Records Authority 2015/00328665

Australian Rail Track Corporation

Rail Access Services; Rail Business Development; Rail Infrastructure Management

2016

This is an accurate reproduction of the authorised records authority content, created for accessibility purposes

Introduction

The Australian Rail Track Corporation (ARTC) and the National Archives of Australia have developed this records authority to set out the requirements for keeping or destroying records for the core business areas of Rail Access Services, Rail Business Development and Rail Infrastructure Management. It represents a significant commitment on behalf of ARTC to understand, create and manage the records of its activities.

This records authority is based on the identification and analysis of the business of ARTC. It takes into account the agency's legal and organisational records management requirements, and the interests of stakeholders, the agency and the National Archives.

The records authority sets out those records that need to be retained as national archives and specifies the minimum length of time that temporary records need to be kept. This records authority gives ARTC permission under the Archives Act 1983, for the destruction of the temporary records described after the minimum retention period has expired. Retention periods for these temporary records are based on: an assessment of business needs; broader organisational accountability requirements; and community expectations, and are approved by the Archives on the basis of information provided by the agency.

As changes in circumstances may affect future records management requirements, the periodic review of this authority is recommended. All amendments must be approved by the Archives.

Application of this Authority

  1. This records authority is to be used to determine how long records must be kept. Records are matched to the relevant core business and records class in the records authority.
    • Where the minimum retention period has expired and the records are not needed for agency business they should be destroyed as authorised in this records authority.
    • Records that have not reached the minimum retention period must be kept until they do.
    • Records that are identified as ‘retain as national archives' are to be transferred to the National Archives for preservation.
  2. This records authority should be used in conjunction with general records authorities such as:
    • Administrative Functions Disposal Authority (AFDA) and/or AFDA Express issued by the Archives to cover business processes and records common to Australian Government agencies;
    • General Records Authority 31 for source (including original) records that have been copied, converted or migrated.
  3. The normal administrative practice (NAP) provision of the Archives Act 1983 gives agencies permission to destroy certain records without formal authorisation. This usually occurs where records are duplicated, facilitative or for short-term use only. NAP does not replace arrangements agreed to in this authority but can be used as a tool to assist in identifying records for destruction together with an agency's records authority or authorities, and with AFDA and AFDA Express. The Archives recommends that agencies develop and implement a normal administrative practice policy. Advice and guidance on destroying records as a normal administrative practice and on how to develop an agency NAP policy is available from the Archives' website at www.naa.gov.au.
  4. Records that are reasonably likely to be needed as evidence in a current or future judicial proceeding or are subject to a request for access under the Archives Act 1983, the Freedom of Information Act 1982 or any other relevant act must not be destroyed until the action has been completed.
  5. Records subject to a disposal freeze must not be destroyed until the freeze has been lifted. Further information about disposal freezes and whether they affect the application of this authority is available from the Archives website at www.naa.gov.au.
  6. Where the method of recording information changes (for example from a manual system to an electronic system, or when information is migrated from one system to a new system) this records authority can still be applied, providing the records document the same core business. The information must be accessible for the period of time prescribed in this records authority. The agency will need to maintain continuing access to the information, including digital information, for the periods prescribed in this records authority or until the information is transferred into the custody of the Archives.
  7. In general, retention requirements indicate a minimum period for retention. The ARTC may extend minimum retention periods if it considers that there is an administrative need to do so, without further reference to the Archives. Where ARTC believes that its accountability will be substantially compromised because a retention period or periods are not adequate, it should contact the Archives for review of the retention period.
  8. Records coming within ‘retain as national archives' classes in this records authority have been determined to be part of the archival resources of the Commonwealth under Section 3C of the Archives Act 1983. The determination of Commonwealth records as archival resources of the Commonwealth obliges agencies to transfer the records to the Archives when they cease to be current and, in any event, within 15 years of the records coming into existence, under Section 27 of the Archives Act 1983.
  9. Records in the care of agencies should be appropriately stored, managed and preserved. Agencies need to meet this obligation to ensure that the records remain authentic and accessible over time. Under Section 31 of the Archives Act 1983, access arrangements are required for records that become available for public access including those records that remain in agency custody.
  10. Appropriate arrangements should be made with the Archives when records are to be transferred into custody. The Archives accepts for transfer only those records designated as national archives.
  11. Advice on how to use this records authority is available from ARTC's records manager. If there are problems with the application of the authority that cannot be resolved, please contact the Archives.

Contact Information

For assistance with this authority or for advice on other records management matters, please contact National Archives' Agency Service Centre.

Queen Victoria Terrace
Parkes ACT 2600

PO Box 7425
Canberra Mail Centre ACT 2610

Email: recordkeeping@naa.gov.au
Website: www.naa.gov.au

Authorisation

Person to whom notice of authorisation is given:

Mr John Fullerton
Chief Executive Officer
Australian Rail Track Corporation
11 Sir Donald Bradman Drive
Keswick Terminal SA 5035

Purpose:

Authorises arrangements for the disposal of records in accordance with Section 24(2)(b) of the Archives Act 1983.

Determines records classed as 'Retain as national archives' in this records authority to be part of the archival resources of the Commonwealth under Section 3C of the Archives Act 1983.

Application:

All core business records relating to Rail Access Services, Rail Business Development and Rail Infrastructure Management.

This authority gives permission for the destruction, retention or transfer to the National Archives of Australia of the records described. This authority will apply only with the consent of the agency currently responsible for the business documented in the records described.

Authorised by:

Anne Lyons
Assistant Director-General
National Archives of Australia

25 February 2016

Classes

Rail Access Services

The core business of managing access to rail services for the transportation of freight by commercial train operators. Access is managed by providing planned and controlled transit of trains and other activities that involve the movement on, or ingress to and egress from, the national rail network.

The core activities include:

  • developing and implementing policies, procedures, strategies, frameworks, principles and rules;
  • developing and implementing operational standards for access and use of rail;
  • assessing, authorising and managing requests for access to, and sale of, train paths and associated facilities;
  • negotiating, establishing and implementing agreements and contracts, including Access Agreements and Access Undertakings;
  • fulfilling regulated compliance requirements and agreed terms and conditions;
  • managing customer services and access pricing;
  • planning train paths and timetables;
  • controlling the movement of trains;
  • handling breaches of safe-working rules and other infringements;
  • managing, investigating and reporting on rail incidents; and
  • handling complaints, feedback and enquiries.

The performance of the core business is supported by general activities such as:

  • managing internal and external audits;
  • providing and receiving advice;
  • managing and participating in internal and external committees and meetings;
  • delegating powers and authorising actions;
  • reporting, evaluating and reviewing;
  • liaising with stakeholders;
  • managing staff representatives on industry bodies; and
  • identifying, assessing and managing risks.

Cross references to other areas of this records authority

For the identification and development of rail investment strategies and plans, use RAIL BUSINESS DEVELOPMENT.

For managing the construction, conservation and maintenance of above rail and below rail infrastructure and corridor land use, including the acquisition or resumption of land, implementing planned and reactive maintenance activities, and undertaking maintenance of communication systems to control and safeguard the movement of trains on the network, use RAIL INFRASTRUCTURE MANAGEMENT.

For environmental licences, permits and accreditation notices for rail safety, use RAIL INFRASTRUCTURE MANAGEMENT.

For as-built technical drawings and plans relating to the design, upgrade and/or construction of rail infrastructure, use RAIL INFRASTRUCTURE MANAGEMENT.

Cross references to AFDA Express Records Authority

For advice, briefs and submissions to the portfolio Minister, cabinet submissions and the organisation's participation in formal inquiries, use GOVERNMENT RELATIONS.

For media releases, use COMMUNITY RELATIONS and/or GOVERNMENT RELATIONS.

For payment of monies relating to the sale of train paths, use FINANCIAL MANAGEMENT.

Cross references to other records authorities

For endorsement of track access billing arrangements by the agency's governing body (ie the ARTC Board), use GOVERNING BODIES.

For developing and executing contracts under seal or deeds, use CONTRACTS UNDER SEAL/DEEDS.

Class no Description of records Disposal action
61816

The following significant records documenting

  • developing and reviewing operational policies, principles and rules relating to rail access services (eg Review of System Wide True-Up Test). Includes final versions, policy proposals, stakeholder consultations, major drafts and supporting research;
  • developing and reviewing national and high-level rail access services plans (eg Master Train Plan), strategies (eg Hunter Valley Corridor Capacity Strategy), standards (eg Route Access Standards, Network Management Principles) and frameworks. Includes final versions, major drafts, stakeholder consultations and supporting research;
  • major incidents which involve: fatalities, serious injuries or major system breakdowns and failures, such as collisions and derailments; extraordinary circumstances or extensive disruption to services; or substantial damage to structures, such as damage caused by significant flooding. Includes incident reports, background and briefing papers, investigation and joint investigation reports, and train control records associated with the case such as graphs, event logs, voice logs, field logs, master shift rosters, safe-working notifications and rules, and associated data. Also includes witness statements, interview transcripts, evidence, records of legal proceedings, supporting research, and determinations and outcomes;
  • final versions of significant agreements and contracts and supporting documents that: relate to substantial access agreements or the establishment of major partnerships or cooperative arrangements with other governments, agencies and organisations (eg Hunter Valley Rail Network Access Undertaking); are controversial, of public interest or ground-breaking in nature; or have substantial implications for the conduct of agency business. Includes Track Access Agreements and Access Undertakings, Memorandums of Understanding, and joint venture agreements;
  • development of high-level internal and external reports, including major statistical and performance indicator reports (eg True-Up Test Results and Reports). Includes final versions, major drafts, stakeholder consultation and supporting research;
  • high-level internal and external, including inter-governmental or inter-agency, committees, working groups and other bodies where the agency provides the secretariat, is the Australian Government’s main representative, or plays a prominent or central role (eg Rail Advisory Committee; Rail Capacity Group). Includes establishment documentation, agenda, final version of minutes, reports and tabled papers;
  • providing and receiving high-level advice. Includes final version of advice, position papers, opinions and briefings;
  • summary records supporting the core business, such as registers of agreements and train path sales;
  • master set of manuals and directives detailing procedures supporting rail access services, such as the Train Operating Conditions Manual, the Route Access Standards Manual and Network Rules and Procedures. Includes waivers; and
  • high-level reviews of the core business, including national and sector-wide reviews and major internal reviews. Includes final review reports, recommendations, major drafts, submissions and supporting research.
Retain as national archives
61817

Records documenting:

  • negotiation, establishment, maintenance and review of agreements and contracts, other than those covered in class 61816 (eg Safety Interface Agreements). Excludes contracts under seal or deeds.
Destroy 12 years after completion or other termination of contract
61818

Records documenting the routine operations of train control centres, other than those covered in class 61816. Includes graphs, voice logs, field logs, event logs, shift rosters, track possession authorities, safe-working notices, safe alerts, daily train schedules and manifests.

Destroy 3 months after action completed
61819

Records documenting:

  • routine operational administrative tasks supporting the core business; and
  • rail access services activities, other than those covered in classes 61816 to 61818.
Destroy 7 years after action completed

Rail Business Development

The core business of identifying, analysing and developing strategic business opportunities, initiatives and ventures with third parties to increase rail's share of the interstate freight market and foster a commercially viable Australian rail industry. Includes enabling public and private sector investment in below rail (track and signalling) infrastructure with the aim of optimising commercial returns and promoting rail as a link in the national logistics chain.

The core activities include:

  • developing and implementing rail business development policies, plans and strategies;
  • receiving and responding to commercial tenders and requests for quotes related to rail network development;
  • preparing responses to requests for proposal from State and Territory Governments;
  • liaising and consulting with stakeholders;
  • developing and implementing marketing and public awareness promotional campaigns;
  • preparing addresses and speeches;
  • undertaking or commissioning research; and
  • developing submissions.

The performance of the core business is supported by general activities such as:

  • providing and receiving advice;
  • delegating powers and authorising actions;
  • managing and participating in committees and meetings;
  • handling enquiries;
  • monitoring, evaluating and reviewing;
  • developing and implementing procedures; and
  • managing staff representatives on industry bodies.

Cross references to other areas of this records authority

For managing long-term leasing arrangements of State Government owned rail corridors and infrastructure, use RAIL INFRASTRUCTURE MANAGEMENT. For developing and implementing capital investment strategies, programs and agreements, including capital investment joint ventures with third parties, use RAIL INFRASTRUCTURE MANAGEMENT.

For negotiating, establishing and managing Track Access Agreements and Access Undertaking arrangements with third parties, use RAIL ACCESS SERVICES.

For compliance activities relating to Access Undertakings administered by government regulatory authorities, use RAIL ACCESS SERVICES.

Cross references to AFDA Express Records Authority

For advice, briefs and submissions to the portfolio Minister, cabinet submissions and the organisation's participation in formal inquiries, use GOVERNMENT RELATIONS.

For obtaining grant funding and other forms of financial assistance for investment programs, use FINANCIAL MANAGEMENT.

For contracting external service providers, such as those providing commissioned research, use PROCUREMENT.

For media releases, use COMMUNITY RELATIONS and/or GOVERNMENT RELATIONS.

Cross references to other records authorities

For authorisation of proposed capital investment programs by the agency's governing body (ie the ATRC Board), use GOVERNING BODIES.

For developing and executing contracts under seal or deeds, use CONTRACTS UNDER SEAL/DEEDS.

Class no Description of records Disposal action
61820

The following significant records documenting:

  • developing and reviewing high-level policies, plans, strategies and frameworks for rail business development (eg North-South Corridor Strategy). Includes final versions, stakeholder consultations and supporting research;
  • developing major marketing campaigns, including those which promote public awareness of rail (eg ‘Better for Business’ strategy). Includes final versions of campaign plans and marketing and promotional material (eg print, radio and television advertisements) and marketing campaign plans;
  • final versions of speeches and briefings presented by the portfolio Minister, the agency head, Board members or senior agency staff at major public forums, conferences, seminars, or major promotional events;
  • responses to tenders and requests for quote/proposal (bids) made by the agency that have national significance, such as those relating to ‘first of a kind’ major tenders issued by State and Territory Governments (eg the long term lease of below rail network corridor owned by the New South Wales government), or tenders that relate to major changes to the network. Includes final version of formal response, and supporting documents, such as environmental and risk assessments, feasibility studies, asset condition reports and supporting research. Includes case files of successful bidding responses and unsuccessful bidding responses that required input from a range of specialised disciplines (eg environmental and engineering consultants);
  • high-level submissions, made to government bodies (eg Network-Wide Infrastructure Strategy). Includes joint submissions made with peak industry bodies;
  • outcomes of major research and analysis undertaken or commissioned by the agency. Includes final research reports, statistical modelling and trend analysis, and supporting research datasets and associated information;
  • high-level internal and external, including inter-governmental or inter-agency, committees, working groups and other bodies where the agency provides the secretariat, is the Australian Government’s main representative, or plays a prominent or central role (eg Industry Advisory Committee). Includes establishment documentation, agenda, final version of minutes, reports and tabled papers;
  • providing and receiving high-level advice. Includes final versions of advice, position papers, opinions and briefings;
  • development of national and high-level reports. Includes final versions, stakeholder consultation and supporting research; and
  • high-level reviews of the core business, including major internal reviews. Includes final review reports, recommendations, major drafts, submissions and supporting research.
Retain as national archives
61821

Records documenting:

  • routine operational administrative tasks supporting the core business; and
  • rail business development activities, other than those covered in class 61820.
Destroy 7 years after action completed

Rail Infrastructure Management

The core business of managing the construction, conservation and maintenance of above rail and below rail infrastructure and corridor land use in accordance with Commonwealth, State and Territory environmental, heritage and safe-working compliance frameworks. Includes projects and programs to design and construct related architectural and engineering works, including alignment, extensions, upgrades, and repairs.

Note: Rail infrastructure covers physical infrastructure such as signal boxes, bridges, tracks, sidings, track recording car, level crossings, ballast, track sleepers, platforms, stations, sub stations, tunnels, boundary fencing, wayside equipment and signage. It also includes train control technology and communications technology (eg telephony for the rail corridor).

The core activities include:

  • developing and implementing rail infrastructure management policies, procedures, plans, strategies and frameworks;
  • developing, implementing and managing programs and projects;
  • acquiring, purchasing and leasing (including compulsory acquisition and resumption), and disposing of land and other rail infrastructure;
  • negotiating, establishing and implementing agreements;
  • managing joint venture arrangements;
  • designing and building rail infrastructure, including digital business systems for train control;
  • undertaking planned upgrades and enhancements and reactive maintenance and repairs;
  • monitoring track conditions and performance;
  • monitoring, remediation, and conservation of rail land, structures, equipment and systems;
  • establishing and maintaining registers;
  • developing and implementing disaster management protocols and disaster recovery practices;
  • inspecting and installing rail infrastructure equipment;
  • surveying corridor land;
  • managing leasing-out and licencing arrangements;
  • developing and managing rail safety and infrastructure security;
  • developing and administering safe-working rules and rail infrastructure standards;
  • managing geographical information; and
  • development of competency management system and training for rail workers.

The performance of the core business is supported by general activities such as:

  • preparing and presenting speeches;
  • providing and receiving advice;
  • fulfilling compliance requirements;
  • managing internal and external audits;
  • delegating powers and authorising actions;
  • participating in and managing committees and meetings;
  • liaising and consulting with stakeholders;
  • evaluating and reviewing;
  • managing insurance and claims;
  • reporting and researching;
  • handling complaints, feedback and enquiries; and
  • identifying, assessing and managing risks.

Cross references to other areas of this records authority

For operating train control systems, use RAIL ACCESS SERVICES.

For incidents, including reporting of notifiable occurrences that relate to the safe operation of the rail network, and handling infringements of and breaches of compliance with organisational safeworking rules, use RAIL ACCESS SERVICES.

For handling infringements and breaches of compliance with organisational safeworking rules, use RAIL ACCESS SERVICES.

Cross references to AFDA Express Records Authority

For advice, briefs and submissions to the portfolio Minister, cabinet submissions and the organisation’s participation in formal inquiries, including high-level government reviews, use GOVERNMENT RELATIONS.

For issuing rail safety worker competence certificates to personnel, use OCCUPATIONAL HEALTH & SAFETY (OH&S).

For acquiring, maintaining and disposing of non-corridor land, use PROPERTY MANAGEMENT.

For identification, removal, storage and disposal of hazardous substances, use PROPERTY MANAGEMENT.

For media releases, use COMMUNITY RELATIONS and/or GOVERNMENT RELATIONS.

Cross references to other records authorities

For establishing and managing the agency’s governing body (ie the ARTC Board), use GOVERNING BODIES.

For developing and executing contracts under seal or deeds, use CONTRACTS UNDER SEAL/DEEDS.

Class no Description of records Disposal action
61822

The following significant records documenting:

  • developing and reviewing national and high-level rail infrastructure management policies, plans, strategies and frameworks, such as national plans for the development of rail freight infrastructure and environmental and heritage policies. Includes final versions, policy statements, major drafts, stakeholder consultations and supporting research;
  • major investment programs and major engineering and construction projects which involve the provision of Commonwealth funding (eg construction of the Inland Rail Line, and the Southern Sydney Freight Line). Includes statement of requirements, feasibility studies, environmental and risk assessments, stakeholder consultations and key advice received; construction plans, specifications, engineering drawings, structural design calculations, as-built drawings and inspection reports. Also includes key program, project and contract management documents, and master set of construction photographs. Includes joint venture arrangements;
  • acquisition, management and disposal of land or property that has significant environmental, historic, indigenous or community importance. Includes compulsory acquisitions and resumptions. Includes:
    • ownership plans and maps showing properties in vicinity of rail corridors including land parcel locations, boundaries, easements and geographical features;
    • claims, appeals and litigation related to land acquisition;
    • investigations into and reports on the property, including environmental assessment and heritage assessment reports;
    • budgetary estimates and cost benefit analyses;
    • heritage and interim listings on Commonwealth, State or Territory registers;
    • work carried out on significant land, property and infrastructure, including construction, conservation, remediation, repairs and enhancements. Includes remediation of contaminated land from chemical spills such as diesel, other petrochemicals and nuclear waste; reduction and control of pollution (including noise pollution); and identification and monitoring of issues and associated treatment. Includes key advice given and received; reports to heritage management agencies and other external bodies; heritage plans, policies, strategies that are specific to the land or property; research into the provenance and history of heritage rail infrastructure and related items. Includes photographs, stakeholder consultations, final reports, supporting records and collected literature; and
    • disposal of land or significant infrastructure, including negotiation, sale and vesting activities;
  • designing and developing innovative train control technology that is first of a kind, such as the Advanced Train Management System. Includes plans, system overview, schedule and key publications;
  • final versions of significant agreements and contracts and supporting documents, that: relate to substantial funding arrangements or the establishment of partnerships or major cooperative arrangements with other governments, agencies and organisations (eg agreement with New South Wales to lease NSW interstate and Hunter Valley rail networks for 60 years); are controversial or ground-breaking in nature; or, substantially contribute towards the development of rail infrastructure. Includes partnership agreements, bilateral and tripartite deeds, high-level inter-governmental and international agreements, joint venture agreements and Memorandums of Understanding;
  • developing and reviewing standards supporting rail infrastructure management (eg Rail Industry Worker National Track and Civil Matrix). Includes final versions, major drafts, stakeholder consultation and supporting research;
  • significant breaches of compliance with regulatory requirements where deficiencies are identified which result in major changes to management systems, or organisational policies or procedures. Includes reports of compliance audits conducted by regulatory bodies or licensed officers;
  • master sets of work instructions and engineering specifications covering disciplines such as network configuration, signalling, plant and equipment, rolling stock and heavy haul. Includes procedures, guidelines, codes and manuals;
  • final report on implementation of counter disaster plans after disaster such as fire, flood or escape of a disease agent has occurred. Includes the plan implemented in the disaster recovery process;
  • investigations undertaken to ensure the safety, stability and economic viability of rail infrastructure that have a major impact on structures and operations, such as those which result in restructuring or upgrading of large scale or specialist facilities (eg investigations into closure of goods yards). Includes investigation plans, strategies, cost and risk analyses, notifications, consultation documents, records of interviews, photographs, maps, plans, observation notes and final reports;
  • final versions of national and high-level reports, including internal reports to senior management and strategic reports made to external bodies that have a significant impact on internal policies, procedures or programs (eg Melbourne-Brisbane Inland Rail Alignment Study). Includes detailed technical reports, such as structural assessment reports which determine the integrity and capability of the infrastructure over its life cycles;
  • final versions of speeches presented by the portfolio Minister, the agency head, Board members or senior agency staff;
  • high-level internal and external, including inter-governmental or inter-agency, committees, working groups and other bodies where the agency provides the secretariat, is the Australian Government’s main representative, or plays a prominent or central role (eg Australasian Railway Association Governance Committee; Wayside Steering Committee). Includes establishment documentation, agenda, final version of minutes, reports and tabled papers;
  • summary records supporting the core business, such as registers of acquisition, disposal or leasing of rail corridor land and those consolidating information on rail maintenance activities. Includes the register of asbestos burial sites;
  • development of competency management system for rail workers, including contractors. Includes consultations with operators and Australian Railway Association, business rules, protocols, bulletins and publications such as video;
  • master sets of maps (property maps and system maps), photographs, drawings, diagrams and plans related to the commissioning, design and construction of rail infrastructure. Includes results of surveying rail corridor and property; and
  • geographical data sets (eg geospatial data) and other associated aggregated information.
Retain as national archives
61823

Records documenting audits and inspections undertaken to determine whether asbestos and other hazardous substances (eg chemicals from pesticides) are present in corridor land or a building. Includes the handling, management, removal, storage and disposal of hazardous substances.

Destroy 75 years after audit or inspection and/or removal of substances or transfer to new owner if land or building is sold
61824

Records documenting:

  • establishment and management of leasing arrangements for rail infrastructure and corridor land, other than those covered in class 61822. Includes Deed of Lease, Memorandum of Lease and supporting documents; and
  • establishment and management of leasing-out arrangements of rail corridor land to landholders, other than those covered in class 61822. Includes tenancy agreements and market appraisal valuations.
Destroy 30 years after completion or other termination of lease
61825

Records documenting rail infrastructure management activities carried out on corridor land, buildings, equipment without national significance. Includes:

  • construction, conservation, remediation, enhancements;
  • routine compliance requirements;
  • installation of equipment;
  • major maintenance and repairs;
  • fit-outs; and
  • internal reporting and reports made to external authorities.
Destroy 10 years after infrastructure or land is disposed of, or after equipment is replaced or after next fit-out, or transfer to new owner or lessee if required
61826

Deeds and certificates of title for corridor land owned by the Commonwealth.

Transfer to new owner when land is disposed of
61830

Records documenting:

  • routine operational administrative tasks supporting the core business; and
  • rail infrastructure management activities, other than those covered in classes 61822 to 61826.
Destroy 7 years after action completed
Copyright National Archives of Australia 2017