Principal Regulator > FAQ

What is an IRTO?

An Interjurisdictional Rail Transport Operator (IRTO) is a rail transport operator who conducts or proposes to conduct rail operations in more than one jurisdiction (a State of Australia, the Australian Capital Territory and the Northern Territory).

What is the Role of a Principal Regulator?

The Principal Rail Safety Regulator (Principal Regulator) becomes the first point of contact and coordinator of specific regulatory functions in respect of an IRTO to reasonably ensure:

the obligations for uniform administration of accreditation are undertaken;
audits of IRTOs are coordinated where matters of interest to a number of Relevant Regulators are being examined;
there is consistency in approach by Regulators;
IRTOs are assisted with legislative enquiries; and
a Principal Regulator is a contact point for coordinated knowledge of an IRTO, including information that other jurisdictions have about the IRTO, and that the knowledge and information is maintained and is current.

The role of the Principal Regulator, is administrative in nature, as agreed by the Rail Safety RegulatorsÕ Panel and is not established or defined in legislation.

Why has the Principal Regulator concept been developed?

The RSRP established the role of Principal Regulator to assist in meeting the uniform administration requirements of the National Model Rail Safety Law and the broader policy intent of a common nationally consistent regulatory framework.

It is intended that the Principal Regulator will provide an initial point of entry and ongoing coordination outcome for enquiries relating to accreditation or notification matters for a particular IRTO so as to reduce the regulatory burden for IRTOs.

How will the Principal Regulator concept work?

Where an IRTO is accredited, or is applying for accreditation, in one or more jurisdictions, a Relevant Rail Safety Regulator shall be appointed to be the Principal Regulator for that operator. The Principal Regulator will be responsible for coordinating regulatory activity in relation to the accreditation and audit of the IRTO.

The Principal Regulator for an IRTO is determined by agreement of the Relevant Rail Safety Regulators, that is, any regulator who has a direct regulatory interest or role in relation to the IRTO.

What is the Principal Regulator for an IRTO responsible for?

The Principal Regulator for an IRTO is responsible for:

coordinating applications for accreditations and variations to accreditation from the IRTO and referring them to the Relevant Rail Safety Regulators.
co-ordinating national audits and audit outcomes in relation to the IRTO;
notification of decisions to Relevant Rail Safety Regulators in respect of enforcement actions being undertaken by regulators concerning the IRTO;
participating in inquiries, investigations, inspections or other activities, where requested, when such activities are undertaken by another Relevant Rail Safety Regulator in relation to the IRTO;

referring correspondence from the IRTO to the Relevant Rail Safety Regulators that the IRTO request be so referred, or which the Relevant Rail Safety Regulators
requests to see in order to make decisions about the IRTO;
keeping the Relevant Rail Safety Regulators informed in respect of significant safety risks associated with the IRTO;
making recommendations to the Relevant Rail Safety Regulators or the RSRP about the operator that it considers necessary;
communicating with an IRTO on behalf of another Regulator (specifically limited to accreditation, notifications on changes and variations to accreditation).

How do I know who the Principal Regulator is for an IRTO?

A national register of accredited railway operators has been established to facilitate implementation of the Principal Regulator concept. A three letter code has been allocated to each Rail Transport Operator in Australia.

The Register of Accredited Railways (include link) can be found on the RSRP website which is updated regularly.

What factors influence the decisions on selecting a Principal Regulator?

Factors that may influence the decission on the selection of the Principal Regulator can include:

the jurisdiction in which the corporate management of the safety management system is undertaken and/or administered;
where the IRTO was first granted accreditation;
where the majority of the railway operations are undertaken; and/or
the capacity of a Regulator to fulfil the role of Principal Regulator.

What is the role of a Lead Regulator?

The Lead Regulator is, as established in the National Guidelines for Uniform Administration of Accreditation, the Regulator that has the coordination lead for a specific issue or activity.

What is the difference between the role of a Lead Regulator and the role of a Principal Regulator?

The Lead Regulator is as defined above; whereas the Principal Regulator has overall responsibility for the coordination of accreditation and audit matters for a particular IRTO.
The Lead Regulator, if not the Principal Regulator, will keep the Principal Regulator informed in relation to applications for accreditation, variation to accreditation, notification of change, audits findings and the status of any follow up actions in relation to the audit.

When will the Principal Regulator concept be implemented?

A Memorandum of Understanding (MOU) was signed in December 2010 between the Rail Safety Regulators.

To support the MOU, the RSRP has developed:

standard national accreditation procedure including a standard national accreditation application form and standard accreditation notice
standard national audit procedure including a standard format for audit reports
A MOU in relation to Disclosure of Information between Rail Safety Regulators, which sets out protocols for sharing rail safety information between regulators relating to particular operators on safety issues
A Reciprocal Assistance and Reciprocal Powers Agreement to support cross border operation by regulators and rail safety officers under corresponding rail safety laws, which is currently before State and Territory Ministers for endorsement.

The RSRP has implemented the standard national accreditation and audit procedure, and will progressively implement other aspects of the Principal Regulator proposal by July 2011.

How will implementation of the Principal Regulator effect what I currently do?

If you are an IRTO, all regulatory activity relating to accreditation and audit will be coordinated by a Principal Regulator.

This will mean that a single coordinated regulatory response will be provided in relation to accreditation and audit, which will address all matters raised by Relevant Rail Safety Regulators.

In the event that an issue cannot be resolved between regulators, there is a Dispute Resolution Process to refer the matter to the RSRP for consideration and to propose a decision on the issue in dispute.

How will matters of dispute between IRTOs and other Rail Safety Regulators be handled by the Principal Regulator?

It is not the role of the Principal Regulator to:

exercise authority over the regulatory and administrative decisions of other Relevant Rail Safety Regulators; or
act as a reviewer or arbitrator in matters of conflict resolution or appeal between IRTOs and other Relevant Rail Safety Regulators.
A Dispute Resolution Process has been developed by the RSRP in the event that an issue cannot be resolved between regulators. The RSRP Chair shall facilitate full RSRP consideration in the matter, and the RSRP is to propose a decision on the issue