008) and Audit Summary forms

(RS-FRM-023) contain links to the Risk Register.



8.16 PERSONNEL MANAGEMENT The GWA SMS contains a number of elements that are designed to ensure rail safety workers have an adequate sense of responsibility; the physical and mental fitness required to perform their allotted duties; and the requisite communication, technical and risk management skills. Rail Safety Worker Competence GWA has established minimum levels of competence for its rail safety workers. The training of operating personnel is conducted in line with the principles of competency-based training and satisfies the requirements of the Australian Quality Training Framework (AQTF). Recommended route standards, established in conjunction with Network providers and the organisation’s Driver Trainers, apply to all corridors the organisation operates on. These standards are subject to routine review in line with changes to network operating conditions. Route knowledge is recorded in a dedicated register and monitored to ensure that only those workers who are deemed competent to operate in a certain capacity over a particular network or on a railway do so. All other employees who are engaged in the performance of rail safety work are qualified and where applicable, certified relative to the scope and limits of the railway operations they are involved in. GWA has also established processes for the verification of competency for Contract Rail Safety Workers. These processes provide guidance on the minimum requirements the organisation applies to the hire of contract labour involved in the performance of rail safety work and the protocol to be followed for the verification of contractor competency including safeworking qualifications, locomotive familiarity, health and fitness, route knowledge, etc. GWA personnel who are engaged in the training and assessment of rail safety workers are suitably qualified and experienced to undertake this work. The organisation has established and maintains a database which records the attainment of worker competence and provides a flag in advance of the expiry date for competency components such as safeworking qualifications. Examples of Verification:

� GWA Procedure for the Development and Maintenance of Rail Safety Worker Competency (RS-PRC-013)

� GWA Procedure for the Verification of Competency for Contract Rail Safety Workers (RS-PRC-014)

� Core Training Curriculum for Train Operations Personnel (TS-PLN-001) � Procedure for Attaining Route Competency (RS-PRC-028) and

Recommended Route Standards (Appendix A to RS-PRC-028)



Health and Fitness GWA applies the NTC National Standard and Victorian Code of Practice for the Health Assessment of Rail Safety Workers as its principal health assessment standards. These standards apply certain physical attributes and health requirements to types of rail safety work, based on the risk posed to the network, other operators and the public, if an employee is rendered incapacitated while engaged in their performance. GWA has conducted a Risk Categorisation for the types of rail safety work its employees are engaged in and uses these categories as the basis for organising health assessments. Health assessments are conducted by a Health Assessment Professional who has received railway familiarisation training. Results of health assessments are recorded on a dedicated database, which provides a flag in advance when a health assessment is due. Examples of Verification: � GWA Procedure for Health Assessments (RS-PRC-011). � GWA Risk Categorisation for various types of rail safety work, such as

Locomotive Driver, Transport Controller, etc. � Record of Health Assessments, including details of risk categorisation and

due date for re-assessment. Fatigue Management GWA conducts its operations on a twenty four (24) hour per day, seven (7) day a week basis. As part of its commitment to ensuring the health of its rail safety workers, GWA has developed a process for managing work-related fatigue associated with shift work. Developed in conjunction with the University of South Australia Sleep Research Centre, the process takes advantage of the very latest research into fatigue management. In fact, GWA has had a long relationship with the University, having commissioned and co-sponsored a number of projects in the past dealing with the quality and quantity of sleep enjoyed by rail safety workers engaged in relay working. This form of crewing involves train crews taking their rest on-train, enroute to their destination, in dedicated carriages which form part of the train consist. The GWA Fatigue Management process involves the following aspects: � The application of sound and well-researched rostering principles, which are

designed to maximise the potential for rest and minimise the potential for work-related fatigue;

� Adoption of mandatory legislative (in New South Wales) and industrial conditions;

� Use of software programs (FAID) and other assessment tools to review planned rosters and actual working in a bid to identify those shifts that have a high fatigue risk potential; and



� An awareness training package that explores the shared responsibility of fatigue management and in particular, the lifestyle choices that employees can make to minimise the effects of non work-related or ‘social fatigue’.

This process is supported with a regular Fatigue Management Review meeting. With representation drawn from the organisation’s operational areas, the meeting examines recent rosters, depot work and leave patterns, operational performance and FAID reports, etc with the aim of sharing observations and learning opportunities relative to identifying and managing work-related fatigue. Examples of Verification: � Minutes of Fatigue Management Review Meetings. � GWA Procedure for Fatigue Management (RS-PRC-030). � Existence of GWA Fatigue Awareness Training package.

Alcohol and Other Drugs In recognition of the affects alcohol and other drugs can have on the ability of employees to carry out their safety responsibilities, the organisation has developed an Alcohol and Other Drugs Policy (RS-POL-004) and an Alcohol and Other Drugs Testing Procedure (RS-PRC-015). The GWA Policy details the organisation’s commitment in trying to establish an alcohol and drug-free work environment, through the implementation of a range of initiatives. These initiatives include, but are not limited to:

� Developing and delivering awareness and education programs on the effects of alcohol and other drugs to employees of the organisation;

� Establishing an Employee Assistance Scheme to provide employees who use alcohol and/or other drugs with access to confidential counselling and support.

� Establishing, implementing and maintaining a testing program for alcohol and other drugs, both on a random basis and in response to specific events.

� By providing training to staff who are involved in the collection of alcohol and other drug samples in their roles as Authorised Officers under State and Territory legislation.

� Maintaining awareness of and complying with OHS&W and Rail Safety regulatory requirements for the control of alcohol and other drugs in the workplace.

Examples of Verification: � GWA Policy for Alcohol and Other Drugs (RS-POL-004) � GWA Procedure for Alcohol and Other Drugs Testing (RS-PRC-015) � Evidence of ‘For Cause’ and planned Random Alcohol and Drug Screening

throughout the organisation. � Existence of an awareness training package, which has been promulgated

to all sections of the organisation.



Literacy, Comprehension and Numeracy Skills The GWA SMS contains processes for ensuring that employees involved in rail safety work have the literacy, reading comprehension and numeracy skills required of them. These processes extend to the provision of remedial training and assistance where a communications/learning difficulty is identified. Examples of Verification: � GWA Procedure for Determining Literacy and Numeracy Skills

(RS-PRC-012).

8.17 GOODS AND SERVICES PROCUREMENT The GWA SMS contains processes for establishing contracts and procuring goods, with due regard to safety and established quality assurance principals. Staff involved in the management of contractors are required to consider the ramifications and implications of their decisions relative to safety in general and the capability of the contractor in particular, prior to entering into any commercial arrangement. Similarly, Contract Managers are required to conduct a review of contractor performance during the course of the contract works and at its conclusion, in an effort to ensure established safety requirements are being/have been met and to provide the organisation with sufficient opportunity to review the overall contract and in doing so, identify opportunities for improvement. To assist staff in this regard, the organisation has developed a series of checklists which Contract Managers are required to follow. These checklists require the Contract Manager to verify that each of the steps involved have been considered and where applicable, applied to the contract. The Pre Contract Checklist (RS-FRM-027) contains the following elements:

� A description of the scope of the Contract works; � The need for a risk assessment to be conducted and all associated risks

identified and managed; � Documenting of applicable standards and rail safety procedures, codes of

practice, etc; � Identification of work safe requirements; � Need to develop an Interface Coordination Plan or Safety Interface

Agreement; � Details of agreed conflict resolution mechanisms; � Criteria for selecting, monitoring and controlling contractor(s) and the work

they perform; and � Details of the contractors past performance, if known. The Contract Review Checklist provides similar guidance and contains the following: � A summary of audit outcomes; � A review of contractor performance;



� Provision for organisational review; � Details of formal review meetings; � A determination as to whether the contractor should be added to a Preferred

Contractors list; � Identification of opportunities for process improvement; and � A provision for Contractor feedback.

Completed checklists must be filed along with all associated documentation and maintained by the Contract Manager in accord with the organisation’s procedure for Document and Data Control (RS-PRC-002). A variety of management meetings are routinely held between GWA and its principal contract service providers, who are involved in the maintenance of the organisation’s rollingstock fleet and track and civil infrastructure. These meetings make provision for measuring contractor performance against pre-established Key Performance Indicators (KPI’s), which are detailed in the agenda and minutes of management meetings and as specific conditions in commercial agreements and Interface Coordination Plans. Similar provisions exist with regard to monitoring the performance of the organisation’s minor contractors. KPI’s are established in conjunction with Contractors, who are consulted and given opportunities to provide input into the management process. The purchase and receipt of goods is carried out in accordance with established quality assurance protocols.

Standards applying to items of equipment or other goods are identified and documented as part of the procurement process. Receipted goods are kept in isolation until their ability to satisfy any quoted standards and/or purchase order details have been verified. Where necessary, traceability of parts via a batch number, etc is catered for. Details of product service life and any specific storage characteristics are documented and this documentation made available to all affected parties, as is the need for specialist tools and/or installation processes. Receipted goods that do not conform are isolated and tagged until their return can be arranged with the supplier. Instances of non compliance, may result in the raising of a Non Compliance Report, and if repeated, may culminate in the imposition of strict conditions on the supply of goods and/or removal of the offending Contractor/Supplier from any Preferred Contractor Listing. GWA’s requirements for the procurement of goods and services is conveyed to its contract maintenance providers, who are responsible for ordering and receipting the vast majority of the organisation’s consumables. Contractor compliance with these requirements is routinely monitored as part of the GWA Audit process.



Examples of Verification: � GWA Procedure for Procurement and Contract Management (RS-PRC-019). � Existence of completed Pre Contract (RS-FRM-027) and Contract Review

(RS-FRM-028) Checklists. � Minutes of Contract Management meetings that record safety performance

against KPI’s. � Audit reports that cover the purchase and receipt of goods by contractors

and GWA staff. 8.18 ENGINEERING AND OPERATIONAL SYSTEM SAFETY 8.18.1 GENERAL

GWA has established and maintains engineering and operational standards, which it applies to its various discipline-specific functions and activities. The requirements detailed in these standards are imposed on the organisation’s contractors, who are principally involved in the performance of technical and engineering work for the organisation, via the inclusion of specific conditions in commercial agreements and the establishment of Interface Coordination Plans and Safety Interface Agreements. GWA Line Managers and Coordinators in the civil, electrical and mechanical engineering disciplines, as well as in the operations and train control areas, are responsible for ensuring that standards and codes of practice are adhered to and monitored for effectiveness. The authority to initiate any changes deemed necessary also resides with these employees.

Descriptions and requirements applicable to Life Cycle Phases, as described in Table B1 of Australian Standard AS 4292 parts 1 and 2 and Table A1 of parts 4 and 5, are used as appropriate. Examples of Verification:

The following tables detail the designated positions within GWA with the discipline-specific responsibility and authority to ensure that engineering and operational systems safety standards are developed, implemented, monitored, updated and maintained in the areas of track and civil infrastructure; rollingstock; signaling and telecommunications; operations and train control; and interfaces with other transport modes.



Asset: Rollingstock

Accountable Senior Manager: General Manager Transportation Responsible Line Manager for Asset Integrity and Safety:

Rollingstock Maintenance Manager

Applicable Standards and Procedures: • Australian Standard AS 4292 Parts 1,

2, 3, 5 and 7.

• Rail Safety Management Plan (RS-PLN-001).

• Code of Practice for the Defined Interstate Rail Network (ARN) Volumes 1, 2 and 3.

• GWA Addendum to the CoP (ARN), (OP-COP-001).

• ASR Network Operating Guide (ASR-RSD-019).

• ROA Manual of Engineering, Standards and Practices (Volumes 1 & 2).

• AAR (Operations & Maintenance Dept, Mechanical Division) Manual of Standards and Recommended Practices.

• ROA Minimum Train Examination Requirements for Interstate Trains (1989).

• ARG Pocket Guide to Vehicle Examination (RO-TIN-001).

• Procedure for Monitoring of Rollingstock Maintenance Performed by Maintenance Contractors (RS-PRC-035).

• ARG Rollingstock Cyclopedia.

• Minimum Operating Standards for Rollingstock (RSS-001).

• Various network operating manuals, codes of practice and interface coordination plans.

• GWA and other network’s emergency response and incident management plans.

• Original Equipment Manufacturers’ (OEM) specifications and service bulletins.

• Mechanical engineering technical specifications and drawings.

• Training manuals, work instructions and handbooks.



Asset: Track, Civil and Signalling Infrastructure Accountable Senior Manager: General Manager Transportation Responsible Line Manager for Asset Integrity and Safety:

Perway Superintendent


2, 3, 4, 5 and 7.


• Federal Railroad Administration Track safety Standards Compliance Manual (January 2002).

• AN Rail Track Maintenance Guide.

• WestNet Rail Pty Ltd Standard Gauge Mainline CoP - Track and Civil Infrastructure (W190-400-001).

• WestNet Rail Pty Ltd Narrow Gauge Mainline CoP - Track and Civil Infrastructure (W190-400-002).



• Safeworking Arrangements for Rail Movements on the Truncated GWA Rail Network.


• ROA Manual of Engineering, Standards and Practices (Volumes 1 & 2).




• Civil Engineering technical specifications and drawings.

• Rail network plans.




Asset: Telecommunications Accountable Senior Manager: General Manager Transportation Responsible Line Manager for Asset Integrity and Safety:

Rollingstock Maintenance Manager


2, 3, 4, 5 and 7.




• ACA governing the use and maintenance of radio and telecommunication systems.



• OEM specifications and service bulletins.

• Mechanical engineering and telecommunications technical specifications and drawings.




Activity: Train Management Accountable Senior Manager: General Manager Transportation Responsible Line Managers for Activity Integrity and Safety:

• Eyre Peninsular Operations Coordinator (Operations on Narrow Gauge Eyre Peninsular Railways)

• Business Manager Whyalla (Operations on OneSteel Railway)

• Adelaide Operations Coordinator (Operations at Tailem Bend and that emanate from Adelaide, Darwin, Port Pirie and Port Augusta)

• Operations Training and Safety Coordinator (Provision of training relative to train management)

Applicable Standards and Procedures: • Australian Standard AS 4292 Parts 1, 5 and 7.

• National Accreditation Package (Version 2).




• Airbrake and Train handling Rules for ARG Employees (OP-ATR-001).

• Manual for Driver Only Operations (OP-COP-002).


• Procedure for Yard Access Authorities (ASR-RSD-013). Procedure for Health Assessments (RS-PRC-011).

• Procedure for Alcohol and Other Drugs Testing (RS-PRC-015).

• Procedure for Determining Literacy and Numeracy Skills (RS-PRC-012).

• Procedure for the Development and Maintenance of Worker Competence (RS-PRC-013).

• Procedure for Ensuring the Competency of Contract Rail safety Workers (RS-PRC-014).



Activity: Train Management (Continued)

Accountable Senior Manager: General Manager Transportation Responsible Line Managers for Activity Integrity and Safety:





Applicable Standards and Procedures: • Procedure for Reporting Non

Conformance (RS-PRC-020).

• Engineering and Operational Systems Safety (RS-PRC-021).

• Development and Maintenance of Interface Coordination Plans (RS-PRC-023)

• Procedure for Attaining Route Competency (RS-PRC-028) and Appendix A Recommended Route Standards.

• Fatigue Management (RS-PRC-030).

• Procedure for Ensuring the Accuracy of Measuring Equipment (RS-PRC-033).

• Network Train Controlling Rules and Procedures (RS-PRC-034).

• ARG Pocket Guide to Vehicle Examination (RO-TIN-001).


• ROA Minimum Train Examination Requirements for Interstate Trains (1989).

• ARTC Addendum to the CoP (DIRN), Network Interface Coordination Plan (TA02) and various Network Rules.

• TransAdelaide Operating Rules (OP-COP-003).

• TransAdelaide Interface Coordination Plans (RIP 007, 010, 011 and 025).

• Network Rules and Procedures.

• Rail Corp Train Operating and Condition Manual.



Activity: Train Management (Continued)






Applicable Standards and Procedures: • WestNet Rules (C100-000-005) and Appendix (C100-000-006).

• NTC National Standard for the Health Assessment of Rail Safety Workers.

• GWA Emergency Response Plan for On Rail Movements (RS-PRC-006), Procedure for Management of On Rail Incidents (RS-PRC-007) and Cyclone Response Plan (RS-PRC-017).

• TA44 ARTC Incident Management Plan.

• FreightLink Emergency Response (FL-PRO-017) and Incident Management (FL-PRO-006).

• Westrail Emergency Procedures Manual, Westrail procedure for the

Management of Emergencies (8110-200-019) and Westrail Procedure for action required by a Train Driver following a level Crossing Accident or Incident (8110-200-025).

• RailCorp Incident Management Framework.

• Various GWA and External Operating Guidelines and Work Instructions relative to the Network and Activity involved (as detailed in GWA Controlled Document Register RS-PRC-001).

• Various Interface Coordination Plans (as detailed in GWA Controlled Document Register RS-PRC-001).



Activity: Train Control


Coordinator Train Management


5 and 7.

• National Accreditation Package (Version 2).




• Manual for Driver Only Operations (OP-COP-002).



• Procedure for Yard Access Authorities (ASR-RSD-013). Procedure for Health Assessments (RS-PRC-011).

• Procedure for Alcohol and Other Drugs Testing (RS-PRC-015).

• Procedure for Determining Literacy and Numeracy Skills (RS-PRC-012).

• Procedure for the Development and Maintenance of Worker Competence (RS-PRC-013).

• Procedure for Ensuring the Competency of Contract Rail safety Workers (RS-PRC-014).

• Procedure for Reporting Non Conformance (RS-PRC-020).

• Engineering and Operational Systems Safety (RS-PRC-021).

• Development and Maintenance of Interface Coordination Plans (RS-PRC-023)

• Procedure for Attaining Route Competency (RS-PRC-028) and Appendix A Recommended Route Standards.

• Fatigue Management (RS-PRC-030).

• Network Train Controlling Rules and Procedures (RS-PRC-034).



Activity: Train Control (Continued)


Coordinator Train Management

Applicable Standards and Procedures: • ARTC Addendum to the CoP (DIRN),

Network Interface Coordination Plan (TA02) and various Network Rules.

• TransAdelaide Operating Rules (OP-COP-003).

• TransAdelaide Interface Coordination Plans (RIP 007, 010, 011 and 025).

• Network Rules and Procedures.

• Rail Corp Train Operating and Condition Manual.

• WestNet Rules (C100-000-005) and Appendix (C100-000-006).

• NTC National Standard for the Health Assessment of Rail Safety Workers.

• GWA Emergency Response Plan for On Rail Movements (RS-PRC-006), Procedure for Management of On Rail Incidents (RS-PRC-007) and Cyclone Response Plan (RS-PRC-017).

• TA44 ARTC Incident Management Plan.

• FreightLink Emergency Response (FL-PRO-017) and Incident Management Plans (FL-PRO-006).

• Westrail Emergency Procedures Manual, Westrail procedure for the Management of Emergencies (8110-200-019) and Westrail Procedure for action required by a Train Driver following a level Crossing Accident or Incident (8110-200-025).

• RailCorp Incident Management Framework.

• Various GWA and External Operating Guidelines and Work Instructions relative to the Network and Activity involved (as detailed in GWA Controlled Document Register RS-PRC-001).

• Various Interface Coordination Plans (as detailed in GWA Controlled Document Register RS-PRC-001).



8.18.2 PROCESS CONTROL

Within GWA, activities directly affecting railway safety are carried out under controlled conditions. This is achieved by:

� Strict adherence to the standards detailed above. � By monitoring to ensure that these standards are being observed and that

an acceptable level of compliance is being achieved. � By performing tests and conducting inspections of safety-related engineering

and operational systems, in accordance with established schedules and in response to defined events.

� By establishing and maintaining inspection and test records that provide evidence of the condition of all elements critical to rail safety.

� By the control, calibration and maintenance of all equipment used for the purposes of inspection and testing.

� By the implementation of corrective action in response to a range of pre-determined criteria.

� By the establishment of documented procedures specifying the design, construction, manufacture/installation, maintenance and provision of operational services to be used in all cases where the absence of such documentation would adversely affect railway safety, together with equipment and work environment requirements relevant to those processes.

Under certain circumstances, the organisation may also elect to apply a procedure to control an identified hazard, where the absence of such documentation would adversely affect rail safety. All GWA procedures are subject to regular review by technical officers and operational personnel to ensure the ongoing adequacy and accuracy of subject matter. Examples of Verification:

� GWA Procedure for Engineering and Operational Systems Safety

(RS-PRC-021) and applicable Procedures for Process Control (RS-PRC-060 to 064)

� Attachment A identifies discipline specific procedures and documents, which address relevant issues such as service delivery, installation and maintenance activities.

� Evidence of procedural compliance is established, documented and monitored as part of the GWA audit program and SMS Review process.

8.18.3 CORRECTIVE ACTION GWA has developed a documented process that ensures corrective action is implemented whenever the assessed safety condition of any element of the organisation’s Safety Management System: � Causes safety standards to be infringed � Has reached prescribed intervention levels, or � Would cause the risk to exceed acceptable levels.



GWA staff involved in inspection, testing, auditing, investigation and hazard reporting are required to report instances of identified non conformance in accordance with the requirements of the organisation’s Non Compliance Reporting protocol (RS-PRC-020). This protocol contains a requirement for: � The implementation of corrective action sufficient to overcome any risk, or

where this not practical, to reduce it to an acceptable level, within a specified timeframe, and

� A means for monitoring the implementation of corrective action to completion.

Within GWA, a Non Compliance Report can only be closed out by the Managing Director, ensuring sufficient organisational oversight of the process. In addition, instances of Non Compliance are reported and reviewed as part of the GWA Safety Management System Review process. Examples of Verification: � GWA Procedure for Engineering and Operational Systems Safety

(RS-PRC-021). � Existence of NCR Register and completed and authorised Non Compliance

Reports. � Procedure for Reporting Non Compliance (RS-PRC-020).

8.18.4 DESIGN AND DEVELOPMENT In a bid to minimise risk emanating from the design and development process, GWA applies suitable and sufficient protocols to ensure the control and verification of the design of structures, rollingstock, items of equipment and systems in accordance with established safety requirements. The Design control process includes but is not limited to the following: � Identification of responsibility for each stage of the design or development

activity - including design verification and validation. � A requirement for safety review at both the design input and output stages,

which takes into account reliability and maintainability. � A need to consider any impact on operations and maintenance functions � A requirement to notify affected staff of any changes. � A mechanism for the control of design changes and safety documentation � And recognition of the need for interface of human factors. The Design process also specifies the criteria for the selection and design of equipment and systems.


� GWA Procedure for Engineering and Operational Systems Safety (RS-PRC-021).

� GWA Procedure for Process Control - Design and Development (RS-PRC-060).

� Checklist for Process Control – Design and Development (RS-FRM-060)



8.18.5 CONSTRUCTION AND INSTALLATION The organisation has established and maintains standards and procedures for all aspects of the construction and installation of new or modified equipment and systems including the following:

� The maintenance of safe railway operations during any system changes; � Process control as detailed above; � Appropriate access control and protection; � The use of appropriate installation practices and procedures; � Procedures to ensure use of approved and current plans and specifications;

and � The preparation of operating and maintenance procedures and instructions

where applicable. Standards and procedures take into consideration, where appropriate, documentation requirements for system installation. They also aim to eliminate any ambiguity as to the type of safeworking system in force.



� GWA Procedure for Process Control – Construction, Installation and Commissioning (RS-PRC-061).

� GWA Safety Sign Off Tag (RS-FRM-062) � GWA Safety Sign Off Checklist (RS-FRM-063)

8.18.6 IMPLEMENTATION AND COMMISSIONING The GWA SMS contains a range of documented processes that cover the commissioning of new or modified systems and items of equipment to ensure that they are verified as having met the appropriate safety and system requirements. These processes include, where applicable, a requirement for the development and implementation of inspection and test plans covering: � The verification and validation of conformance of the item/system to the

design, � safe transition arrangements and the operating parameters of the railway; � The handover process; � The provision of as-constructed documentation; � Plans and drawings; and � Relevant and specific inspection and testing processes. Where the safety of part of a system cannot be verified prior to its commissioning or entry or re-entry into service, the organisation aims to identify and treat associated risk(s) and make special provision for in service monitoring. Examples of Verification: � GWA Procedure for Engineering and Operational Systems Safety

(RS-PRC-021).



� GWA Procedure for Process Control – Construction, Installation and Commissioning (RS-PRC-061).

� GWA Safety Sign Off Tag (RS-FRM-062) � GWA Safety Sign Off Checklist (RS-FRM-063) 8.18.7 MONITORING AND MAINTENANCE GWA applies corrective action whenever the assessed safety condition of any element of the system requires such action in accordance with section 8.18.3 above. Documented processes have been established and are maintained for the monitoring and maintenance of systems and equipment, which include the following: � Inspection and testing; � Assessment of serviceability; � The carrying out of preventative or corrective action, including the use of � appropriate maintenance practices and procedures, adjustments of

equipment and repair and replacement of faulty equipment; � The monitoring and maintaining of engineering equipment and systems used in maintenance, including:

� adjustment of equipment, � in-situ and operational testing of safety related equipment and systems, � fault rectification.

Examples of Verification: � GWA Procedure for Engineering and Operational Systems Safety

(RS-PRC-021). � GWA Procedure for Process Control - Monitoring, Maintenance and

Modification (RS-PRC-062). 8.18.8 INSPECTION AND TESTING A planned testing and inspection regime ensures that the working environment, items of equipment, plant and/or procedures used in the performance of the organisation’s railway operations conform to pre-determined standards, legislative requirements and/or specifications. The frequency of testing and inspection and other critical details relating to the scope and methodology of testing and inspections is typically contained in the various engineering and operational system safety standards, procedures and specifications that the organisation applies – refer to Attachment A. When considering the frequency of planned testing and inspection, the following factors are considered: � Traffic volume, operational speeds and load limits; � The known or estimated rate of deterioration of critical elements, e.g.

� The consequence of a system failure or any part thereof, � Adverse environmental factors, and � Occurrence experience;

� Original Equipment Manufacturer recommendations; and � Statistical records of safety performance.



Inspection and test records, which provide evidence of the condition of all safety critical elements, have been established and are maintained in accordance with GWA procedure for Document and Data Control (RS-PRC-002). Within GWA, only suitably qualified and experienced personnel are assigned testing and inspection responsibilities. These responsibilities are captured in Position Description Forms and applicable procedures and include: � The development of testing and inspection procedures, � The performance of tests and inspections, � Conformance verification and the identification/rectification of non

conformance.

Where required, personnel engaged in the performance of testing and inspections receive appropriate training in the processes involved. Measuring equipment used for safety-critical tasks is subject to strict control in accordance with the GWA Procedure for Ensuring the Accuracy of Measuring Equipment (RS-PRC-033). This procedure is designed to ensure measuring equipment used for safety-critical tasks is maintained, used correctly with known measurement certainty and is consistent with the required measurement capability. Where the safety of any element of an engineering or operational system cannot be verified prior to its commissioning, or its entry into service, the organisation ensures that special provisions are in place for in-service monitoring. Examples of Verification: � GWA Procedure for Engineering and Operational Systems Safety

(RS-PRC-021). � GWA Procedure for Process Control - Monitoring, Maintenance and

Modification (RS-PRC-062). � Existence of a Register of Measuring Equipment that satisfies the

requirements of the GWA Procedure for Ensuring the Accuracy of Measuring Equipment (RS-PRC-033).

� PDF’s for Asset Managers and other employees that include references to responsibilities for the performance of Inspection and Testing activities.

8.18.9 SYSTEM OPERATION The organisation has established and maintains standards and procedures for the management of trains by train crews and the performance of associated tasks by other rail safety workers. GWA has also established and maintains standards and procedures for traffic management by those responsible for the control and separation of trains and other ‘on rail’ movements. These standards and procedures are documented in Procedure for Process Control – System Operation (RS-PRC-063) and Attachment A.



Examples of Verification: � Procedure for Process Control – System Operation (RS-PRC-063) 8.18.10 MODIFICATION The organisation has also established and maintains documented processes for the modification of safety-related systems which include, where applicable:

� The effects of the proposed modification, implementation and

commissioning of all or part of any modified system, and � The need to record and promulgate changes and modifications.

Risks associated with change are managed in accordance with GWA’s protocols for the Management of Change (RS-PRC-009) and Risk Management (RS-PRC-004).



� GWA Procedure for Process Control - Monitoring, Maintenance and Modification (RS-PRC-063).

8.18.11 DECOMMISSIONING AND DISPOSAL

The GWA SMS contains procedures for decommissioning and if required, the disposal of safety-related equipment and systems. Where appropriate, these documents take into consideration the following factors: � The need to maintain safe railway operations during decommissioning and disposal. � The need to ensure that no ambiguity exists regarding the type of

safeworking system in force at any one location or time. � The need to ensure that decommissioned equipment is clearly identified as

such. � The need to prevent inappropriate re-use of decommissioned equipment

prior to disposal. � The need to eliminate as far as practicable any public hazard associated

with decommissioned equipment, giving consideration to both short and long term conditions.



� GWA Procedure for Process Control - Decommissioning and Disposal (RS-PRC-064).

� GWA Decommissioned Material/System Tag (RS-FRM-063)



8.19. ASSET MANAGEMENT The GWA SMS contains an effective asset management policy and program that extends to all lifecycle phases.

The GWA procedure for Engineering and Operational Systems Safety (RS-PRC-021) details the accountability of line managers and coordinators for all asset safety up to the level of Managing Director. These officers are also responsible for asset integrity and safety. Defined serviceability standards are documented in a range of Codes and Standards that the organisation applies to its various assets.



8.20. INTERFACE COORDINATION

The GWA SMS contains processes for identifying safety interfaces and for developing Interface Coordination Plans (ICP’s) or Safety Interface Agreements (SIA’s). These plans and agreements aim to: � Clearly establish and define the interface; � Determine the functional areas of each organisation involved; � Identify and treat risk associated with the interface; � Identify the subject matter to be considered and resolved; � Assign safety responsibilities to the various interface partners. � Establish which life cycle phase under which each item of subject matter and

the interface itself is to be considered; � Establish what safety-critical information is required by each organisation

from the other to conduct operations across the interface; � Establish and detail the process for the plan’s review; � Establish processes for assessing and monitoring the compatibility of

engineering and operational parameters at the interface; and � Document the means under which other parties may gain access to the

interface. ICP’s and SIA’s are typically supported with Operational Guidelines or Work Instructions and make reference to safety procedures that exist within each organisation and which will be applied to the interface. GWA maintains a register of ICP’s and SIA’s, which details, among other things, the positions of all plan recipients, both within and external to the organisation. Attachment C details the Interface Coordination Plans and Safety Interface Agreements that currently apply to the organisation’s railway activities.

ICPs’ and SIA’s are developed in a consultative manner and subject to planned review. This review is conducted in conjunction with the interface partner(s) and may involve operational staff.



GWA utilises the guidelines contained in Australian Standard AS/NZS 4292 (2006) Railway safety management, Parts 1-5 for further guidance when considering the matter to be addressed at the interface including general and common essential requirements Examples of Verification:

� GWA Procedure for Interface Coordination (RS-PRC-023). � Evidence of the existence of a Register of Interface Coordination Plans that

have been issued to applicable operational areas of the organisation. 8.21. OCCURRENCE AND EMERGENCY MANAGEMENT The GWA SMS contains processes for the reporting and management of emergencies and occurrences that involve the organisation, whether they occur on the GWA Rail Network, or on the networks of other Infrastructure Owners. GWA employees, network users and contractors are required to report all incidents that they observe to Transport Control. These reports are logged and promulgated to all parties on a ‘need to know basis’. GWA utilises the OS-N1 standard and occurrence categories detailed in specific conditions attached to the organisation’s accreditation, or in Regulations that support the various Rail Safety Acts to determine which incidents require reporting to the Regulatory Authorities as Notifiable Occurrences. All incidents reported are subject to an appropriate level of investigation and reporting in accordance with the requirements of the GWA Procedure for Incident Investigation and Reporting (RS-PRC-008) and the guidance material contained in the Appendices to Australian Standard AS/NZS 4292.7 (2006) Railway safety investigation. All reports contain a mechanism for the formulation and implementation of corrective action, while Category A and significant Category B incidents also require the Managing Director’s authorisation for close out. Incidents are logged and monitored until this occurs. Staff charged with responsibility for conducting incident investigations are suitably qualified and/or experienced and receive regular training in incident investigation methodologies and techniques. On occasion, the organisation may engage an external party to conduct an incident investigation on its behalf, and/or a subject matter expert to provide technical input or formulate an opinion relative to the incident. Incident data is routinely collected and subject to trending in a bid to identify any systemic or systematic failures and is reviewed, reported and referenced against KPI’s in a range of forums including the GWA SMS Review Meeting and monthly Senior Management meetings. The effectiveness of any associated corrective action is also reviewed in these forums. Trending data is made available to all operational depots and is also used to compile the organisation’s Annual Rail Safety Report.



All incident reports are maintained in accordance with the requirements of the GWA Procedure for Document and Data Control (RS-PRC-002). Incident reports are also used to inform the organisation’s Risk management process. GWA has developed and maintains suitable processes for responding to and managing incidents and emergencies. These processes are detailed in the following documents, which have been developed in conjunction with the police and emergency service personnel and are subject to routine review and testing as part of planned desk-top and field exercises.

� GWA Response Plan for ‘On Rail’ Emergencies (RS-PRC-006); � GWA Procedure for the Management of ‘On Rail’ Incidents (RS-PRC-007); � GWA Cyclone Response Plan (RS-PRC-017).

The requirements of other network owners are built into these processes. The GWA incident and emergency response plans:

• Assign responsibilities to all affected personnel i.e. train crews, Transport Controllers, Line Managers and Coordinators and Senior Management;

• Provide guidance on the steps to be taken in priority order when responding to an emergency/incident and the people/organisations who need to be informed;

• Detail the liaison that needs to occur between on-site staff, including the GWA Incident Response Coordinator and police/emergency service personnel;

• Detail the need to preserve the scene and any associated documentation/evidence;

• Reinforces the need to preserve life and property and avoid risk-taking while attending to an emergency/incident;

• Describe the resources the organisation will provide/require in the event of an emergency/incident; and

• Contain a list of contact numbers for various emergency service organisations, network train controllers, users of the GWA rail network, GWA contractors, etc.

These GWA plans are supported with training, which is delivered to all operational personnel.



ATTACHMENTS TO RAIL SAFETY MANAGEMENT PLAN



ATTACHMENT A – MATRIX OF GWA PROCEDURES AND DOCUMENTS REFERENCED AGAINST APPLICABLE ELEMENTS OF

AUSTRALIAN STANDARD AS 4292.1 (2006) AND THE NATIONAL RAIL SAFETY ACCREDITATION PACKAGE

AS 4292.1 (2006) CLAUSE NO.

NAP SUBJECT SMS DOCUMENTATION DOCUMENT NO.

SECTION 1 Section 1 and 2

SCOPE AND GENERAL (AS 4292) INTRODUCTION AND THE ACCREDITATION APPLICATION AND DOCUMENTATION (NAP)

� Rail Safety Management Plan � Various policies, procedures and

documents listed below.

RS-PLN-001 Various

Section 2 Section 3 SAFETY MANAGEMENT SYSTEMS

2.1

3.1 General Requirements Introduction


documents listed below.

RS-PLN-001 Various

2.2 3.2 Safety Management Policy Safety Policy

� GWA Rail Safety Policy. � GWA OH&S Policy � Rail Safety Management Plan

RS-POL-001 RS-PLN-005 RS-PLN-001

2.3 3.3 Management and Governance Governance and Internal Control Arrangements

� Rail Safety Management Plan � Management, Governance,

Responsibilities and Authorities � Procedure for Performing Safety

Management System Review � Procedure for Performing Audits � Position Description Forms

RS-PLN-001

RS-PRC-027 RS-PRC-005 RS-PRC-003 Various



AS 4292.1 (2006) CLAUSE NO.


2.4 3.4 Responsibilities and Authorities Management, Accountabilities, Responsibilities and Authorities

� Rail Safety Management Plan � Management, Governance,

Responsibilities and Authorities � Procedure for Performing Safety

Management System Review � Procedure for Performing Audits � Organisation Structure � Position Description Forms

RS-PLN-001

RS-PRC-027 RS-PRC-005 RS-PRC-003 Various Various

2.5 3.5

Resources Management Resource Sufficiency


documents listed below

RS-PLN-001 Various

2.5.1 3.5

Financial Capacity Resource Sufficiency

� Rail Safety Management Plan � Certificates of Currency for:-

� Public Liability � Professional Indemnity � Workers Compensation

RS-PLN-001

2.5.2 3.5

Resource Allocation Resource Sufficiency

� Rail Safety Management Plan � Procedure for Performing Safety

Management System Review � Organisation Structure � Position Description Forms � Staff planning & recruitment strategies

RS-PLN-001 RS-PRC-005 Various Various



AS 4292.1 (2006) CLAUSE NO.


2.6 3.6, 3.6.1, 3.6.2, 3.6.3

Regulatory Compliance Regulatory Compliance

� Rail Safety Management Plan � Procedure for Ensuring Regulatory

Compliance � Annual Rail Safety Reports � Procedure for Incident Investigation and

Reporting � Document Control Register (Acts and

Legislation)

RS-PLN-001 RS-PRC-010 RS -PRC-008 RS-PRC-001

2.7 3.7 Document and Data Control Document Control Arrangements and Information Management

2.7.1 3.7 General � Rail Safety Management Plan � Procedure for Document and Data

Control

RS-PLN-001 RS-PRC-002

2.7.2 3.7 Accuracy, Clarity and Language

� Rail Safety Management Plan � Procedure for Document and Data

Control � Procedure for Determining Literacy and

Numeracy Skills

RS-PLN-001 RS-PRC-002 RS-PRC-012

2.7.3 3.7 Document and Data Approval & Issue


Control


2.7.4 3.7 Document and Data Changes � Rail Safety Management Plan � Procedure for Document and Data

Control




AS 4292.1 (2006) CLAUSE NO.


2.7.5 3.7 Storage and Retention of Safety Records


Control


2.8 3.8 Key Safety Performance Indicators and Performance Monitoring Safety Performance Levels and Performance Measures

� Rail Safety Management Plan � Procedure for Performing SMS Review � Risk Management � Minutes of SMS Review Meetings � Procurement and Contract

Management

RS-PLN-001 RS-PRC-005 RS-PRC-004 N/a RS-PRC-019

2.9 3.8 Safety Management System Review Safety Audit Arrangements

2.9.1 3.8 Annual Review

� Rail Safety Management Plan � Procedure for Performing Audits � Schedule of Audits � Procedure for Performing SMS Review � Procedure for the Reporting of Non

Compliance � Risk Management � GWA Risk Register

RS-PLN-001

RS-PRC-003 RS-PRC-005 RS-PRC-020 RS-PRC-004 N/a

2.9.2 3.8 Record of Annual Review

� Rail Safety Management Plan � Procedure for Performing SMS Review � Annual Rail Safety Report

RS-PLN-001

RS-PRC-005 N/a



AS 4292.1 (2006) CLAUSE NO.


2.9.2 3.8 Record of Annual Review

� Rail Safety Management Plan � Management System Review � Annual Rail Safety Report

RS-PLN-001

RS-PRC-005 N/a

2.9.3 3.8 The Continuous Cycle � Rail Safety Management Plan � Procedure for Performing SMS Review � Procedure for Performing Internal

Audits � Schedule of Audits � Risk Management � Procedure for Incident Investigation and

Reporting � Annual Rail Safety Report

RS-PLN-001

RS-PRC-005 RS-PRC-003 N/a RS-PRC-004 RS-PRC-008 N/a

2.10 Railway Safety Audit

2.10.1 3.9 General � Rail Safety Management Plan � Procedure for Performing Audits � Schedule of Audits � Procedure for the Reporting of Non

Compliance

RS-PLN-001 RS-PRC-003 N/a RS-PRC-020

2.10.2 3.9 Scheduling � Rail Safety Management Plan � Procedure for Performing Audits � Schedule of Audits � Procedure for the Reporting Non

Compliance

RS-PLN-001 RS-PRC-003 RS-PRC-020



AS 4292.1 (2006) CLAUSE NO.


2.10.3 3.9 (4) Reporting � Rail Safety Management Plan � Procedure for Performing Audits � Schedule of Audits � Procedure for the Reporting Non

Compliance

RS-PLN-001 RS-PRC-003 N/a RS-PRC-020

2.11

Change Management Management of Change

� Rail Safety Management Plan � Management of Change � Risk Management � Change Management Checklist

RS-PLN-001 RS-PRC-009 RS-PRC-004 RS-FRM-029

2.11.1 3.10 General � Rail Safety Management Plan � Management of Change � Risk Management � Change Management Checklist


2.11.2 3.10 Requirements � Rail Safety Management Plan � Management of Change � Risk Management � Change Management Checklist


2.11.3 3.10 Safety Validation � Rail Safety Management Plan � Management of Change � Risk Management � Change Management Checklist


2.11.4 3.10 Sign off � Rail Safety Management Plan � Management of Change � Risk Management � Change Management Checklist




AS 4292.1 (2006) CLAUSE NO.


2.12 3.11 Human Factors

� Rail Safety Management System � Rail Safety Policy � Procedure for Incident Investigation and

Reporting � Procedures for Process Control –

various � Various other documents in GWA SMS

RS-PLN-001 RS-POL-001 RS-PRC-008 RS-PRC-060 to RS-PRC-064 Various

2.13 3.12 Security Management Security

� Rail Safety Management Plan � GWA Security Policy � GWA Security Plan � GWA Response Plan for ‘On Rail’

Emergencies � GWA Procedure for the Management of

‘On Rail’ Incidents.

RS-PLN-001 RS-POL-006 RS-PRC-018 RS-PRC-006 RS-PRC-007

2.14

3.13 Safety Culture

� Rail Safety Management Plan � Rail Safety Policy � Management, Governance,

Responsibilities and Authorities � Procedure for Incident Investigation and

Reporting � Position Description Forms � SMS Information Sheets

RS-PLN-001 RS-POL-001 RS-PRC-027 RS-PRC-008 Various N/a



AS 4292.1 (2006) CLAUSE NO.


n/a 3.14 Consultation � Rail Safety Management Plan � Rail Safety Policy � Management, Governance,

Responsibilities and Authorities � Risk Management � Management of Change � Procurement and Contract

Management � Procedure for Process Control –

Various � Position Descriptions

RS-PLN-001 RS-POL-001 RS-PRC-027 RS-PRC-004 RS-PRC-009 RS-PRC-019 RS-PRC-060 to RS-PRC-064 Various

N/a 3.15 3.15.1 3.15.2 3.15.3

Communication � Provision of Safety

Information � Facilitating Communication � Collecting Safety

Information

� Rail Safety Management Plan � Rail Safety Policy � Management, Governance,

Responsibilities and Authorities � Risk Management � Management of Change � Procurement and Contract

Management � Procedure for Process Control –

Various � Position Descriptions � SMS Information Sheets � GWA Rail safety Document Package

RS-PLN-001 RS-POL-001 RS-PRC-027 RS-PRC-004 RS-PRC-009 RS-PRC-019 RS-PRC-060 to RS-PRC-064 Various N/a RS-DPK-001



AS 4292.1 (2006) CLAUSE NO.


Section 3 3.16 RISK MANAGEMENT

� Rail Safety Management Plan � Risk Management Policy � Risk Management � Management of Change � Hazard Identification and Treatment � GWA Risk Register

RS-PLN-001 RS-POL-003 RS-PRC-004 RS-PRC-009 RS-PRC-036 N/A

3.1 3.16 Identification and Assessment of Railway Safety Risks

� Rail Safety Management Plan � Risk Management Policy � Risk Management � Management of Change � Hazard Identification and Treatment � Procedure for Incident Investigation and

Reporting � Procedure for Performing Audits � Procedure for Reporting Non

Compliance � Procedure for Procurement and

Contract Management � GWA Risk Register

RS-PLN-001 RS-POL-003 RS-PRC-004 RS-PRC-009 RS-PRC-036 RS-PRC-008 RS-PRC-003 RS-PRC-020 RS-PRC-019 N/A

3.2 3.16 Risk Control Measures

3.2 3.16.1 3.16.2 3.16.3 3.16.4 3.16.4.1

Risk Control Measures � Risk Assessment Scope

and Context � Hazard Identification and

Risk Assessment � Risk Acceptability Criteria

and ALARP � Definition and

Management of Controls and Elimination of Risks

� Elimination of risk and the

� Rail Safety Management Plan � Risk Management Policy � Risk Management � Management of Change � Hazard Identification and Treatment � Procedure for Incident Investigation and

Reporting � Procedure for Performing Audits � Procedure for Reporting Non

Compliance

RS-PLN-001 RS-POL-003 RS-PRC-004 RS-PRC-009 RS-PRC-036 RS-PRC-008 RS-PRC-003 RS-PRC-020 RS-PRC-019



AS 4292.1 (2006) CLAUSE NO.


3.16.4.2 3.16.5 3.16.6 3.16.7

Hierarchy of Control � Risk Control Systems � Risk Register � Linkages within the Safety

Management System � Staff Risk Management

Competency

� Procedure for Procurement and Contract Management

� GWA Risk Register

N/A

SECTION 4

3.17 PERSONNEL MANAGEMENT

4.1 3.17 General � Rail Safety Management Plan � Rail Safety Policy � Fatigue Management Policy � Policy for Alcohol and Other Drugs � Procedure for Health Assessments � Procedure for Determining Literacy and

Numeracy Skills � Procedure for the Development and

Maintenance of Rail Safety Worker Competency

� Procedure for the Verification of Competency of Contract Rail Safety Workers

� Procedure for Alcohol and Other Drugs Testing

� Management, Governance, Responsibilities and Authorities

� Procedure for Attaining Route Competency

� Procedure for Fatigue Management � Organisation Charts � Position Description Forms

RS-PLN-001 RS-POL-001 RS-POL-002 RS-POL-004 RS-PRC-011 RS-PRC-012 RS-PRC-013 RS-PRC-014 RS-PRC-015 RS-PRC-027

RS-PRC-028 RS-PRC-030 Various Various



AS 4292.1 (2006) CLAUSE NO.


4.2

3.18

Rail Safety Worker Competence

� Rail Safety Management Plan � Rail Safety Policy � Procedure for Health Assessments � Procedure for Determining Literacy and

Numeracy Skills � Procedure for the Development and

Maintenance of Rail Safety Worker Competency

� Procedure for the Verification of Competency of Contract Rail Safety Workers

� Core training curriculum for train operations personnel

� Task competencies matrix for operations personnel

� Procedure for the conduct of competency assessments of operations personnel

� Various Operations Assessments and Test Reports

� Management, Governance, Responsibilities and Authorities

� Procedure for Attaining Route Competency

� Route Standards � InfoRail Database � Position Description Forms

RS-PLN-001 RS-POL-001 RS-PRC-011 RS-PRC-012 RS-PRC-013 RS-PRC-014 TS-PLN-001 TS-PLN-002 TS-PRC-001 TS-FRM prefix RS-PRC-027

RS-PRC-028 Appendix A to RS-PRC-028 N/a Various



AS 4292.1 (2006) CLAUSE NO.


4.3 3.17 Health and Fitness

� Rail Safety Management Plan � Procedure for Health Assessments � Risk Categorisation for Rail Safety

Workers � National Standard and Victorian Code

of Practice for Health Assessment of Rail safety Workers

� InfoRail Database

RS-PLN-001 RS-PRC-011 Various N/a N/a

4.4 3.17.2 Drug and Alcohol Control

� Rail Safety Management Plan � Policy for Alcohol and Other Drugs � Procedure for Health Assessments � Procedure for Alcohol and Other Drugs

Testing � Procedure for Ensuring the Accuracy of

Measuring Equipment

RS-PLN-001 RS-POL-004 RS-PRC-011 RS-PRC-015 RS-PRC-033

4.5 3.17.3 Fatigue Management

� Rail Safety Management Plan � Policy on Fatigue Management � Procedure for Fatigue Management � Minutes of Fatigue Management

Review Meetings

RS-PLN-001

RS-POL-002 RS-PRC-030 N/a



AS 4292.1 (2006) CLAUSE NO.


SECTION 5 3.19 GOODS AND SERVICES PROCUREMENT PROCUREMENT AND CONTRACT MANAGEMENT

5.1 3.19 Procurement Process

� Rail Safety Management Plan � Procedure for Procurement and

Contract Management


5.2 3.19 Contract Management 5.2.1 3.19 General � Rail Safety Management Plan

� Procedure for Procurement and Contract Management

� Pre Contract Checklist � Commercial contracts and agreements

RS-PLN-001 RS-PRC-019 RS-FRM-027 N/a

5.2.2 3.19.1

Contractor Management Pre Contract Activities


Contract Management � Pre Contract Checklist

RS-PLN-001 RS-PRC-019 RS-FRM-027

5.2.3 3.19.2 Assessment of Contractors and Sub-contractors Contract Management


Contract Management � Pre Contract Checklist � Contract Review Checklist � Procedure for the Verification of

Competency of Contract Rail safety Workers

� Procedure for Performing Audits � Procedure for Reporting Non

Compliance

RS-PLN-001 RS-PRC-019 RS-FRM-027 RS-FRM-028 RS-PRC-014 RS-PRC-003 RS-PRC-020



AS 4292.1 (2006) CLAUSE NO.


5.3

3.19.1

Purchasing Pre-contract Activities


Contract Management � Pre Contract Checklist � Risk Management � Procedure for the Verification of

Competency of Contract Rail safety Workers

� Procedure for Performing Audits � Procedure for Reporting Non

Compliance

RS-PLN-001 RS-PRC-019 RS-FRM-027 RS-PRC-004 RS-PRC-014 RS-PRC-003 RS-PRc-020

5.4 3.19.2

Monitoring Contract Management


Contract Management � Pre Contract Checklist � Procedure for Performing Audits � Procedure for Reporting Non

Compliance � Minutes of Contract Management

meetings

RS-PLN-001 RS-PRC-019 RS-FRM-027 RS-PRC-003 RS-PRC-020 N/a

5.5 3.19.2 Audit Process Contract Management

5.6 3.19.3 Review Process


Contract Management � Pre Contract Checklist � Contract Review Checklist � Procedure for Performing Audits � Procedure for Reporting Non

Compliance

RS-PLN-001 RS-PRC-019 RS-FRM-027 RS-FRM-028 RS-PRC-003 RS-PRC-020



AS 4292.1 (2006) CLAUSE NO.


� Minutes of Contract Management meetings

� Minutes of SMS Review Meetings

N/a N/a

SECTION 6 3.20 ENGINEERING AND OPERATIONAL SYSTEMS SAFETY ENGINEERING AND OPERATIONAL SAFETY SYSTEMS

6.1 3.20 3.21.1 3.21.2 3.21.4

General Engineering and Operational Safety Systems � Operational Aspects � Infrastructure Aspects � Rollingstock Aspects � Signalling and

Telecommunications Aspects

� IT Systems that impact on Rail Safety

� Rail Safety Management Plan � Engineering and Operational System

Safety � Various applicable Codes of Practice,

Network Rules and Appendices, Standards, Specifications, Manuals, Procedures and Work Instructions

� Procedure for Interface Coordination

RS-PLN-001 RS-PRC-021 Various (Refer to RS-PRC-021 for details) RS-PRC-023



AS 4292.1 (2006) CLAUSE NO.


6.2

3.21 3.24 3.22

Process Control Inspection and Testing Corrective Action


Safety � Procedure for Process Control –

Monitoring, Maintenance and Modification

� Procedure for Interface Coordination � Risk Management � Procedure for Ensuring the Accuracy of

Measuring Equipment � Procedure for Performing Audits � Procedure for the Reporting of Non

Conformance

RS-PLN-001 RS-PRC-021 RS-PRC-062 RS-PRC-023 RS-PRC-004 RS-PRC-033 RS-PRC-003 RS-PRC-020

6.3 3.23 Engineering Design (previously design and development) Design and Development


Safety � Procedure for Process Control – Design

and Development � Checklist for Process Control – Design

and Development � Procedure for Document and Data

Control

RS-PLN-001 RS-PRC-021 RS-PRC-002 RS-PRC-060 RS-FRM-060 RS-PRC-002



AS 4292.1 (2006) CLAUSE NO.


6.4 6.4.1 6.4.2

3.20 Construction and Installation General Requirements Factors to be Considered



Construction, Installation and Commissioning

� Safety Sign Off Tag � Safety Sign Off Checklist � Procedure for Document and Data

Control � Procedure for reporting Non

Compliance

RS-PLN-001 RS-PRC-021 RS-PRC-002 RS-PRC-061 RS-FRM-061 RS-FRM-062 RS-PRC-002 RS-PRC-020

6.5

3.21 Implementation and Commissioning



Construction, Installation and Commissioning

� Safety Sign Off Tag � Safety Sign Off Checklist � Procedure for Document and Data

Control � Procedure for reporting Non

Compliance

RS-PLN-001 RS-PRC-021 RS-PRC-002 RS-PRC-061 RS-FRM-061 RS-FRM-062 RS-PRC-002 RS-PRC-020



AS 4292.1 (2006) CLAUSE NO.


6.5.1 3.21 General Requirements 6.5.2 3.24. Inspection and Test Plan

Inspection and Testing � Rail Safety Management Plan � Engineering and Operational System



� Procedure for Reporting Non Compliance

� Procedure for Ensuring the Accuracy of Measuring Equipment

� Procedure for Performing Audits

RS-PLN-001 RS-PRC-021 RS-PRC-002 RS-PRC-062 RS-PRC-020 RS-PRC-033 RS-PRC-003

6.5.3 3.24 Monitoring Unverified Equipment


Safety � Risk Management � Procedure for Process Control –



RS-PLN-001 RS-PRC-021 RS-PRC-004 RS-PRC-062 RS-PRC-020



AS 4292.1 (2006) CLAUSE NO.


6.6

Monitoring and Maintenance

6.6.1 3.22 General Corrective Action


Safety � Risk Management � Procedure for Process Control –



RS-PLN-001 RS-PRC-021 RS-PRC-004 RS-PRC-062 RS-PRC-020

6.6.2 3.20, 3.21

Monitoring and Maintenance Requirements





� Procedure for Ensuring the Accuracy of Measuring Equipment

� Procedure for Performing Audits � Discipline-specific Standards,

Specifications, Manuals, Procedures and Work Instructions

RS-PLN-001 RS-PRC-021 RS-PRC-062 RS-PRC-020 RS-PRC-033 RS-PRC-003 Various



AS 4292.1 (2006) CLAUSE NO.


6.7

System Operation

6.7.1

3.21.1.2

Train Management Train Management



System Operation � Network Operating Guides � Operating Manuals and Instructions

RS-PLN-001 RS-PRC-021 RS-PRC-063 ASR-RSD-019 Prefix Various

6.7.2 3.21.1

3.21.1.1 3.21.1.3

Traffic Management Operational Aspects General Traffic Management



System Operation � Network Train Controlling Rules and

Procedures � CoP Australian Rail Network � GWA Addendum to CoP ARN � Various Network Rules, Appendices,

Codes of Practice and Emergency Response Plans

� Train Notices and Bulletins

RS-PLN-001 RS-PRC-021 RS-PRC-062 RS-PRC-034 N/a OP-COP-001 Various Various



AS 4292.1 (2006) CLAUSE NO.


6.8

3.21

Modifications




� Safety Sign Off Tag � Safety Sign Off Checklist � Risk Management � Management of Change � Procedure for Reporting Non

Compliance � Procedure for Performing Audits

RS-PLN-001 RS-PRC-021 RS-PRC-062 RS-FRM-061 RS-FRM-062 RS-PRC-004 RS-PRC-009 RS-PRC-020 RS-PRC-003

6.9

3.20

3.25

Decommissioning and Disposal



decommissioning and Disposal � Decommissioned Material/System Tag


N/a 3.25 Asset Management � Rail Safety Management Plan � Engineering and Operational System

Safety




AS 4292.1 (2006) CLAUSE NO.


SECTION 7 3.26 INTERFACE MANAGEMENT SAFETY INTERFACE COORDINATION

7.1

3.26

General Safety Interface Coordination

� Rail Safety Management Plan � Procedure for Interface Coordination � Various regulatory guidelines regarding

the preparation and recommended content of ICP’s and SIA’s.

� Controlled Document Register (ICP’s)

RS-PLN-001

RS-PRC-023 Various RS-PRC-001

7.2

3.26

Application



� Controlled Document Register (ICP’s)

RS-PLN-001

RS-PRC-023 Various RS-PRC-001

7.3

3.26

Interface Coordination



� Procedure for Engineering and Operational System Safety

� Procedure for Document and Data Control

� Procedure for Performing Audits � Controlled Document Register (ICP’s)

RS-PLN-001

RS-PRC-023 Various RS-PRC-021 RS-PRC-002 RS-PRC-003 RS-PRC-001



AS 4292.1 (2006) CLAUSE NO.


7.4 3.26 Safety Management of the Interfaces

7.4.1 3.26 General Requirements

� Rail Safety Management Plan � Procedure for Interface Coordination

RS-PLN-001

RS-PRC-023

7.4.2

3.26 Common Essential Requirements

� Rail Safety Management Plan � Procedure for Interface Coordination � Various documents relating to network

and operating parameters

RS-PLN-001

RS-PRC-023 Various

SECTION 8 3.27 OCCURRENCE MANAGEMENT OCCURRENCE AND EMERGENCY MANAGEMENT

8.1 Occurrence Notification and Management

8.1.1 3.28 Procedure for Notification of

Occurrences

� Rail Safety Management Plan � Procedure for Incident Investigation and

Reporting � Procedure for Ensuring Regulatory

Compliance � Various reporting forms applicable to

the jurisdictions GWA operates in.

RS-PLN-001 RS-PRC-008 RS-PRC-010 Various



AS 4292.1 (2006) CLAUSE NO.


8.1.2 3.28 Recording and Analysis


Reporting � Procedure for Ensuring Regulatory

Compliance � Procedure for Document and Data

Control � Procedure for Performing SMS Review � Annual Rail Safety Report � Minutes of SMS Review and

Management Meetings � Reports on incident trending and

analysis

RS-PLN-001 RS-PRC-008 RS-PRC-010 RS-PRC-002 RS-PRC-005 N/a N/a N/a

8.1.3 3.28 Investigation

INVESTIGATION


Reporting �


8.1.4 3.28 Review and Rectification

Procedures


Reporting � Procedure for Performing SMS Review � Minutes of SMS Review and

Management Meetings � Reports on incident trending and

analysis

RS-PLN-001 RS-PRC-008 RS-PRC-005 N/a N/a N/a



AS 4292.1 (2006) CLAUSE NO.


8.2 3.27

Emergency Response Occurrence and Emergency Management

� Rail Safety Management Plan � Response Plan for ‘On Rail’

Emergencies � Procedure for the Management of ‘On

Rail’ Incidents � GWA Cyclone Response Plan � Network Emergency Response and

Incident Management Plans

RS-PLN-001 RS-PRC-006 RS-PRC-007 RS-PRC-017 Various

8.3 3.28 Preservation of Evidence

� Rail Safety Management Plan � Response Plan for ‘On Rail’

Emergencies � Procedure for the Management of ‘On

Rail’ Incidents � GWA Cyclone Response Plan � Network Emergency Response and

Incident Management Plans

RS-PLN-001 RS-PRC-006 RS-PRC-007 RS-PRC-017 Various



ATTACHMENT B – ORGANISATION STRUCTURES

Chart 1: Genesee & Wyoming Incorporated Executive Structure and reporting relationship to Genesee & Wyoming Australia

GWI Executive Chairman

Mortimer Fuller III

GWI CEO & President Jack Hellmann

GWI Chief Operating Manager

James W Benz

GWA Managing Director Robert Easthope

GWA Executive Structure (Refer to Chart 2 for details)

Regional Operations in USA

Regional Operations in Canada

Regional Operations in Mexico

Regional Operations in South America



MANAGING DIRECTOR BERT EASTHOPE

GENERAL MANAGER TRANSPORTATION

IAN HALL

GENERAL MANAGER FINANCE

STEPHEN DAWES

GENERAL MANAGER MARKETING MARK LEWIS

GENERAL MANAGER MAINTENANCE

VACANT

NATIONAL RAIL SAFETY MANAGER

SCOTT MACGREGOR

NATIONAL HUMAN RESOURCES MANAGER

VANESSA HOEY

PERSONAL ASSISTANT JULIE PITT

BUSINESS DEVELOPMENT MANAGER

PETER TAYLOR

BULK LOGISTICS MANAGER BARRY NITSCHKE

GRAIN LOGISTICS MANAGER WAYNE JAENSCH

FINANCIAL ACCOUNTANT TANYA NASTEKA

ACCESS & PROPERTY MANAGER

PAUL HOLLITT

ACCOUNTING OFFICERS LORNA PORTARO

LAUREN MARSCHALL LINDA LISTER

PROPERTY COORDINATOR KEN SINFIELD

PROPERTY ASSISTANT MAUREEN DUBOIS

PERWAY SUPERINTENDENT STEVE TAYLOR

ROLLINGSTOCK MANAGER PAUL HURLEY

ENVIRONMENT & PROJECT MANAGER

KYM FULLGRABE

ROLLINGSTOCK COORDINATOR

KRISTIAN SCHUPELIUS

COMMERCIAL ANALYST ALLEXANDRA ALLEN

HR OFFICER AMY RADFORD

RESOURCE PLANNING COORDINATOR

TREVOR KENNEWELL

FINANCE OFFICER PETER THORN

RAIL SAFETY SYSTEMS OFFICER REBECCA JONES

Chart 2: GWA Corporate Structure



Chart 3: GWA Transportation Structure

GENERAL MANAGER TRANSPORTATION

IAN HALL

DEPOT COORDINATOR PT LINCOLN BEN LEES

BUSINESS MANAGER TONY WORBY

TRANSPORTATION MANAGER VACANT

TRAINING & DEVELOPMENT

MANAGER JO-ANNE GALEA

DEPOT COORDINATOR DARWIN

ROB RUDOLPH

DEPOT COORDINATOR PT PIRIE / PT AUGUSTA

LES PROMNITZ

ADMINISTRATION ASSISTANT

ALISA WILLIS

CREW ROSTERING JIM CAREY

DRIVER COORDINATORS ADELIADE

(3)

TECHNICAL TRAINER MICK O’TOOLE

TRAIN MANAGEMENT COORDINATOR

GEOFF STRANSBOROUGH

ADVANCED RAIL OPERATOR DRY CREEK

JOHN LINDBLOM

TRANSPORT CONTROLLERS

(7)

TRAIN MANAGERMENT OFFICER

MARK SIMS

SHIFT SUPERVISORS (4)

ADMINISTRATION OFFICER LINDA MOORE

DEPOT COORDINATOR WHYALLA

PAUL CHOPIN

DRIVER COORDINATORS (2)

REG HARRIS SHANE BERG

DRIVER COORDINATOR PT LINCOLN

JOHN MEIGEL



ATTACHMENT C - GWA INTERFACE COORDINATION PLANS AND SAFETY INTERFACE AGREEMENTS

Doc Ref. Other Ref. Interface Party Nature of Interface

SIA 003-2007 Interail Australia Pty Ltd Provision of Train Crewing Services for the Adelaide to Melbourne Container Service (AM6)

A101-600-008 N/a AWR Cook Fuel Service RS-ICP-001 N/a AusBulk Ltd (ABB Ltd) Loading, Haulage and Discharge of Rollingstock at various Sites throughout

SA.

RS-ICP-002 N/a Transfield Services Maintenance of Track, Civil and Electrical (Signalling) Infrastructure and Telecommunications on the ASR Network.

RS-ICP-003 N/a Gypsum Resources Aust.

Definition and Management of Freight Services at Kevin and Thevenard

RS-ICP-004 N/a Penrice Soda Products Pty Ltd

Definition and Management of Freight Services between Angaston and Osborne

RS-ICP-009 Zinifex Ltd Freight Services at Port Pirie Zinifex Tippler Siding

RS-ICP-010 EDI Rail-ICP-ASR Downer EDI Rail Maintenance, Examination and Recovery of Rollingstock and Access to Facilities

RS-ICP-013 BJB-ICP-001(4) BJB Joint Venture Rail Maintenance

Reporting of Track Conditions and the Management of 'On Rail' Movements Associated with the Performance of Track Maintenance Activities on the Tarcoola - Darwin Railway

RS-ICP-014 N/a Pacific National Ltd Management of Railway Operations in Facilities Owned by GWA

RS-ICP-018 KLAU ICP-IC 2.1c 2.1

Kerry Logistics Performance of Shunting Activities within Kerry Logistics Terminal

RS-ICP-022 S1.1.2 ASR ICP Bluebird Rail Operations

On Rail' movements conducted within the Islington Workshops.




RS-ICP-023 TA02 ARTC Ltd Interface Coordination on ARTC Portion of the DIRN

RIP 025 TransAdelaide Procedure for Movements to Travel between TransAdelaide's Rail Network and GWA yard at Dry Creek

RS-ICP-024 RIP 007, RIP 008, RIP 010, RIP 011,

TransAdelaide Procedures for Movement of Travel - Various Locations

RS-ICP-031 N/a Pacific National PNL Terminals - Tarcoola to Darwin railway

RS-ICP-033 FL-ICP-002 FreightLink Management of Train Control, Provision of Communication Systems and Promulgation of Network Operating Parameters on the Tarcoola - Darwin Railway.

RS-ICP-034 FL-ICP-003 Freight Link Provision of Rail Operation Services and the Supply of Rollingstock for GWA Freight Services

RS-ICP-037 N/a Great Southern Railroad

Operation of Passenger Trains on the Tarcoola - Darwin Railway.

RS-ICP-038 20040913 AWB GrainFlow Access into and out of Mallala Balloon Loop and rail movements within facility.

RS-ICP-039 20040913 AWB GrainFlow Access into and out of Pinnaroo Rail Loading facility and rail movements within facility.

RS-ICP-040 ARTC IA63; FreightLink FL-ICP-005

ARTC Ltd/FreightLink Operation of Movements at Tarcoola and Between Tarcoola and Carnes

RS-ICP-041 IA 31 ARTC For various interfaces throughout SA RS-ICP-042 N/a CFCL Lease utilisation and Maintenance of Rollingstock

RS-ICP-044 OM (Manganese) Loading of ASR trains at Muckaty Siding

RS-ICP-045 N/a South Spur Rail Services

Access and operation within Port Augusta, Whyalla and Port Pirie Yards




RS-ICP-052 PRIO_051 Patrick PortLInk, Toll SPD

Services within GWA Port Pirie facility and Zinifex siding.

RS-ICP-072 FL-ICP-008 FreightLink/Port of Darwin

ICP for the Berrimah Bulk Discharge facility and Rail Causeway between Freight LInk Pty Ltd and Darwin Port Corporation (In hard copy only)

RS-ICP-073 2040803 AWB GrainFlow Crystal Brook interface agreement - safeworking and operational procedure

RS-ICP-074 N/a AWB GrainFlow Dimboola interface agreement - safeworking and operational procedure

RS-ICP-075 N/a ETSA Utilities Performance of work in close proximity to trains operating between the OneSteel Whyalla Steelworks and Iron Duke

RS-ICP-076 TBA GrainCorp Interface Coordination For GrainCorp Temorah Terminal

RS-ICP-077 ICP-GC-GWA-02 GrainCorp Interface Coordination For GrainCorp Junee Terminal

RS-ICP-078 (GNC) ICP-GC-GWA-3020.1.0

GrainCorp Interface Coordination for GrainCorp Parkes Terminal

RS-ICP-079 SIA IFM 001 CFCLA Interface Coordination Plan between Chicago Freight car Leasing and GWA for Rollingstock Testing

RS-ICP-080 N/a SCT Logistics Provision of Hook and Pull Services

RS-ICP-081 N/a Pacific National Ltd Hire of 3000 HP Locomotives




RS-ICP-082 TMP-5003-OP-1003

TRAX Eyre Peninsula Track Works (SA)

RS-ICP-083 N/a Eco Fab Australasia Pty Ltd

Use of Designated Track and Land in Port Pirie Rail Yard (SA)

RS-ICP-084 1/08-05-2007 GrainCorp Operations Ltd

Interface Coordination Plan for Geelong Export Terminal (VIC)

RS-ICP-085 N/a Territory Iron Loading of Trains with Bulk Product and Safeworking Arrangements at Union Reef (NT)

RS-ICP-086 N/a Rail Technical Support Group Pty Ltd

Access to Dry Creek North Rail Yard for the purpose of maintaining Queensland Rail Rollingstock

RS-ICP-087 EZ-ICP-VICOP00005.2

El Zorro Transport Pty Ltd

Provision of Contract Rail safety Workers for the Operation of Accredited Services in Victoria, New South Wales and South Australia

RS-ICP-088 N/a Australian Zircon NL Loading of Trains and Safeworking Arrangements at Mindarie (SA)

RS-ICP-089 N/a DP World Loading and Unloading of GWA Trains and Safeworking Arrangements at DP World Outer Harbour Marine Terminal