Rail Safety Investigations

Introduction

In July 1996, Federal and State governments signed an Intergovernmental Agreement (IGA) to legislate terms for national rail safety and accreditation processes for third party access to government-owned infrastructure by private and government-owned rail operators.

Each State and Territory now has their own Rail Safety Regulator with overall responsibility for safety accreditation of rail operators and track managers, the continuous improvement of operators’ safety management systems and monitoring compliance through inspections and audits.

National model legislation and regulations for rail safety have been developed by the National Transport Commission (NTC), and representatives of all jurisdictions and the rail industry. These are to be implemented by the end of 2008. However, early indications are that different positions are expected to be adopted by jurisdictions on what is supposed to be uniform legislation. For more information see the Information Sheet on Rail Safety Regulation.

The new national model legislation and regulations also define requirements for operators to report rail accidents and incidents. These rail accidents and incidents are investigated by either the State and Territory Rail Safety Regulator (or other designated authority) or the Australian Rail Safety Bureau (ATSB).

This Information Sheet provides an overview summary of key elements of Rail Safety Investigations in Australia.

Rail Safety Investigations in Australia

Railway safety investigations are undertaken in accordance with Australian standard AS4292.7-2006: Railway Safety Management – Railway Safety Investigation. This specifies the setting of terms of reference, conduct of the investigation, the development of conclusions, the identification of safety actions, the presentation of reports, the management review of reports and the close-out of safety actions. The Standard does not address remedial action or formulating prescriptive solutions arising from a report.

Australian Transport Safety Bureau (ATSB)

The ATSB was formed in July 1999 as an operationally independent body within the Federal Department of Infrastructure, Transport, Regional Development and Local Government. ATSB is Australia’s prime agency for transport safety investigations aiming to maintain and improve transport safety and public confidence through:

1. independent investigation of transport accidents and other safety occurrences:
2. safety data recording, analysis and research; and
3. fostering safety awareness, knowledge and action.

ATSB is entirely independent from transport regulators and service providers. It functions under the Transport Safety Investigation Act 2003 (TSI Act) which consolidated best practice investigatory processes in aviation and marine transport modes and applied them to rail. ATSB investigations do not apportion blame or liability but focus on finding why the accident occurred and recommending action aimed at reducing or eliminating the chance of recurrence.

The TSI Act allows the ATSB to investigate rail accidents and serious incidents that have occurred on the national interstate rail track network. However, the ATSB does not currently investigate every reported rail accident or incident but follows a policy of selective investigations similar to that adopted by many equivalent overseas agencies. This allows concentration of ATSB’s resources on investigations most likely to enhance transport safety. The TSI Act requires the ATSB to publish a report after an investigation has been completed.

Memoranda of Understanding (MOU) are in place between ATSB and the individual State Regulators relating to investigations of rail accidents or incidents on the national interstate rail network.

ATSB may also investigate intrastate rail accidents and incidents when requested by the States and Territory Regulators.

State and Territory Rail Safety Investigations

Historically responsibility for rail safety has rested with the States and Territories. However, since the early 1990s there have been significant changes to the rail industry structure and access to rail infrastructure (Endnote 1). Privatisation has seen a decline in government ownership and management of railways and today’s rail industry comprises:

1. separated ‘Above Rail’ operations (freight and passenger trains) and ‘Below Rail’ activities (track ownership, maintenance & construction, access to the rail network to run trains and allocation of train paths); and
2. private freight and passenger operations crossing traditional State and Territory borders under third-party access conditions.

While the total national interstate rail network comprises specifically defined rail track corridors within each State jurisdiction, the ATSB may investigate rail accidents and incidents on this network under the TSI Act as outlined above. Should the ATSB decide not to investigate a particular rail accident or incident then the State or Territory jurisdiction in which the accident or incident occurred will undertake the investigation.

State and Territory jurisdictions are responsible for investigating rail accidents and incidents on their respective intrastate rail networks under their responsibility but they may request the ATSB to assist with serious accidents and incidents. The ATSB has the right to consider each request on its merits and the availability of its resources.

In summary, the majority of rail safety investigations continue to be undertaken under the auspices of State and Territory jurisdictions.

Rail Safety and the Role of Industry

Responsibility for rail safety in Australia is shared by the rail industry and governments under a co-regulatory approach. Industry is responsible for:

1. addressing risks to safety by identifying and implementing the most effective and efficient solutions to their safety management systems; and
2. achieving required safety outcomes.

Industry is required to report rail safety occurrences to Regulators. Data is used to analyse safety programs and is collated by the individual Regulators and provided to the ATSB for national publication.

Underpinning the 1996 IGA on national rail safety was the original development in 1995 by the rail industry of Australian Standard AS 4292 – Railway Safety Management, under the auspices of Standards Australia. The rail industry continues the development and management of national standards, rules and codes of practice through the Rail Industry Safety and Standards Board (RISSB). RISSB is accredited by Standards Australia as a Standards Development Organisation.

For more information about RISSB, please visit www.rissb.com.au

Over the past three years, the rail industry has participated with the National Transport Commission and Rail Safety Regulators to develop national model legislation and regulations for rail safety.

Australian Rail Safety Occurrence Data

Definitions for data collection have been developed by the Rail Safety Regulators and the rail industry. Under the terms of a MOU, each rail safety regulator provides their jurisdiction’s data to the ATSB for national publication. Rail safety definitions are available on the ATSB website www.atsb.gov.au

This data is used to assist rail safety professionals and researchers in undertaking and mitigating risk and informing the public about emerging rail safety issues. A report on the Australian Rail Safety Occurrence Data, January 2001 to December 2007, is also available on the ATSB website.

National Transport Policy

The House of Representatives Standing Committee on Transport and Regional Services Report (July 2007)  – The Great Freight Task – Is Australia’s transport network up to the challenge? contained the following recommendation #21:

‘The Committee considers that only COAG is in a position to achieve the necessary cooperation between jurisdictions. It recommends that COAG undertake, as a matter of urgency, consultations with state and local government authorities, to seek agreement that transport networks should be treated as a single Australia-wide system…’

The Australian Transport Council (ATC), comprising Australia’s Transport Ministers, have agreed that ‘Australia requires a safe, secure, efficient, reliable and integrated national transport system that supports and enhances our nation’s economic development and social and environmental well-being’ and have adopted guiding objectives and principles for achieving a National Transport Policy. (Endnote 2)

Earlier in 2008 Australia’s Transport Ministers, through the Australian Transport Council (ATC), agreed there is a need for a national approach to transport policy. The initial steps to reform will focus on proposals for a single national system for the regulation, registration and licensing of heavy vehicles, a national rail safety regulator and a national rail safety investigator.

In July 2009, the Council of Australian Governments (COAG) agreed (Endnote 3):

1. ‘implement national regulation for maritime safety, rail safety and heavy vehicles; this will mean improved safety and reduced costs and regulatory burden for Australian transport companies as well as reduced costs of export and trade.’ 
2. ‘to develop a national rail safety regulatory system with further consideration of the scope and form of the regulator following receipt of advice at the end of 2009 from the Standing Committee on Transport on specific safety requirements within jurisdictions, especially in relation to urban systems and the interface with interstate and freight operations.’

The timetable provides for COAG approval of a national plan by mid-2011.

The rail industry acknowledges the COAG July 2009 decision to further consider the establishment of a national rail safety regulator and a national rail safety investigator. However, it is disappointed with the proposed mid-2011 target date for approval of a national plan and has called for COAG to reconsider its decision and to fast track the review of options for consideration before the end of 2009 or early 2010 at the latest.

Endnotes
1. See Information Sheet Australia’s Rail Industry’ – Table 1 - for a summary overview.
2. Australian Transport Council, joint Communique, 2 May 2008.
3. COAG Meeting 2 July 2009 – Communique

Revised July 2009