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Rail Access Segregation Arrangements

The Pilbara Infrastructure

C O M P A R E D O C U M E N T

This document shows proposed text changes from TPI Segregation Arrangements approved in 2014

Changes are shown as follows

Insertions: red text

Deletions: struck out

The changes are:

Section 2 “(inside and outside of the WA Rail Regime)” is removed

the following text is added: “The Act requires that a railway owner must make arrangements to segregate its access-related functions from its other functions. For the purposes of these segregation arrangements and to the extent that TPI and a third party choose to negotiate an agreement for access “otherwise than under the Code”, within the meaning of section 4A of the Code, those negotiations and the arrangements arising from any resulting agreement are not to be taken as “access-related functions”, or “other functions” within the meaning of section 28 of the Act.

Section 3 the first paragraph is removed

the fourth paragraph is removed

Section 7.1 the entire section is removed

Appendix A The “Segregation Manual” is removed, except for the Segregation Awareness Statement and Confidential Information Register components.

Segregation Arrangements

1 Introduction

Background

Fortescue Metals Group Ltd (FMG) is developing iron ore mining operations in the vicinity of the Chichester Range in Western Australia’s eastern Pilbara, through a wholly owned subsidiary, FMG Chichester Pty Ltd. FMG is also establishing port facilities at Anderson Point in Port Hedland and a railway link between the port and mine, via another wholly owned subsidiary, The Pilbara Infrastructure Pty Ltd (TPI).1

In December 2004, the State of Western Australia, TPI and FMG (as guarantor of TPI) entered into a State Agreement that included provisions for the railway and port infrastructure to be subject to third-party access arrangements. The Railway and Port (The Pilbara Infrastructure Pty Ltd) Agreement Act 2004 ratified the agreement and authorised its implementation.

The Railway and Port (The Pilbara Infrastructure Pty Ltd) Agreement Act 2004 amended the Railways (Access) Act 1998 (“Act) and the Railways (Access) Code 2000 (“Code”) (the WA Rail Access Regime) to bring TPI’s railway under the WA Rail Access Regime.Clause 16 of the State Agreement covers railway access matters specific to TPI’s railway.

WA rail legislative requirements

The WA Railways (Access) Act 1998 establishes the following requirements for railway owners in relation to the segregation of access-related functions:

Duty to segregate (section 28)

Matters to be covered as part of duty to segregate (section 30)

Protection of Confidential Information (section 31)

Avoidance of conflict of interest (section 32)

Duty of fairness (section 33)

1 TPI is a subsidiary of International Bulk Ports Pty Ltd, which itself is a wholly owned subsidiary of FMG.

Maintenance of separate accounts and records (section 34)

The powers of the Regulator in relation to segregation are established in section 29. In particular, the railway owner must obtain the Regulator’s prior approval for its segregation arrangements or variations to such arrangements. In this regard, the Regulator may provide written directions to the railway owner in relation to segregation and these directions are to be complied with. It is noted that section 29 of the Act allows the Regulator to impose other requirements on TPI, in addition to those covered under sections 31 to 34 of the Act, to further improve the effectiveness of TPI’s Segregation Arrangements ifrequired.

Implementation of segregation arrangements

1.3.1 Corporate structure of TPI and FMG

As previously noted, the rail assets subject to declaration under the Act and the Code are owned and will be operated by TPI, a wholly owned subsidiary of FMG.

TPI is a transport and logistics provider in the Pilbara region, in particular, it is responsible for the construction of a railway from the Pilbara to Port Hedland and a port facility at Herb Elliot Port, Anderson Point, Port Hedland to serve FMG’s mining operations in the region.

TPI will perform both the access-related rail functions specified in Section 2 of this paper and also perform the rail haulage functions associated with the operation of train services. TPI notes that the objective of the segregation arrangements is to ensure that it complies with the requirements of the Act to segregate its access-related functions from its other functions.

TPI’s organisational structure is indicated below. Positions and classifications, reporting paths and physical locations of positions within TPI are provided in the SegregationManual (Appendix A).

GM Rail

Rail Safety HaulageRail

Infrastructure

Rolling stockMaintenance

Haulage operations

Commercial compliance

Commercial compliance

Train control TrackSignals and

Maintenance

The parent company, FMG, will be focused on the task of developing the mining operation and marketing of iron ore.

1.3.2 Timing of implementation

The greenfields nature of TPI’s railway and haulage operations, and the initial absence of another Operator on the railway, dictate that in a practical sense, access related activities are undertaken in stages. Therefore, in parts of this document, Stages 1 and 2 are used to differentiate access-related activities which are expected to be of particular relevance to the periods prior to, and subsequent to, the execution of the first Access Agreement.

2 Specification of access-related functionsFor the purpose of satisfying the requirements of the Act and the Code, TPI has identified the following access-related functions it will perform:

Negotiation of access agreements

negotiation of access agreements (inside and outside of the WA Rail Regime), including satisfaction that TPI’s operational requirements for access are satisfied;

pricing for the provision of access;

Management of access agreements

management of access agreements, including capacity assessment and allocation, performance monitoring and management of day-to-day operational issues;

train scheduling, including train path allocation and the granting of ad-hoc train path entitlements;

the collection, use, and dissemination of train running data including manifest details;

train control, which includes provision of appropriate authorities for trains to use scheduled train paths (train orders or signals) and real-time management of trains;

Regulatory compliance

development, maintenance and monitoring compliance with appropriate safety standards for TPI staff, its contractors and any Operators on the network;

development and authorisation of TPI’s operating Rules for the railway line and the issue of special notices, instructions and warnings related to these Rules;

access-related legislative compliance matters as required under the Act and Code, including: preparation of documents for the Regulator’s approval in accordance with Part 5

of the Code; ensuring that suitable policies, procedures and controls are established to give

effect to, and facilitate compliance with, the segregation arrangements approved by the Regulator.

Infrastructure maintenance

the maintenance of the track and infrastructure, including signalling and communications maintenance;

Capacity management

capacity planning, including determining an efficient expansion path for the railway consistent with expected demand;

Interface/emergencies

emergency management on the railway line including co-ordination of emergency service responses;

the development of operating standards for train services (to the extent they relateto the infrastructure), such as maximum braking distances, maximum train lengths, as well as maintenance standards for the rail infrastructure;

Corporate Services

corporate support services for the performance of below rail functions.

The Act requires that a railway owner must make arrangements to segregate its access-related functions from its other functions. For the purposes of these segregation arrangements and to the extent that TPI and a third party choose to negotiate an agreement for access “otherwise than under the Code”, within the meaning of section 4A of the Code, those negotiations and the arrangements arising from any resulting agreement are not to be taken as “access-related functions”, or “other functions” within the meaning of section 28 of the Act.

3 Avoidance of conflict of interest (section 32)

The Act and the Code requires that any segregation arrangements must ensure that a relevant officer does not have a conflict between his/her performance of access-related

functions and his/her involvement in “other bus iness” of the railway owner. TPI interprets “other business” as anything other than the management and control of the use of the railway infrastructure. Ringfenc ing procedures designed to av oid conflicts of interest require functional separation, affecting staf f roles, information flows and decision-making responsibilities.

TPI recognises that organisational separation is a key means of preventing conflicts of interest arising in relation to the provision of access-related functions. TPI will manage its access related functions so that, for relevant officers, no conflict of interest exist.

Under these segregation arrangements, TPI commits that no person will perform duties concurrently for both TPI and FMG where a conflict of interest exists.

TPI commits to controlled management of information flow consist ent with organisational separation. That is, TPI will ens ure those staff performing access-related functions, such as train scheduling, will not perform any haulage-related functions and the restrictions on the internal flow of informati on will apply. In terms of the above organisational structure, TPI will separate the following functions:

rail infrastructure, comprising the functions outlined in section 2; and

haulage related functions, being those ot her functions (including rollingstock operations and maintenance).

Relevant managers will report to the General Manager Rail, who in turn reports to the Director Operations. TPI considers that this reporting arrangement is necessary because of the need to closely integrate the operation of the mine, rail and port logistics chain infrastructure owned by FMG and TPI. However, measures will be in place to ensure the protection of Interested Entity, Proponent and Operator Confidential Information where any convergence occurs. Specifically, the managers responsible for train control and track will liaise with the Commercial/Compliance Officer on access-related matters. Further, they will report directly to the General Manager Rail and will disclose Interested Entity’s, Proponent’s and Operator’s Confidential Information to this position only for the purpose of progressing an Access Proposal, negotiation of access or in support of administering an Access Agreement. Similarly, the General Manager Rail, in its direct reporting to the Director Operations on access-related matters, will be bound by the same framework.

The General Manager Rail, Director Operations and the CEO will sign Segregation Awareness Statements. They will be under an obligation to not disclose Interested Entity or Proponent Confidential Information to other areas or staff within TPI and FMG. TPI will implement control measures (as outlined below and in the Segregation Manual) to

manage potential conflicts of interest in handling Proponents’ and Operator’s Confidential Information. These procedures will be in relation to the handling of the details of Access

negotiations and Access Agreements.

Given that potential conflicts of interest in relation to the performance of access-related functions will be greatest when an Operator is running train services in competition with TPI train services, TPI staff performing train scheduling functions will sign Segregation Awareness Statements.

Operators may prepare amendments to daily or fortnightly plans for services which experience variable demand or variable destinations provided that they do not interfere with other Operator’s rights and subject to TPI having ultimate control over such changes.

TPI also notes that there will be common directors on the FMG and TPI Boards. TPI will implement control measures (as outlined in this document and the Segregation Manual) to manage potential Board level conflicts of interest in handling Proponents’ and Operators’ Confidential Information. This will be in relation to the handling of the details of access negotiations and Access Agreements. These measures are similar to those outlined above for the General Manager Rail, Director Operations and CEO.

No person (other than key management staff and corporate services) will perform duties concurrently for both TPI and FMG that would present an unnecessary risk of conflict. In effect, any person performing below-rail functions will be precluded from also performing above-rail functions (unless indirectly, whether by virtue of the position – such as is the case for the General Manager Rail, Director Operations and CEO or due to the nature of the task not presenting conflicts – as is the case for corporate services functions).

4 Protection of Confidential Information (section 31)This section provides a general summary of the measures that will be implemented byTPI. Further information and procedures are provided in the Segregation Manual.

TPI proposes to protect Confidential Information as defined in the Railways (Access) Actmeaning information that has not been made public and that –

(a) is by its nature confidential;

(b) was specified to be confidential by the person who supplied it; or

(c) is known by a person using or disclosing it to be confidential.

TPI will include in its Segregation Manual a list of documents and other information, covering both input and output type information, that it would use to define how itdistinguishes Confidential Information from information that is not specifically protected.

Definition of Confidential Information

Stage 1

If an Interested Entity or Proponent discloses Confidential Information to TPI, then it is, and shall be taken to have always been, Confidential Information.

Examples of Stage 1 Confidential Information include:

Preliminary Information;

Access Proposals;

correspondence related to the negotiation of the Access Agreement;

The examples given will be included under TPI’s Segregation Arrangements from the time these arrangements commence.

TPI commits that access-related Confidential Information it receives in Stage 1 will only be used for the purpose of:

responding to an Access Proposal;

negotiating an Access Agreement; or

as specifically authorised by an Interested Entity or Proponent.

Requests for Access and the access negotiation process will be managed by TPI’sCommercial/Compliance Officer.

Stage 2

If an Operator discloses Confidential Information to TPI, then it is, and shall be taken to have always been, Confidential Information.

Examples of Stage 2 Confidential Information include:

the Access Agreement itself and information exchanged in the management of theAccess Agreement over time;

train scheduling/planning data, to the extent it identifies specific haulage operations, including Master Train Plans and Fortnightly Train Plans and voice logging tapes from train control;

plans to expand access rights to allow an increase in third party traffic;

any data related to the running of haulage operations under an Access Agreement including the data held in TPI’s Rail Access Management System;

billing information.

The examples given will be included under TPI’s Segregation Arrangements from the time these arrangements commence.

TPI commits that access-related Confidential Information it receives in Stage 2 will only be used for the purpose of administering an Access Agreement.

Confidential Information flows

Stage 1

TPI’s Commercial/Compliance Officer will only disclose a Proponent or Interested Entity’s Confidential Information for the purpose of and to the extent necessary to progress an Access Proposal or respond to a Proponent or Interested Entity’s request.

TPI will require all staff managing or conducting access-related functions to sign a Segregation Awareness Statement, to the effect that they are aware of and understand TPI’s segregation obligations under the Act and the Code, and specifically need to protect Confidential Information as defined in the Code (see section 4.4.1).

In assessing an Access Proposal, TPI’s Commercial/Compliance Officer may need to disclose the Proponent’s Confidential Information to the train control and track managers, provided that disclosure to each recipient is limited to the sole purpose of negotiating an Access Agreement. Such disclosure will be necessary in order to determine whether there is sufficient capacity available for the requested train services, evaluate operational requirements, timelines, train configurations, accreditations, wheel profiles and other rolling stock technical details. The Commercial/Compliance Officer will be the sole custodian of Confidential Information during Stage 1. Access to Confidential Information by other TPI staff will not occur, other than as described above and to line management for approval purposes.

In the event that an officer from train control or track becomes aware of Confidential Information through this process, that officer will be required to sign a Segregation Awareness Statement and specifically acknowledge the confidential nature of the information disclosed to it for the purposes of progressing an Access Proposal.

TPI’s Commercial/Compliance Officer will maintain a register of those staff, including external contractors/consultants, to who Confidential Information of an Interested Entity or Proponent is disclosed. The register will acknowledge receipt of the Confidential Information by the recipient. An Interested Entity or Proponent may view these registers relating to disclosure of its Confidential Information.

TPI is required to provide management reports to both its own Board and to the General Manager Rail, Director Operations, CEO and FMG Board members only. Use and disclosure of any Interested Entity or Proponent’s Confidential Information revealed through this reporting will be in accordance with these segregation arrangements, including direct reporting to the relevant senior executive only. In TPI’s view, a level of convergence of internal Confidential Information flows is unavoidable in vertically integrated organisations. However, limiting the distribution of management reports to the small number of FMG’s senior executives and board members specified above for the limited purpose of progressing an Access Proposal and subject to Segregation Awareness Statements, is the best way of managing this convergence.

These management reports provide financial details at aggregate company level for TPI and do not identify individual access customers, and reports on other operational and strategic issues. They also include statistics on overall network usage, and safety performance.

Typical reports would include:

operational matters related to the performance of the network and the maintenance work being carried out;

seeking approval for or reporting progress on capital works;

reports on significant incidents;

contracts, including access agreements, that have been entered into but only at broad detail level without disclosure of full terms and conditions; and

monthly financial reports and commentary at aggregate levels.

When TPI is presenting reports to TPI or FMG management, directors and boards it will, if Confidential Information is to be presented, have in place a procedure which ensures that:

The Confidential Information presented is clearly identified; and

Recipients of the information have signed a Segregation Awareness Statement.

Where there is a need for TPI to brief the senior management of TPI or FMG outside ofstructured meetings and those briefings are likely to result in the disclosure of Confidential Information, particularly related to the identity of the Interested Entity or Proponent, TPI will implement procedures (as outlined in the Segregation Manual) that ensure that:

The Confidential Information presented is clearly identified; and

TPI or FMG management members have signed Segregation AwarenessStatements.

The above control measures for management of information flow are included in theSegregation Manual (Appendix A).

All TPI or FMG management, directors and other staff provided with Confidential Information will be recorded on the register. The register will record both names and position titles for each person. All such persons will be required to sign a Segregation Awareness Statement.

Where access-related Confidential Information is required to be disclosed during the course of management meetings involving representatives of the arm of TPI or related entities of TPI involved in operating train services, the same control measures as those outlined above for senior TPI or FMG management meetings will also apply to parties receiving Confidential Information. Disclosure of such Confidential Information will only occur in these meetings where necessary, such as for the purpose of improving productivity and safety performance of the rail network.

Stage 2

TPI staff responsible for negotiating access will only disclose Interested Entity, Proponent or Operator Confidential Information for the purpose and to the extent necessary to progress an Access Proposal, respond to a request from an Interested Entity, Proponent or Operator, negotiate an Access Agreement or administer an Access Agreement.

TPI will require all of its staff managing or conducting access-related functions to sign aSegregation Awareness Statement, to the effect that they are aware of and understand

TPI’s segregation obligations under the Act and the Code, and specifically need to protectConfidential Information.

The Stage 1 obligation for TPI’s Commercial/Compliance Officer to maintain a register of those staff, including external contractors/consultants, to whom Confidential Information is disclosed, will also apply in Stage 2 but will be extended to include disclosure of Operator Confidential Information.

That is, the disclosure by TPI of Operators’ Confidential Information in the course of the operation/administration of an Access Agreement must be recorded on the register. The register will acknowledge receipt of the Confidential Information by the recipient and confirm the recipient’s awareness of the confidential nature of the information through the acknowledgement of the Segregation Awareness Statement by the recipient. An Operator may view these registers relating to disclosure of its Confidential Information.

Custody of Confidential Information will be the responsibility of multiple staff members within TPI and FMG. Typically, such staff include the Commercial Compliance Officer, train control and track maintenance.

Similar to Stage 1, the use and disclosure of Operator Confidential Information by TPI as part of management reports to both its own Board and to the General Manager Rail, Director Operations, CEO and FMG Board members will be in accordance with these segregation arrangements. It is intended to maintain a distribution list for such information that is strictly limited to the small number of FMG’s senior executives and Board members identified as being necessary to disclose Proponent or Operator Confidential Information for the purpose of progressing an Access Proposal.

4.2.1 Hard copy access

Stage 1

Any written or electronic Confidential Information received by the Commercial/ComplianceOfficer in performing access-related functions will be kept on TPI files within TPI premises.

These files will only be accessible to the Commercial/Compliance Officer who will control access of other TPI staff for the purpose of processing an Access Proposal, or negotiating an Access Agreement.

The Commercial/Compliance Officer will also:

keep a record of staff that have accessed Interested Entity or Proponent ConfidentialInformation and the purpose for which the information was used; and

ensure relevant officers accessing Interested Entity or Proponent ConfidentialInformation sign-in and sign-out Confidential Information each time it is utilised.

TPI may be required to disclose data, including confidential data, in relation to the following matters:

the requirements of section 7(1)(b)(i) of the Code; or

other legislative requirements, such as the Rail Safety Act.

In disclosing any confidential data for these reasons, TPI will protect the confidential basis of the source data.

Stage 2

The obligations described above will also apply in Stage 2, however, will be extended to cover Operator Confidential Information under Access Agreements.

TPI staff involved in the access related functions listed in Section 2 are located at three locations, as below. The respective staff responsibilities for specific components of the access related functions during Stage 2 are listed below.

Train Control Centre at 87 Adelaide Terrace, East Perth (“Train Control Centre”), responsible for:

o Management of Access Agreements; and

o Regulatory compliance (partly).

Thomas Marshalling Yard and office, 20 km south of Port Hedland (“Thomas Yard”), responsible for:

o Negotiation of access agreements;

o Regulatory compliance (partly);

o Infrastructure maintenance;

o Capacity management; and

o Interface emergencies.

FMG Head Office at the Hyatt Centre, 87 Adelaide Terrace, East Perth (“HyattCentre”), responsible for:

o Regulatory compliance (partly) and;

o Corporate services.

All information will be stored in a secured compactus or similar facility at each site, with respective storage areas referred to as “access management areas”. Such areas will be locked when not attended by TPI staff. The Train Control Centre will be secured with entry controlled by TPI. Entry to the access management areas will only be available to staff who have signed TPI’s Segregation Awareness Statement, and who are approved by TPI’s General Manager Rail.

Further information and procedures are provided in the Segregation Manual.

4.2.2 Electronic access

Stage 1

TPI will share an IT system with FMG. To ensure that Interested Entity and Proponent Confidential Information is only accessed by the Commercial/Compliance Officer for the purpose of negotiating an Access Agreement, access to Confidential Information held electronically will be subject to limited access, with password protection and other computer security controls in place to prevent unauthorised access.

The access of users across TPI/FMG’s computer network will be restricted to immediate functional areas. User ID’s, passwords and access to any given part of the network are allocated by line managers at the commencement of the staff member’s employment. Access to areas of the network that apply to access related functions are automatically restricted to all staff, unless authorisation is given by the General Manager Rail. All such authorisations will be recorded in the register and authorised staff will be required to sign the Segregation Awareness Statement.

Stage 2

A shared IT system between TPI and FMG will also apply in Stage 2. Under Stage 2, Operator’s Confidential Information will only be accessed by the Commercial/Compliance Officer (or other staff in the TPI Network group responsible for negotiating access) for the purpose of either negotiating or administering an access agreement. The same limitations on access described in Stage 1 in terms of security measures will apply.

Over the course of an access agreement, TPI will also collect potentially Confidential Information in relation to an Operator’s haulage operations, including number and size of trains and tonnages carried. This information will be stored in an operations management system. Access to this information will be password protected and limited to relevant TPI

staff. The Commercial/Compliance Manager, in liaison with the General Manager Rail, will authorise all access to Operator’s confidential data held in the operations management system and will only grant access to persons who have signed Segregation AwarenessStatements.

Staff issues

Effective segregation arrangements require policies and procedures to be in place to address the movement of staff with access to Confidential Information. This will apply to internal staff transfers as well as the use of external contractors/consultants.

4.3.1 Transfers

Stage 1

Under Stage 1, the Commercial/Compliance Officer is solely responsible for access negotiations. This officer must not undertake duties in other areas of TPI/FMG which place the officer in a position of conflict of interest. As such, the Commercial/Compliance Officer will not be permitted to work on matters for other areas of TPI/FMG, either on a temporary or permanent basis, in respect of which they have had access to Proponent Confidential Information or the activities of the area could affect the Proponent’s operations.

Stage 2

With functional separation of below and above rail business units, there will be more staff potentially with access to Confidential Information of Proponents and Operators (ie. train scheduling and track staff other than the Commercial/Compliance Officer). All such staff shall be signatories of the Segregation Awareness Statement. TPI will preclude the ability of senior staff to transfer between positions involved in performing access-related functions and positions involved in performing other functions where the occupant of the access-related position concerned is required to sign TPI’s Segregation Awareness Statement, except where the person transferring from that access-related position first spends at least one year undertaking other access-related functions within the Rail Infrastructure Division which do not require the signing of TPI’s Segregation Awareness Statement.

The limitations in this section 4.3.1 will not apply under emergency circumstances. If TPI believes there is an emergency and cannot obtain staff other than from its above rail team, then it may use such staff in these positions after it advises the Regulator of:

The circumstances giving rise to the emergency;

The expected duration of the emergency; and

The steps TPI will take to protect Confidential Information and manage any conflict of interest in these circumstances, including those people who are proposed to be used signing a Segregation Awareness Statement.

Refer also to the Segregation Manual (Appendix A).

4.3.2 Consultants

From time to time in the course of access negotiations or in the duration of an Access Agreement it may be necessary for TPI to disclose Confidential Information to its external consultants and advisers. Where it is necessary for TPI to disclose Confidential Information to a consultant, the consultant would be required to sign TPI’s Segregation Awareness Statement. The following obligations will apply in these circumstances.

A process will apply to manage the use of consultants so that consultants are not in a position to disclose Interested Entity, Proponent and Operator Confidential Information inappropriately. This will include an obligation to only use such information for the purpose for which it was provided and to not disclose it to other areas of TPI/FMG.

Consultants who work for the company for a specified period of time will be included as a staff member for the purpose of the segregation arrangements.

Documentation

4.4.1 Segregation Awareness Statement

Where an employee, or contractor/consultant, of TPI has prescribed duties which include managing or conducting access-related functions (as defined in section 2 of this paper), TPI will, at the time of their permanent or temporary appointment, require the employee to sign a Segregation Awareness Statement that they are aware of their responsibilities and obligations under the Act and the Code and specifically as it relates to Confidential Information as defined in the Act and the Code and in these segregation arrangements. The Segregation Manual (Appendix A) specifies the circumstances under which a staff member must sign a Segregation Awareness Statement. The Regulator will also endorse the Segregation Awareness Statement. The Segregation Awareness Statement shall incorporate a commitment to safeguard Confidential Information in the form of a

confidentiality agreement. A copy of the Segregation Awareness Statement, including the confidentiality agreement incorporated as part of this statement, are included in TPI’s Segregation Manual (Appendix A).

4.4.2 Advice regarding confidentiality

TPI will inform Interested Entities, Proponents and Operators of their rights to confidentiality.

5 Duty of fairness (section 33)Duty of fairness reflects an obligation to negotiate for and provide access on a non- discriminatory basis. TPI commits to the obligation that, in performing their functions, relevant officers will not have regard to the interests of the railway owner in a way that is unfair to Interested Entities, Proponents or Operators.

To give effect to this obligation, TPI will treat all Proponents and Operators fairly in relation to prices, service quality, paths and priority.

TPI notes that its duty of fairness extends to the application of determinations made by the Regulator under Part 5 of the Code, including in relation to:

(a) the Segregation Arrangements;

(b) the Train Management Guidelines;

(c) the Train Path Policy;

(d) the Costing Principles; and

(e) the Overpayment Rules.

TPI will inform Interested Entities, Proponents and Operators of their rights to confidentiality under its Segregation Arrangements.

Proponents and Operators can determine the fairness of prices negotiated through an application to the Regulator pursuant to Section 21(1) of the Code.

TPI’s standard access agreement for Proponents and Operators will provide for specific consultation mechanisms, the provision of information and dispute resolution mechanisms.

Under these segregation arrangements, TPI will observe a duty of fairness in relation to access negotiations and administration of Access Agreements with Proponents and Operators. In this regard, TPI will follow the steps specified in Parts 2 to 4 of the WA Rail Access Code for the negotiation of Access Agreements, as well as observe legislative confidentiality requirements.

Mechanisms for ensuring TPI meets its duty of fairness obligations also include that:

Proponents may determine the fairness of prices negotiated under section 21(1) of the Code;

provisions of TPI’s Standard Access Agreement provide detailed guidance on non- price terms and conditions of access, which will allow Proponents and Operators .to test the duty of fairness in the provision of access; and

TPI will ensure that the key terms and conditions of internal access arrangements will be broadly comparable to those provided or offered to Proponents and Operators.

6 Preparation of accounts and records (section 34)In both Stage 1 and 2 of these segregation arrangements, TPI will prepare and maintain accounts and financial records for the purposes of complying with the Act and the Code or to assist the Regulator in the performance of the Regulator’s duties under the Regime in the manner approved by the Regulator. Complying with this legislative obligation will entail the preparation and maintenance of separate accounts and records distinguishing income, expenditure, assets and liabilities of access-related functions from other TPI functions.

Stage 1

In Stage 1, the separate accounts and financial records will be prepared by FMG’s Finance Group, based on information supplied by TPI. In preparing access-related accounts and financial records, TPI will present the regulatory accounts in a Regulator approved format and comply with the Costing Principles approved by the Regulator.

Stage 2

For Stage 2, TPI commits to being substantially self-sufficient for regulatory accounting, access pricing and revenue management purposes (noting that reliance upon FMG’s Finance Group will be relied upon for information to inform the development of regulatory

accounts). However, statutory accounting and cost accounting functions will still be performed by FMG’s Finance Group.

TPI will control the information used to prepare its regulatory accounts. TPI will control the data used to generate invoices for access customers.

The collection of payments by FMG Finance staff will be based on information supplied by TPI. Detailed information supporting invoices will be provided directly to customers by TPI.

The provisions in this document for the protection of Confidential Information will apply to the billing process.

Financial information provided by TPI to FMG’s Finance Group for normal internal reporting purposes will be aggregated to prevent disclosure of Confidential Information. FMG Finance Group staff and auditors given access to Confidential Information will be recorded on TPI’s register and will sign the Segregation Awareness Statement.

7 Compliance and ReviewTPI’s commitments to ensure compliance with these segregation arrangements encompass commitments to operate in accordance with its Segregation Manual, a commitment to undertake compliance auditing and to implement a complaints handling process.

Stakeholders have the ability to express any concern to the ERA which may arise at any time and the ERA will investigate such claims.

TPI acknowledges that the ERA has the power under the Act to require TPI to amend the Segregation Arrangements at any time and Interested Entities, Proponents and Operators can at any time request the ERA to consider amendments.

TPI’s Segregation Manual has a compliance section, including identification of types of breach, corrective action and notification procedures. TPI will report any breach of the Segregation Arrangements of which it becomes aware to the ERA in writing within five business days and report on how the breach is being remedied. TPI notes that the Regulator has the ability to commission special audits on any issue or area where additional assurance is sought.

TPI will also undertake awareness training of its obligations under the Act or Code for all staff who are engaged in access related functions or who are required to sign Segregation Awareness Statements.

TPI agrees to the ERA monitoring TPI’s compliance with the Segregation Arrangements through an audit of TPI’s compliance with the segregation arrangements conducted not more than once every two years. This audit will be carried out by an Independent Auditor approved by the ERA, with TPI managing and funding the audit. The scope of the audit will be determined by the ERA.

The final audit report will be provided to the ERA. The ERA will publish this report on its web site (excluding Confidential Information).

Development of Segregation Manual

In order to meet its legisl ativ e segregation obligations, TP I has developed a Segregation Manual (Appendix A), which forms part of and gives effect to these segregation arrangements and will be the primary tool used to manage segregation compliance within TPI.

The manual includes:

A description of each position in TPI’s organi sational structure, the classification of these positions according to whether they perform access - related functions and the physical location of these positions.

Specific details of the security arrangements in place to protect Confidential Information including details of the arrangements for securing paper and electronic records and for access to information systems.

Details of the physic al location of staff and the security systems in place in those workplaces and especially for the train control centres operated by TPI and employees dedicated t o providing network management and access related matters.

A list of the types of behaviour which may breach segregation arrangements and the appropriate corrective arr angement for each breach.

A compliance plan, including the preparat ion of an annual report for internal and external audit requirements. The annual report will include det ails of all instances of non-compliance and rectification strat egies. The compliance plan will be a key

monitoring tool for the Regulat or in assessing effectiveness of the segregation arrangements.

Controlled procedures required to give effect to these arrangements including:

o the use of staff by TPI from the above rail team of TPI or other TPI or FMGentities, in an emergency;

o the preparation by operat ors of amendments to daily or fortnightly plans for services which experience variable demand or variable destinations;

o the provision, and type, of informati on to be given to the TPI or FMG Board of Directors, and (outside of these st ructured meetings) to the CEO and/or other senior management of TPI or FMG;

o the provision, and type, of informat ion to be given to the FMG accountancy group for billing purpos es;

o the identific ation and storage of, and a ccess to, Confidential Information;

o the report of a breach of segregation arrangements to the Regulator.

A list of all positions of employees and c ontractor s who must sign SegregationAwareness Statement and need to undertake training and orientation.

A copy of the register for recipients of Confidential Informat ion and a copy of theSegregation Awarene ss Statement.

The Segregation Manual is :

issued as a controlled document to all TPI Board members and employees, FMG Board members and senior executives, and all new employees who are required to comply with the manual;

used in training of all relevant em ployees and also for orientation of new employees;and

used as the base document against which complianc e audits are conducted.

Complaints handling

TPI commits to implement the complaints handling procedure detailed below as part of these segregation arrangements. TPI notes that Interested Entities, Proponents and Operators can approach the Regulator at any time they consider a segregation breach may have occurred. The Act provides wide powers for the ERA to investigate any alleged breaches of the segregation arrangements.

If an Interested Entity, Proponent or Operator considers that TPI has breached its legislative segregation obligations, they may lodge a written complaint with TPI.

TPI will conduct an internal investigation of any complaint and advise the complainant in writing of the outcome of the investigation and TPI’s proposed response, if any. TPI will advise the Regulator within 10 business days of any complaint it receives and the action it is taking to investigate the complaint. TPI will use reasonable endeavours to complete its internal investigation and advise the complainant and the Regulator of the result within30 days of receiving its complaint.

8 Definitions

Access Has the meaning given in the Code.

Access Agreement Has the meaning given in the Code.

Access Proposal Means a proposal as described in section 8 of theCode.

Act Means the Railways (Access) Act 1998.

Code Means the Railways (Access) Code 2000 established under the Act.

Confidential Information Has the meaning given under Section 31(2) of the

Act. Contractor Means a person or entity engaged by TPI to provideadvice on or assist in carrying out its access-relatedfunctions.

Emergency Means any event of temporary duration where TPI believes it requires TPI staff to attend and assist. Examples are:

Any event or incident which by it’s nature requires immediate intervention or action;

A safety or operational incident. Under the Rail Safety Management System, as approved under The Rail Safety Act, TPI is required to utilise TPI staff to attend to and investigate safety incidents.

FMG Means Fortescue Metals Group Ltd.

Interested Entity Means an entity that is interested in making an Access Proposal and who has made a request for information under section 7 of the Code.

Operator Means an entity to which access is provided under anAccess Agreement.

Preliminary Information Means information received by TPI from an InterestedEntity which is Confidential Information.

Proponent Means an entity who has submitted an AccessProposal for access under the Code.

Non-Senior Staff Means staff in roles below Manager level, such as Superintendent, Supervisor or Operator. For the purposes of these segregation arrangements, Non- Senior Staff do not have significant exposure to Interested Entity, Proponent and Operatorinformation.

Rail Access Management System (RAMS)

Means the system comprising secured Confidential Information associated with Access such as Access Proposals, Access Agreements, correspondence with Interested Entities, Proponents and Operators,

Master and Fortnightly Train Plans andAudit/Compliance reports.

Regulator Means the Economic Regulation Authority.

Rules Means TPI’s rules governing safe operation of trains on the railway in accordance with the Safety Management System approved under Section 10 of the Rail Safety System together with any amendments, deletions or additions made in accordance with the Safety Management System and all policies and notices issued by TPI for the purposeof ensuring the safe use of the railway.

Segregation AwarenessStatement

Means a statement signed by a TPI or FMG employee, director, contractor or consultant indicating their understanding of the obligations imposed under the Act or Code and specifically as these obligationsrelate to the protection of Confidential Information.

Segregation Manual Means the internal manual used by TPI to give effect to these arrangements, provided as Appendix A. This manual forms part of TPI’s segregation arrangements.

Senior Staff Means staff at Manager level or above, and includes the Commercial Compliance Officer. For the purposes of these segregation arrangements, Senior Staff are staff having significant exposure to Interested Entity, Proponent and Operator information.

Stage 1 Means the period commencing on the VariationApproval Date.

Stage 2 Means the period commencing on the date when the first person to execute an Access Agreement with TPI executes that Agreement and third party trains are operational on TPI’s railway.

TPI Means The Pilbara Infrastructure Pty Ltd

Train Control Centre(TCC)

Means the TPI Train Control Centre located at 87Adelaide Terrace, East Perth.

Variable Services Means services which experience variable demand or variable destinations.

Variation The variation of these arrangements proposed by TPI, pursuant to s29(1) of the Act on xx.xx.2014 and approved on xx.xx.2014

Variation Approval Date Means the date the Regulator approved the Variation.

Appendix A

Associated Documents

RAIL ACCESS SEGR EGATION MANUAL

Docum ent No.: R-MA-RA-0001

Revi si on No. : 1

Issue Date: May 201 4

Page 33 of 89

1 C ONT EXT

Purp ose

Th is ma nua l f orm s pa rt o f TPI ’s Ra il Acce ss Segr egat ion A rrang eme nt s (Do cume nt R-PL -RA-0 001 ). It pr ov ide s pers onn el invo lve d in A cce ss Re late d fu nct io ns inf orm at io n on h ow S egr eg at io n i s imp lem ente d w it hi n TPI . T he m an ua linc lud es t he co ntr ol le d pr oce dur es prov ide d a s Att achm ent s 1 - 7.

Rail Access Segregation Polic y

TP I’s ma na gem ent end orse s a nd re quire s com m it men t fr om staf f to t he Rai lAccess Se gre gat ion Po licy St ate m ent as shown bel ow.

THE PILB ARA INFRASTRUCTURE PTY LTD

RAI L ACCESS S EG REG ATIO N PO LICY STATEME N T

TPI recogn ises and commits to comply with the Railw ays (Access) Act and the Cod e an d s pec if ica lly it s du ty in r ega rds t o segr eg at ion , pro te ct ion of Conf iden tia l I nfo rm at io n, avo ida nce of conf lict of int ere st, dut y of f airn ess, a nd ma in te nan ce o f se par at e acco un ts an d rec ords.

TPI has in pla ce pr oced ure s to com ply wit h its ob ligat ions re sult ing fr om the determination by the Econ om ic Regulation A uthorit y under the Act.

Ge ne ra l Mana ge r, Rai l

The Pilbara Infrastruc ture Pt y Ltd

Date

Segregation Objectives and Strategies

TP I’s o bj ect ive s a nd s tra te gies with re ga rd t o Segr eg at io n are t o ensure :

Comp lia nc e wit h t he Act an d Co de.

Protection of Confidential Informat io n.

Avoidance of Conflicts of Interest.

Duty of Fairness.

Separate Accounts and Records.

Un de rstanding of and commitment by TP I or FMG Employees, Directors, Co nt ractors and Consultant s of the pr in cip les/obligations of the Act an d Co de .

D evel opmen t an d m ai nt en anc e o f pr oc edur es re lat in g t o S egr eg ati on.

Se gre gat io n Awarene ss a nd tr ainin g is pr ov id ed .

Cont ro ls an d m ea sure s t o mo nit or p erf orm anc e are im plem ent ed.

Comp lia nc e Au dits ar e con duc te d.

Hie ra rc hy of D oc umen ta tion

Th e hierar chy of do cume nt s rela ting to Se gre gati on req uir eme nt s is as f ol low s:

Railways (Access ) Ac t 1998

R ailwa ys (Acc ess ) Co de 20 00

S eg re ga ti on Arr ang eme nts

TP I Ra ilw ay Acc es s S eg rega tion Ma nua l

S eg reg ati on Awa re nes s Sta tem en t

S eg re ga tion Awa reness Tr ai nin g

RAMS M as ter an d F ortn igh tly T rai n P la ns

Acc es s Rel ate d Corr espo nde nc e an d Reco rds

T rack A cc es s Ag reem ents

An nua l C omp li ance Repo rts to the E RA

Bi-A nnua l In dep end en t A ud it Rep orts to th e E RA

2 MANAGEMENT OF SEGREGATION ARRANGEMENTS

Overview of Access Related Roles a nd Lo cat ions

Proce dur e R-PR-RA-0 00 9 de scrib es t he Acce ss and non -Acce ss re la te d Ro le s and Responsib ilities o f TPI st aff in regards to Ac cess related fu nct io ns outl ined in Se ct ion 2 of t he Segr egat ion A rrang eme nt s.

The key Acc ess related roles are:

G en eral M ana ge r, Ra il

Commerc ial Com pli anc e Off icer

Train Planner

Track Ma int en an ce De pa rtme nt roles

Each staff member in an Access rela ted function must undergo Segr ega tionA war en ess tr ain in g an d s ign a Segr eg at ion A war enes s Stat eme nt.

Location Overview

Th e follow ing table summarises key lo cations an d types of security used.

Loc ation Desc riptionTrain Control, Rive r va le The Train Control centre is a purpo se built se t of

rooms in a secure build ing which is manned 24 hours a day, lo cked at all time s and monitored b y a major se curity firm. The entrance to the faci lity is vi a a se r ie s of doors which are key-ca rdlo cked and key- ca rd s are issued only to staffwho require entrance to the Train Co ntrol facility. Indi vidua l areas of the build ing will be se cured from unauthorised a c ce ss b y staff in accordan ce with TPI’s pr ocedures to ensure protection of Conf identia l Infor mation.

Thomas Ya r d , Po rt Hedland The Thomas Ya rd facility is a se curity patrolled premise with entrance to build ing s controlled b y Ab lo y ke ys which are issued only to staff who require entrance to the building s. Individua l areas of the build ing wi ll b e secure d from unauthorise d acce ss b y staff in acco rdance with

TPI’s proce dures to ensure protectio n ofConf identia l Infor mation.

FMG Hyatt Centre Office, EastPerth

Th e FM G Hy at t Cen tr e Offi ce i s locate d in a se cure bu ild ing wh ich is lo cked at all time s and monitored b y a ma jo r se curity firm. The entrance t o th e faci lit y i s vi a a serie s o f door s whi ch are ke y-card locked and ke y-cards are issued only to staff who require entrance to the office.Indi vidua l areas of the build ing will be se cured from unauthorised a c ce ss b y staff in accordan ce with TPI’s pr ocedures to ensure protection of Conf identia l Infor mation.

T ype s o f Confidentia l I nformat ion a nd Se cu rit yArrange me nt s

Th e f ollow ing typ es of C onf ide nt ia l Inf ormati on ar e s ecu rely st ore d. T h e Commercial Compliance Officer will record who has access to docum ents an d in fo rm at io n in t he Conf ide nt ia l Inf orma tion Regist er.

Document andInformation Type

Staf f Se cu r ity Phy sic a l S e cur ity E le ctroni c se cur ity

Train S chedules Segregation Awareness Statements

Swipe Card to pr emise s an d locked hard cop y st orage.

Re str icte d a cce s s

Access Pro posals andPrelim inary information. Segregation

Awareness Statements



Signed A ccessAgreements Segregation

Awareness Statements



Correspond ence with Interested Entitie s Proponents and Operators

Segregation Awareness Statements



Pricing and Financial Information includ ing In vo ices and Payments


Swipe Card to hard cop y premi se s and locked storage.


Master Tra i n Plan andFort nightl y Tra in P lans




Train Graph s and Voice Logging tapes from Tra in Control




Train Man ifests and operational reports required under Acce ss Agreements




Any Data Related tothe Reco rding of Usage of the Acce ss Agreement Includ ingthe Data Held in the Rai l A cce s s Management Syste m




Re fe r t o “Proce dure s f or pro tecting Co nf id en tia l Inf orma tion” (At ta chme nt1);“ Proc edu re fo r pr ovisio n o f in fo rm at ion t o b e giv en t o t he TPI o r FM G Bo ard / CEO / S en io r M an agem ent” ; (A ttac hme nt 4); “Pr oc edu re t o ensur e th e prot ecti o nof inf orm at io n pro vide d t o FM G Fin an ce” (At ta chme nt 5).

Staff Transfers

Co nsiste nt wit h Se ctio n 4 .3. 1 of th e Segr eg at ion Arran gem ent s, TP I will m an ag e th e tr ansfe r o f st af f a s pa rt of it s act io ns t o prote ct Con fident ial Information and avoid conf lict of interest. Restrictions on staf f transfer s will not ap ply in th e eve nt of em erg en cie s, suc h as the f ollow in g:

Une xp ecte d res ig nati ons , t emp orar y o r perm ane nt unav aila bil it y of se nior st af f w her e th e v ac ant pos it io n m us t be f il le d imme diat el y t o ens ur e saf e or pro du ctive rail op era ti on s; an d

Ma nag in g th e imp ac t of s ign if ica nt acc id ent s o r w eath er eve nt s wh er e such ma nag em e nt re qu ire s ur ge nt tra nsf er of key se nior staf f.

Re fe r t o “Use of TPI St af f in an Em erg ency ” (A tt achm en t 2) .

Conflicts of Interes t

Un der Sect io n 3 of t he Se greg at io n Arr ang eme nt s, TPI comm its that n o p erso n will pe rform duties concurrent ly for TPI and FMG in re lation to Access related fu nct io ns . I n p art icu la r t he C om m erci al Com plia nc e Offic er resp onsi ble for

Access Prop osa ls a nd resp on din g t o Acces s Prop osa ls a nd ne go tiat in g Acce ss A gre eme nt s s ha ll n ot at t he s am e tim e p erf or m oth er d ut ie s w ithi n TP I or FMG wh ich perfo rm ha ula ge fu nct ions or co uld ot he rwise a ffe ct th e op era tion s of Access Se ekers.

Th e f ollow in g are t he m ain pr ot ec tion co nt rol me cha ni sm s which are in plac e t o pre ven t Co nf licts o f I ntere st .

Se greg at io n Awar ene ss St at em ent s;

Acce ss rela te d pro ced ure s; a nd

Pro te ction o f Conf iden tial I nfo rm at io n.

Dut y of F airne ss

Th e Dut y o f Fairnes s ref le cts a n o bli ga tion t o neg ot ia te fo r an d pr ovid e Acce ss on a no n discrim in at ory b asis. TPI comm it s to t he o blig at ion t hat , in perfo rm in g th eir fu nct io ns, re leva nt off ice rs will n ot hav e re ga rd t o t he in terests of the railway owner (TPI ) in a wa y t hat is unf air t o pe rson s seek ing A ccess or t o oth er op erator s.

TP I not es it s d ut y of fa irne ss e xte nd s t o t he ap plica tio n of de term inat io ns m ad e by t he Regu la to r unde r Part 5 of the Code , in clu di ng in relat ion to :

t he Se gre gat ion Arra ng em ent s;

t he Train Ma nag eme nt Gu ide lin es ;

t he Train Pat h Po licy;

t he C ost in g Pr inc ipl es; an d

t he O verp aym ent Ru le s.

Sepa ra tion of Ac counts and Fi nan cial Recor ds

TP I wil l m ain ta in se p ara te acc ount s, inf orm at io n an d fina ncia l re cord s whic h c omp ly w it h s ect io n 6 of t he S egr eg at ion Arra ngem ent s wh ich in t u r n com pl y with sect io n 34 o f t he A ct an d releva nt provisio ns of th e Co de .

Access related accounts and fina ncial records will be prepared and pr ocesse d byFM G’s Fina nce Gr ou p.

Th e fo llowi ng ta ble set s ou t ho w th e se pa rat io n o f Access relat ed acco un ts an d reco rds is ma nag ed wit hin TPI.

Separation Area Separation mechanism

Accounts Segregatio n Awareness Statements, Se cure storage, and Restricted A ccess to sy stem s.

Financia l Records Segregatio n Awareness Statements, Se cure storage, and Restricted A ccess to sy stem s.

3 COMPLIANCE PLAN

Breaches and Compla int s M anage me nt

In acco rda nce wit h Se ction 7. 3 of t he S egre ga tion Arran gem ents , th e f ollow in g typ es o f beha vio ur m ay le ad t o b reac hes o f com plianc e an d/ or com pla in ts.

Each typ e of be ha viou r is ha nd led by t he co rresp on din g co rrect ive a rran gem ent .

Type of behaviour Corrective A rrangement

Breach of S egregation obligatio n s Wri tten Complaint fr o m Ac cess See ker or other compla inant a nd Internal I n vest igati o n b y T PI

Disc lo sure o f Confidential Information Written Complaint fr o m Ac cess See ker or other compla inant a nd Internal I n vest igati o n b y T PI

Unfair d iscrimination Written Complaint fr o m Ac cess See ker or other compla inant a nd Internal I n vest igati o n b y T PI

Conflict of Interest Written Complaint fr o m Ac cess See ker or other compla inant a nd Internal I n vest igati o n b y T PI

Breach of S e curity Written Complaint fr o m Ac cess Se e ker or other compla inant a nd Internal I n vest igati o n b y T PI

Re fe r t o “Pro ced ure f or h and li ng comp laint s a nd brea che s. ”; docum en t R-PR- RA-0 00 8

Bi-An nu al Audit a nd Rep ort

In acco rda nce wit h se ct ion 7. 2 o f t he Segr eg at io n Arra ngem en ts , t he bi-a nn ua lA ud it wil l au dit th e f ollowin g ar eas:

Audit area Audited by WhenAccess re lated financia lAccounts

Independent e xternal bo dy Bi-Annua lly

Non-Finan cialSegregatio n Obligations

Independent e xternal bo dy Bi-Annua lly

TP I wil l prov ide a n A n nu al Re port t o t he Re gu lat or on t he resu lt s o f th ese e xte r na l complianc e audits, in cluding al l in stances of no n- compliance and rectif icat io n str at egies. The re port will b e m ad e pu blic.

4 SUPPORTING DOCUMENTATION AND FORMS

Segregation Awareness Statement

Th e following Segr egation Awar en ess Stat ement shall be sign ed by pe rson ne l en gage d i n Acc es s R el at ed F unct ions.

SEGREGATION AWARENESS STATEMENT

1. As required in Section 31 of the Railways (Access) Act 1998, this statement provides for the person who is signatory to this agreement to maintain confidentiality and not to disclose to persons or organisations outside of the TPI organisation, any “Confidential Information” on rail Access related functions.

“Confidential Information” as defined in Section 31 Clause (2) of the Act means information that has not been made public and that:

(a) is by its nature confidential;

(b) was specified to be confidential by the person who supplied it; or

(c) is known by the person using or disclosing it to be confidential

2. For the purposes of this statement, Confidential Information also includes written, verbal or electronic information relating to Access Proposals, Access negotiations, Access agreements, correspondence on Access, Access invoices and payments and train planning functions dealing with pathways and train consists.

3. The signatory to this statement also commits to complying with the Act as it applies to Access related functions with respect to Section 28 – Duty to Segregate, Section 31 – Protection of Confidential Information, Section 32 – Avoidance of Conflict of Interest, Section 33 – Duty of Fairness and Section 34– Maintenance of Separate Accounts and Records.

4. The signatory must not use any Confidential Information for his or her own advantage or act in any manner which could cause regulatory non-compliance to The Pilbara Infrastructure Pty Ltd.

5. The signatory must immediately upon demand, deliver to TPI all material including documents, papers, plans, drawings, tapes, disks, computer files or any other medium for storing or recording information, comprising any Confidential Information, including all copies thereof.

AGREEMENT

In signing this statement, I hereby agree to maintain confidentiality and not to disclose Confidential Information as specified in Section 2.3 of this Segregation Manual. I further understand that I cannot breach the requirements andobligations specified in the Railways (Access) Act 1998 and the Railways(Access) Code 2000.

NAME

POSITION

SIGNATURE

DATE

WITNESS NAME

WITNESS SIGNATURE

Confidential Information Register

Confidential Information Register

This register has been prepared as part of TPI’s obligations under the Railways (Access) Act1998, in particular, the segregation arrangements approved under S29 of that Act. The provision of Confidential Information, as defined in the Segregation Arrangements, to any TPI and FMG staff, management, directors, contractors and consultants, must be recorded in this register. Recipients must sign the register to acknowledge both receipt of this information and theiracceptance of appropriate obligations under the above Act.

Date Officer Contractor/

Consultant

Title Information provided

Purpose Segregation Awareness Statement Signed (Y/N)

Signature

Associated Proce dures

Th is ma nua l ha s th e fo llow in g pr oce dur es prov id ed a s att ac hme nts.

Docu ment Name Attachment Number

Procedures for protectin g Confidential Informatio n. 1

Use of TPI Staff in an E mergency. 2

Procedure for preparation by Opera tors of amen dments to daily or fortn ightly p lans for va riab le service s.

3

Procedure for pro vision of in formatio n to be give n to the TPIor FMG Boa rd / CEO / S enior Manag ement.

4

Procedure to ensure the protection o f in formatio n pro vided to FMG Fina nce.

5

Procedure for handling comp la ints and breaches. 6

T PI Role s and Responsibilit ie s 7

AT TAC HME NT 1

RAIL ACCESS – PROT ECTING CONFI DENTIAL I NFORM AT IO N

1 PUR POSETh is d ocu m en t d escribe s ho w Conf id en ti al In fo rm ation is ide nt ified, st ore d, access ed a nd pr ot ect ed.

2 SCOPEA ppl ie s t o a ny inf ormati on def in ed as co nf id entia l u nd er t he S egr egat ionArrangements.

3 PROTECTION OF CONFIDENTIAL INFORMATION

T ype s o f Confide ntia l I nf or mation

Co nf ide nt ia l I nf ormati on h as t he me an ing give n un de r sect ion 3 1(2 ) o f t he Act.

Stage 1

If an I nt ereste d Ent it y or Prop one nt disc lose s Con fide nt ial I nfo rm at io n to TPI , the n it is, a nd sh all be t ake n t o ha ve always b ee n, Con fident ial In fo rm at io n.

Examp le s o f St ag e 1 co nf id ent ia l in fo rm at io n in clud e:

Prelim inary Information; Ac cess Pro posals;

corresponde nce related to the negotiation of the Acce ss Agreement;

Acc ess-r elat ed Conf ide nt ia l I nf or m at io n rec eiv ed i n Sta ge 1 ma y on ly b e use d for th e pu rpo se of :

responding to an Acce ss Applicat ion;

negotia ting an Acce ss Agreement; or

as sp e c ifica l ly authorised by an Interested Entit y or Proponent..

Re que st s f or acce ss and t he a cces s n ego tiat io n pro cess is m anag ed by TPI ’sCommercial/Compliance Officer.

Fo r enq uirie s co nt act – Spe nce r Dave y – 62 18 8 888

Stage 2

If an O perat or disclo ses Con fid en tial In fo rm at io n t o TPI , th en it is, a nd shall b e ta ken t o ha ve alway s be en , Co nf id en tia l I nf orma tion. Exam ple s o f St ag e 2Co nf ide nt ia l I nf ormati on i ncl ude:

t he Acce ss Agre eme nt it self an d in fo rm at io n exch an ge d in t he ma nag em e nt o f t he Access Ag reem ent ove r tim e;

train schedulin g/ plann ing dat a, to the extent it iden tifies specific haulage op er ations, in cluding Master Train Plan s and Fortnigh tly Tr ain Plans and voice logging tapes from train control;

plans , corr esp ondenc e an d ne got iat ion s r ela ti ng t o a ny exp ansi on ofAccess rights to allow an incr ease in thir d party traffic;

an y dat a re late d to ope rat io ns un de r a n Acce ss Ag reem en t in clud ing t he dat a held in TPI ’s Rail A ccess Ma nag eme nt System ; a nd

billing i nformation.

In ad dit ion t o th e pu rpo ses o ut lin ed un de r Sta ge 1, Acces s-relat ed Con fident ia lInf orma tion m ay on ly be use d fo r t he purpo se of adm in ist erin g an Acce ssAgreement.

Confiden tia l Inform ation F lows

Stage 1

TPI’ s Commerc ia l/ Com pl ia nc e O ffic er is r esp onsi ble f or th e ha ndl in g of Co nf ide nt ia l In fo rm at ion. An Access Se eker ’s Con fident ia l In fo rm at io n will on l y be disclos ed f or th e purp ose o f and t o the ext en t ne cessa ry to pro gre ss a n Access Ap plicat io n or re spo nd t o an A ccess See ker’s requ est .

All st af f ma na gin g or co nd uct in g Access- relat ed f unct io ns m ust und ert ak e segr eg at io n awar ene ss tr ainin g an d sig n a Se gre gat io n Awaren ess St at em en t, so t ha t th ey ar e a war e o f and un de rsta nd TPI’s segr eg at io n o bli ga ti ons und er th e Act a nd t he Cod e, and spec if ica lly t he n eed to pr ot ect Co nf id en tia l I nf ormat ion .

I n ass ess ing an Acces s Pr opos al, TPI ’s Comm erc ial/C omp li anc e Off ice r may disclos e th e Pr opo ne nt ’s Co nf id ent ia l Inf orma tion t o th e tra in co nt rol an d trac k m an ag ers , pr ovid ed tha t disc los ur e t o e ac h r ec ipien t is limite d t o t he so le pur pose of ne got iati ng an Acc es s Agr eeme nt . S uc h d iscl osur e is n ecess ar y in ord er to de te rm in e whe th er th ere is suff icie nt ca pa cit y a vailab le f or th e re qu est ed t rain s ervic es, ev alu at e o per at io na l re quir ements , tim el in es , tr ain c onf igur at io ns, accreditations, wheel prof iles an d other ro lling stock technical de tails. Th e Comm erci al/C omp lianc e Off ic er is t he so le cust odian o f C onfi denti al I nf or m at ion du ring St a ge 1. A ccess t o Con fide nt ia l In fo rm at io n by ot he r TPI sta ff m ust n ot occur , ot he r th an as d escri be d ab ove an d t o l in e ma na gem e nt f or a pp roval pu rpos es.

In t he e ven t th at an of ficer fr om tr ain con tro l o r track b ecom es a ware of Co nf ide nt ia l In fo rm at ion th rou gh t his pro cess , th at o ff ice r sh all s ign a Segr eg at io n A war en ess Statem en t an d sp ecific all y ack no wledg e t he co nf ide nt ia l n at ur e of the in fo rm at io n d isclose d t o it f or t he pu rpo ses o f pr og ressing an A cce ss Ap pl ica ti on .

TP I’s Commercial/Co m pliance Officer m ain tain s a register of those staff, in clud in g e xt ern al con tr act ors/ con sulta nt s, to wh o Conf id ent ia l Inf orma tion of a Int ereste d En tity o r Prop on ent is d isclose d. Th e re giste r ackn owl ed ge s receipt of t he Co nf id en tial Info rma tion by th e re cip ient . An In tereste d En tit y or Prop one nt m ay vie w t he se reg ist ers relat in g t o disclos ure o f it s Co nf id ent ia l I nf orma tion .

TP I pr ovides m ana gem en t re po rts to bot h its own Bo ard , t he G ene ral M an ag er Ra il, and to the FMG Director Operat io ns, CEO and Board members. Use an d disclos ure of a ny Int ere ste d Ent it y o r Pr opo ne nt Con fident ial I nf orm at io n re vea le d thr ou gh t his r ep ort in g i s i n accor danc e wit h t he s egr eg at io n arr an gem ents, inc lud in g direc t re po rti ng t o t he r elev an t s enio r e xecut iv e on ly.

Th ese m an agem en t re port s pr ovi de f in anc ia l d et ai ls a t ag gre gat e c omp any l evel fo r TP I an d d o n ot id ent if y i nd ivid ua l Acces s custom ers, a nd r ep ort s on ot he r op erat iona l a nd stra tegic issu es. The y also inclu de stat ist ics o n o vera ll n et wo r k usa ge, an d s af et y pe rform anc e.

Ty pica l r ep ort s in clude :

op erati ona l matt er s re late d t o th e perform an ce of th e net wor k a nd t he ma int en an ce wo rk being ca rrie d ou t;

see kin g ap pro val f or or re por ting pr ogr ess on ca pita l wo rks;

rep ort s on sign if ica nt incide nt s;

cont ract s, includ ing A cce ss ag reem ent s, that have bee n ent ered int o b ut on ly at bro ad d et ail le ve l with ou t d isclos ure of f ull t erms an d con di tion s; an d

mo nt hly f in anc ia l re port s a nd c omm entar y at aggr eg at e lev els.

When TPI is presen ting repo rts to TPI or FMG m ana gement, directors and boar ds in wh ich C onf identia l I nf ormat ion is t o b e pres ente d, t he proc ed ure s in Attachment 4 shall be complie d with to ensure that :

The Con fid ent ial In fo rm at io n pre sen te d is clearly ide nt if ie d; and

Rec ip ie nt s o f t he i nf orm at ion have s ign ed a S egr egat io n A ware ne ssSt at eme nt .

W here t he re is a nee d fo r TPI to brief t he se nior m ana gem en t of TPI o r FMG ou tside of st ruct ur ed m ee tings an d t ho se br ie fing s are likely t o re sult in th e disclosur e of Co nf idential Information, particularly rela ted to the identity of the Int ereste d Ent it y or Pro pon en t, TPI sh all en sur e t hat :

The Con fid ent ial In fo rm at io n pre sen te d is clearly ide nt if ie d; and

TP I o r F MG m an ag em en t me mber s hav e s ig ned S egre gati on Aw are nessSt at eme nts.

At ta chme nt 4 ap plies.

A ll TP I o r FM G m an ag eme nt an d d ir ector s prov id ed w it h Co nf id entia l I nform at io n m us t b e r ecor de d o n th e r egist er . T he re giste r r ecor ds bot h n ame s a nd pos ition titles f or each pe rson .

Stage 2

As in Stage 1, TP I staf f respon sible for negotiating Access must on ly disclose Int ereste d En tity, Propon en t o r O perat or Co nf id en tia l In fo rm at io n f or t he pu rpos e an d t o t he exte nt ne cessa ry t o pr ogre ss a n Acce ss Pro posa l, re spon d to a reques t from an Interested Entity, negotiate an Access Agreement or adm inister an Acc ess Agreement .

Sim ilar t o S ta ge 1 , TPI req uire s all of it s staf f ma na ging o r cond uct in g Acce ss- relat ed fu nct io ns t o sign a Se gre gat ion A ware ne ss St ateme nt , to the ef fe ct th at th ey are a ware o f and un dersta nd TPI’s segre ga tion ob li gat ions un de r t he Act an d the Co de , an d specif ic ally n eed to pr otect Conf idential Informat io n.

Th e St age 1 o bligatio n f or TPI’ s C ommerc ia l/ Com pl ianc e Off ice r t o m ai nt ai n a register of those staf f, includ ing external contractors/consultants, to whom Co nf ide nt ia l In fo rm at io n is d isclo sed , also a pp lie s in St ag e 2 b ut exte nd s to in clud e dis clo sure o f O per at or Co nf id en tia l I nf orm at io n.

Th at is , t he disclo sure by TPI of Oper at ors’ Co nf id ent ia l I nfo rm at io n in t he cours e of t he o per at io n/ admi nistr at io n o f a n Acces s A gr eemen t mus t b e rec ord ed on the r eg ist er . T he r eg ist er ack no wle dg es rec ei pt of t he Conf ide nt ia l I nf ormat ion by the r eci pie nt a nd c onf ir m s t he rec ipie nt ’s awar en es s o f t he co nf ide nt ia l natur e of the in fo rm at io n th roug h th e ackn owled gem en t of t he Se greg at io n Awar ene ss St at eme nt by th e re cip ien t. A n O per at or m ay view th ese reg ist ers relat ing t o disclos ure o f it s Co nf id ent ia l I nf orma tion .

Custo dy o f Co nf ide nt ia l I nf or m at io n is th e res po nsib il it y of mu lt ip le staf f mem bers with in TPI a nd FM G i nc ludi ng th e C omme rc ia l C om plia nc e Off ic er , tra in co ntrol an d track maintenance staff.

Sim ilar t o Sta ge 1 , t he use a nd d isclosur e of O perat or Co nf id ent ial I nf orm atio n by TP I as par t o f ma nag eme nt r eport s t o b ot h it s o wn Bo ar d an d t o t he G en eral M an ag er, Ra il, an d t o t he FMG Dire ct or O perat io ns, CEO a nd B oard m em bers is in accordance with these segr egation arrang ements. The Commercial Com plianc e Of ficer ma inta ins a dis tribut ion list fo r such info rm at io n t ha t is s trictly lim it ed t o t he sm all num ber o f FMG ’s s en io r e xecutiv es a nd Bo ar d me mbers id ent if ie d a s be in g nec essa ry t o d isclo se A cc ess Se eke r Co nf ide nt ia l I nfo rm at io n fo r th e pu rpo se of m anaging a n A cces s Ag reem en t.

W her e Acc ess-r el at ed C onfi de nti al Inf orm ati on i s r eq uir ed t o b e d iscl ose d during th e cour se of ma na ge m ent m ee ting s in volvin g r epre sen tat ives of th e arm of TPI or relat ed en tit ies of TPI invo lve d in op era ting tr ain se rvice s, t he sam e c ont ro l m eas ure s as t hos e outl in ed a bo ve f or se nio r TP I o r FM G ma na geme nt m eet ings will also app ly to part ie s receiving Confidential Informat io n. Disclosur e of such Co nf ide nt ia l I nf or m at ion will o nl y occu r in th ese m eeti ngs w her e n ecess ary , s uch as fo r th e pu rpose o f im pro ving pr od uct ivity a nd safe ty pe rform ance of th e ra i lne twork.

Locat io n of T PI Prem ise s whe re Confide ntial Information is stored

Th e follow ing table summarises key lo cations an d types of security used.

Location DescriptionTrain Contro l, 87 Adela id eTerrace, East Perth

The Train Control centre is a purpo se built set of rooms in a secure build ing which is manned 24 hours a day, locked at all time s and monitored b y a major secu rity fir m. T he entrance to the facility is via a serie s of doors which are ke y-cardlocked and ke y-card s ar e is sued only to staffwho require entrance to the Train Co ntrol facility. Confidentia l Information is se cure ly stored in lockab le sto rage. The facility is lo cke d when not in use. Ind i vi dual areas o f the build ing will be secu red fro m unauthorised access by staff in acco rdance with TPI’s procedures to en sure protection of Confidential Information.

T homa s Yard , Por t Hedland T he Thoma s Y ard facility is a se cu r ity patrolled premise s with entrance to building s controlled b y Abloy ke ys which are issued only to staff who requ ire entrance to the build ings. Confidentia l Information is secure ly stored in lo ckablestorage. The facility is locked when not in use. Individua l ar eas of the build ing w ill be secu red from unauthorised a ccess b y staff in accordan ce with TPI’s procedures to ensure protection of Confidentia l Information.

FMG Hyatt Centre Office, Ea stPerth

The FMG Hyatt Centre Office is located in a secu re build ing wh ich is locked at all time s and monitored b y a ma jor se cu rity firm. The entrance to the faci lity is via a series of doors which are key- ca rd locked and key-cards are issued only to staff who re quire entrance to the office. Confidentia l Information is se cure ly stored in lockab le sto rage. The facility is lo cke d when not in use. Ind i vi dual areas o f the build ing will be se cure d fr o m unauthori se d ac ces s b y staf f in acco rdance with TPI’s procedures to en sure protection of Confidential Information.

T ype s o f Confidentia l I nf orma ti on a nd Se c ur ityArrange me nt s

Th e f ollow i ng typ es of Conf ide nt ia l Inform ati on mus t be sec urel y st ore d. The Comm erci al Com pli anc e Off ic er r ec or ds w ho ha s acces s t o doc ume nt s an d in fo rm at io n in t he Conf ide nt ia l Inf orma tion Regist er.

Documen t and Staf f Se cu r ity Phy sic a l S e cur ity E le ctroni c se cur ity

Information Type

Train S chedules Segregation Awareness Statements



Access Proposals an d Prelim i nary in form at io n.




Signed A ccessAgreements




Correspond ence with Interested Entitie s, Proponents and Operators




Pricing and Financial Information includ ing In vo ices and Payments.




Master Tra i n Plan, Fort nightl y Tra in P lans




Train Graph s and Voice Logging tapes from Tra in Control




Train Man ifests and operational reports required under Acce ss Agreements




Any Data Related tothe Reco rding of Usage of the Acce ss Agreement Includ ingthe Data Held in the Rai l A cce s s Management Syste m




Hardcop y Access

Stage 1

Any writte n or e le ctr onic Con fide nt ia l I nfo rm atio n rece ived b y th e Commercial/Compliance Officer in pe rforming Access-re la ted functions m ust b e kep t on TPI file s wit hin t he TPI p rem ises list ed a bove .

Th ese f il es mus t on ly b e acc essi ble t o th e C ommerc ia l/ Com pli an ce Off ic er wh o will cont ro l a ccess of oth er TPI st af f f or t he p urp ose of pro cess ing an Acce ss Application , or negotiat ing an Access Agreement.

Th e Commerc ial/ Com plianc e Off ice r m us t also:

keep a record of st af f that have accessed an Intereste d Ent it y or Prop on ent ’s Con fident ial In fo rm atio n an d t he pu rpo se f or wh ich t he inf ormat ion wa s used ; and

ensure rele vant officers acce ssin g Int erest ed Ent it y or Pro pon en t’ s Co nf ide nt ia l I nf ormati on si gn- in a nd si gn-o ut Conf ide ntia l Inf ormat ion e ac h t ime it is ut ilised .

TPI m ay be requ ir ed to disclose d ata, includ ing confidential data, in relat ion to the following matte rs:

t he re qu irem ent s of sect io n 7(1) (b)(i) of th e Co de; or

other le gislat ive requ ir ements, such as the Ra il Safety Act.

In d isclosi ng an y c onf id en tia l d at a fo r t he se rea son s, TPI mu st pr ot ect th e confidential basis of the source da ta.

Stage 2

St age 1 ob lig at ions a lso app ly in St ag e 2, ho we ver, are ext en de d t o cov er Oper ator Confide ntia l Informat io n as we ll as Interest ed Entity an d Proponent Co nf ide nt ia l I nf ormati on.

TP I s ta ff invo lved in t he Access relat ed fu nct io ns liste d in Sect io n 2 ar e lo cate d at t hre e locat ions, a s be lo w. The resp ect ive st af f resp ons ib ilit ie s f or sp ecific comp on ent s of th e Acce ss r ela te d f unc tions d uring St ag e 2 are list ed belo w.

Train Co nt rol Cen tre at 8 7 Ade la ide Te rrace, East Perth (“Train ControlCe ntre”), responsible for:

Ma na gem e nt of A ccess Ag reem ent s; and

Regu la to ry comp lia nc e (p art ly).

Thom as Mar sha lling Ya rd an d off ice , 20 km so ut h of Port He dlan d(“Thom as Yard”), responsible for:

Nego tiat ion of Access Agreements;

Regulatory complia nc e (par tly);

I nfr astru cture ma inte nan ce;

C apac it y man ag eme nt ; an d

I nt erfa ce emer ge ncie s.

FM G Hea d O ff ic e at th e Hya tt Ce nt re, 87 Adelaid e Terra ce, E ast P ert h(“Hyatt Ce nt re”), responsible for:

Regu la to ry comp lia nc e (p art ly) a nd;

C orpora te s e r vi ce s.

All in fo rm at io n m ust b e stor ed in a secu red comp act us or sim ilar fa cil it y a t eac h sit e, with resp ect ive s tor age are as ref err ed t o a s “ Access ma na geme nt areas”. Such area s must be lo cked when not at tend ed by TPI staff. The Tr ain Control Centre must be secured wit h ent ry con trolled by T P I. Entr y t o t he Acce ss m an ag emen t are as is on ly ava ila ble t o st af f w ho hav e s ig ned TPI ’s S egr eg ationAwar en ess St at eme nt , a nd who ar e ap prov ed b y TPI ’s G en era l M an age r, Ra il.

Electronic Access

Stage 1

TP I s har es a n I T n et wor k w it h FMG . To e ns ur e I nt er est ed Entit y an d Pro po nent ’s Co nf ide nt ia l I nf ormat ion is on ly a cc esse d b y th e Comm erc ial/C ompli anc e Off ice r for the pu rpose of ne go tiat in g a n Access Agreement, access to Confidentia l Inf orma tion he ld e lectr on ica lly is su bje ct t o lim it ed acce ss, wit h pa sswo r d pr otection and other computer security contro ls in place to prevent unauthoris ed access.

The access of users across TPI/FMG’s computer ne twor k must be restricted to immediate functional ar ea s and re la ted ar eas. User ID’s, pa sswords an d access t o a ny g ive n p ar t o f th e net wor k ar e allocat ed by l in e ma na ger s at the commencement of the staff member’s employment. Access to area s of the ne twork t hat ap ply to Acce ss re lat ed f un ctions are automatically restricted to all

staf f, un le ss au th orisat io n is g ive n by th e G en era l M an ag er, Ra il. All suc h au th orisat ion s ar e reco rde d in the re giste r an d au th orised st af f ar e req uire d to sig n th e Segr eg at io n A war en ess St at eme nt .

Stage 2

A shared IT network between TPI and FMG also ap plies in Stag e 2. Under Stag e2, Oper at or’s Co nf idential Information is on ly accessed by th e Comm erci al/C omp lianc e Off ic er (o r ot he r staf f in t he TP I Net wor k gr ou p respon sible for negotiating Acce ss) for the purpose of either ne go tiat in g or adm inist erin g an Access Agre eme nt . The sam e lim ita tions on acce ss d escribe d in St ag e 1, in t erm s o f se curity m easur es app ly.

Ov er th e cour se of an Acce ss Agreem ent , TP I ma y a ls o c o llect p ot enti al ly Co nf ide nt ia l In fo rm at io n in relat io n t o an O perat or’s ha ula ge op era tion s, in clud in g num be r a nd size of t ra ins a nd ton nag es car r ied . Th is in fo rm at io n is st ore d in a n operations management system . Acc ess to this information is pas sword pr otected an d limited to relevant TPI staff. The Commercial/Compliance Officer, in liais on wi th t he Ge nera l M an age r, Rail, m us t au th orise all a ccess to t hird pa rty’s c onfi de nt ia l dat a h eld i n t he o perat io ns m anag em en t syste m and m ay on ly gr a ntaccess to persons who ha ve signe d Segreg at ion Awareness Statements.

Staff Issues

Ef fe ctive segre ga tion arra ng eme nt s re quire p olic ies a nd pro ce dur es to be in place to ad dres s th e m ovem ent o f sta ff with a ccess to Co nf id ent ial In fo rm at io n. Th is sh all a pp ly t o inter na l staf f tr ansfe rs as we ll a s t he use o f e xter na l contractors/ consultants.

Tran sfe rs

TP I will pre clud e th e ab ility of se nior s ta ff (staf f at ma na gem ent leve l and a bov e inc lud in g t he Commerc ial/ Com p lianc e Of fic er ) t o tr ansfe r b et we en pos iti on s in volv ed in pe rforming Access-related function s an d po sitions in volved in pe rform in g ot he r fu nct io ns whe r e th e o ccup ant of t he Acc ess-re late d po sit io n concer ned is required to sign TPI’s Segreg at ion Awareness Statement, except wh ere t he pe rson tr an sf errin g from th at Access-re late d p osition first spen ds at le ast on e ye ar u nd ert aking ot he r Acce ss-relat ed f unc tions with in th e Rai l Infr astruct ur e Division which d o n ot re quire th e sign in g of TPI ’s Segr eg at io n Awar en ess St at eme nt .

Th e lim it at io ns in t his se ction d o n ot app ly un der em erge ncy circ um st an ces. If TP I be lieve s t her e is a n em erge ncy a nd ca nn ot o bt ain st aff oth er t ha n fr om it s ab ove rail te am , th en it ma y u se such st af f in th ese po sit io ns aft er it ad vise s th e Re gu lat or of :

The circumsta nce s givi ng ri se to the eme rgency;

The e xpe cted duration of the em er gency; and

The steps TPI will take to protect against a conflict o f intere st in th ese circu m stanc es in clud ing th ose peo ple who are propo sed to b e used signing a Segregation Awarene ss Statement.

Consultant s

Fr om t im e t o t im e in th e cour se o f Acce ss ne go tiat io n s or in th e d urat ion o f a n Access Agreement it m ay be necessary fo r TP I t o d iscl ose C onf ide nt ia l Information to it s external consu ltants and advisers. Where it is necessary for TPI t o d iscl ose Co nf identia l I nf ormati on t o a c onsu lt ant , th e c ons ult an t i s r eq uir ed to sig n TPI ’s Se gre gat io n Awarene ss St at em ent . The fo llo win g ob lig at io ns ap pl y i n these c ircum stances.

Stage 1

Co nsult ant s m us t b e m an ag ed s uc h t ha t t he y ar e n ot i n a posit io n t o disc los e Int ereste d Ent it y or Prop on en t Conf ide nt ia l Info rm at io n ina ppr opri at ely. Th is must inc lud e a n o bli gati on t o on ly use s uc h inform at io n f or th e p urp ose fo r wh ich it was pro vide d an d t o no t disclo se it to ot her ar ea s o f TPI /FMG .

Co nsu lt ant s who wo rk f or t he comp an y f or a sp ecified pe riod o f tim e m ust b e inc lud ed a s a staf f m em ber f or t he p urp ose o f t he se gre gati on arr ang eme nts.

Stage 2

Th e sam e o bli ga tion s as in Sta ge 1 a pp ly , b ut t he y also ap ply t o inf orm at io n disclosed durin g the op er ation of an Access Agreement.

Documentation

Segre gation Awa reness Sta tem ent

Stage 1

W here an emp lo yee , o r cont ract or/ co nsult ant , of TPI ha s pre scrib ed du ties whic h in clud e m ana gin g or c ond uct in g A ccess-re la te d fu nct io ns, TPI mus t, a t th e tim e of th eir pe rm an ent o r tem por ary a pp oin tm ent , req uire t he em ploye e t o sign a Segr eg at io n Aware ne ss St at em ent th at t he y ar e awar e of t he ir resp ons ibilit ies an d o bliga tion s un de r t he Act an d th e Cod e a nd spe cif ica lly as it re lat es t o Co nf ide nt ia l I nfo rm at io n a s def ine d in t he Act a nd th e Cod e a nd in t hese segreg at ion arrangements.

Stage 2

St age 1 obl ig at io ns a ls o app ly in S ta ge 2 .

Advice re garding confidentiality

Stage 1

TPI must inform Int erested Ent it ies and Pro pon en ts o f th eir rig hts t o c onfi de nt ial ity.

Stage 2

TP I mu st inf orm Op erator s of th eir r igh ts t o conf id en tia lit y in t he adm inistr at io n of the ag reement up on commencem ent of the Stag e 2 arrang ements.

AT TAC HME NT 2

RAI L ACCESS – USE OF TPI STAFF I N AN E MER GE NCY

1 PUR POSETh is d ocume nt descr ib es ho w an d whe n TP I Staf f m ay u nd ert ake oth er duti es in an emergenc y, taking in to accou nt it s obligations und er the Ra ilways (Access) Act 1 99 8 an d th e ap pro ved Se gre gat io n Arra ngem ent s.

2 SCOPEApp lie s to a ll tr an sf ers of Sen ior st af f in an em erg en cy sit ua tion.

3 S TAF F TRA NSFER S IN E MER GE NC Y S ITU ATIO NS

Overview of St aff Transfer sit uat ions, ot he r t ha n in an emergency

Stage 1

Un der Sta ge 1, the Commercial/Compli an ce Officer is responsible for Access ne got iat io n s a nd m an ag es th e h an dl ing o f Co nf ide nt ia l Inform ati on acros s TPI dur ing negoti at io ns wit h 2Proponents. Th is of ficer will not un de rtake dut ie s in ot he r are as of TPI /FMG wh ich pla ce t he off ice r in a pos it ion of con flict of in te res t. As such , t he Com m ercial/ Com p lia nce Off ice r will no t work on matt ers f or oth er are as of TPI /FM G, eith er on a t emp ora ry or p erma nen t b asis, in re spe ct o f which th ey ha ve h ad a ccess t o Pro pon en t Conf iden tial In fo rm at io n or t he a ct ivities of th e are a co uld af fe ct t he Pro pone nt ’s ope rat io ns. I n the case o f a perm ane nt tra nsf er, t he lim ita tion will a pp ly f or a pe riod of 3 m ont hs.

Stage 2

Un der St age 2, t her e wil l b e m or e st af f pote nt ial ly wit h acces s t o Conf ident ia l Inf orma tion of In te reste d Ent it ie s, Pro pon en ts an d Op erat ors. All such st af f sha l l un dertak e Se gre gati on Awaren es s Train ing an d be s ignator ies of t he Segr eg at io n Awar ene ss Stat em ent .

Un der St a ge 2 th er e wil l b e a re quir emen t t ha t a Se nio r st af f m em ber who tra nsf er s f ro m th e b elo w ra il are a of TP I t o oth er ar eas o f TPI/ FM G o n e it he r a

2 I nteres te d Entitie s ar e no t i nv ol ve d i n n ego ti ations.

tem por ar y or a p er ma ne nt b asi s will no t be p erm itt ed t o wor k on matte rs in resp ect of which t hey h ave h ad a ccess t o Pr opo ne nt o r Op era tor Conf ide nt ia l Inf orma tion or t he act ivities o f th e ar ea c ould a ff ec t t he Prop on en t’s or O per at or’s op erat ions. I n t he case of a p erma ne nt tr a nsf er , t he lim it at io n wi ll app ly f or a per iod of 1 2 m onths.

Th ere are no rest rict io ns o n t he tra nsf er of No n-Se nio r st af f b et we en be low rai l an d a bo ve rail fu nct io ns. An y sta ff m emb er tra nsf erring int o a b elo w ra il pos it io n wh o can be re aso na bly e xpe cte d t o hand le C onf iden tial Inf orm at ion wil l un der take Segr egation Awaren ess Tr aining an d sign the Segr egat ion Awareness St at eme nt .

Transfer of staff in the ev ent o f a n e me rgency

Th e above limitations will not apply under emergen cy circum stan ces. If TPI be lie ves t her e is a n emer ge ncy a nd ca nn ot o bt ain st aff ot her t ha n fr om its a bov e r ai l te am , t he n it ma y us e s uc h st af f in t hes e pos it io ns . A t th at t ime , t he G en eral M an ag er , R ai l m us t adv ise t he Eco nom ic Re gu lat io n A uth or it y in wr it in g of the following:

The c ircum stances giving rise t o th e emer ge ncy;

T he typ e of emer gency;

The e xpe ct ed d urat io n of th e em erge ncy;

The ro le s o f st aff being tr an sf erre d ie t he fr om -role an d t o-role;

As pa rt of this advice, TPI must also indicate the step s it will take to protect ag ain st a co nf lict o f in te rest in t hese circum stan ces.

Th e minimum steps must include:

T he st af f m emb er conc er ne d, b ein g advis ed by prefer ab ly t he C ommerc ial Com plia nc e O ff icer , or in th at person ’s ab sen ce, t he Ge ne ral M ana ge r, Rai l of th e st af f mem ber ’s resp onsi bil it y u nd er th e R ail way s (Acc ess ) Ac t 19 98 an d t he a pprov ed S egr egati on Arr ang eme nts.

T he staf f mem be r c onc ern ed m us t s ig n a S egr eg at ion A war en ess Statem ent.

When a choice of suitable staf f is available, the crit er ia for staf f sele ction must in clu de eva lua tion of t he de gre e o f co nf lict of in te rest t ha t exists fo r resp ect ive candidates.

Fu rt her st ep s th at m ay be ta ken, if pos sible, inc lud e t he f ollowin g:

The staf f m emb er co ncer ne d u nde rt akin g o nly th ose dut ies ne cessa ry t o ma nag e t he em erg ency .

The st af f mem ber con cern ed ha ving a ccess on ly t o th os e f iles a nd do cume nt s t ha t ar e n ecess ar y t o ma nag e t he em erg ency.

Eme rgenc y t ra ns fe r L og

Th e f ollo win g log sha ll b e ke pt to reco rd t ra nsf ers in a n em erge ncy s it uat ion :

Name From -Ro le Date-from To-Role Date-To

ATTACHMENT 3

RAIL ACCESS – PREPARAT ION BY OPERATOR S OF A MENDMENT S TO DA ILY O R F ORTNIGHT LY PLA NS

FO R VAR IA BL E SE RVICES

1 PURPOSETh is d oc u m en t d esc ri bes h ow pr o pose d a m en dme nt s to da ily o r fort nig ht ly p lans fo r s ervic es wh ich e xp eri en ce variable dem and or varia ble de stina tions ar e ha ndl ed .

2 SCOPEApplie s to any propo sed amendments to daily or fortnight ly pla ns for variable services.

3 AMENDMENTS TO DAILY OR FORTNIGHTLY PLANS FOR VARIABLE SERVICES

Op era tor s m ay pre par e ame ndm ent s t o daily or f ortnigh tly p lan s fo r se rvice s wh ich e xp e r ienc e varia ble dema nd or var iab le d est in at io ns pr ovid ed th at th ey do no t int erf ere with ot he r op era tor s rig ht s an d su bj ect t o TPI ha ving u ltim at e co nt rolof such ch an ges.

Not ific ation pe ri od

Th e ope rat or m ust supp ly TPI wit h t he ir p rop ose d a m en dme nt , in writ ing or electr on ic fo rm at , at lea st 48 hours (or s uch ot he r t imefr am e as ag ree d in th e op erator ’s Acce ss Ag re em en t wit h TPI ) prior to th e e arlier o f t he t im e of c omme ncem en t o f t he pr op ose d ame ndm en t o r th e ori gin al c om me nc em ent of th e serv ice.

I f t he a men dme nt i s not r ec eive d in th e agre ed t im efr ame , t he pr op ose d ame ndm en t m ay b e de nie d by TPI.

Interference with other operator’s rights

I f TP I de em s t ha t th e pro pos ed ame ndm en t ma y pot ent ia lly int erfer e wit h oth er op er at ors righ ts, or it cann ot be reas ona bly accommodated given capacity or op er ati ona l c onstra int s o f t he ra ilw ay, th en TP I m ay de ny t he am en dme nt.

TP I will re spo nd t o t he op erat or, initially verba lly o r e le ctronica lly an d sub seq ue n tly in writi ng o r ele ctr on ica lly a s soo n a s po ssib le. I t will us e rea son abl e e nd ea vour s t o re spo nd at lea st 24 ho urs prio r t o th e e arlie r of th e t im e

of c omme ncem en t o f t he pr op ose d ame ndm en t or t he or ig ina l c o mm enc eme nt of th e service.

Agree d Penalt y

As part of th e ne got iat ion of a n op erator ’s Acces s Ag reem en t, TP I will se ek to est ab lis h a n agr ee d pe na lt y rat e fo r am en dme nt s t o serv ices . T he rate s an dc on ditio ns w il l b e s pec if ie d in t he oper at or s Acces s Agre eme nt w it h T PI.

Confiden tia lity Provis ions

All corres pon de nce , em ail an d discussi on s, in relat io n t o t he pr op ose d ame ndm ent s an d th e r esp ons e b y TPI , co nstitut e C onfi de nt ial Inform at io n and m ust be ha nd led in acco rda nce wit h th e segr egat ion a rran gem ent s an d segr eg at io n m anu al.

ATTAC HME NT 4

RAIL A CCES S - P ROVI SION O F INFO RMATI ON TO THE TPI OR FMG BOARD/ CEO/SENIOR MANAGEMENT

1 PURPOSETh is d oc u m ent descr ib es pr oce dure s t o m an ag e th e pr ovis ion o f C onf ide nt ial Information to senior mana gement in TPI or FMG, to en sure compliance with ob lig at io ns an d ap prov ed se gre gat io n arra ng eme nt s und er the Railwa ys (Access) Act 1998.

2 SCOPEApp lie s t o th e pr ovisio n o f Co nf id ent ia l In fo rm at io n to t he direct ors and se nior m an ag emen t of TP I an d FM G (“d irector s an d s enior ma na gem ent”) . The pro vision t o an d u se of Co nf ide nt ia l I nf o rmation, as describe d in the Segreg at io n Arran gem en ts an d t he Se gre gat ion M an ua l, by direct ors an d se ni o r m an ag ement , is lim it ed t o t he pur pose s of :

Respondin g to an Access Proposal;

Negot iat in g or execu ti ng an Acce ss Ag reem ent ; or

Adm in istr at io n or ma nag eme nt of a n Acces s A gr eem ent.

3 PROCE DURES

Stag e 1

If an I nt ereste d Ent it y or Prop one nt disc lose s Con fide nt ial I nfo rm at io n to TPI , the n it is, a nd sh all be t ake n t o ha ve always b ee n, Con fident ial In fo rm at io n.

Examp le s o f St ag e 1 Conf iden tia l I nfo rm at ion in clud e:

Pre lim inar y In fo rm at io n; Access Proposals;

corr esp ond enc e r el ate d t o t he n eg ot iati on o f t he Acces s A gre eme nt;

Segre gation Aw areness Tra ining a nd Se gre gat ion Aw areness Sta tement

A ll d irector s a nd se nior m an agem en t t ha t ca n r eas ona bly b e exp ect ed t o be pro vide d wit h Con fident ial Inf orma tion, sh all un der ta ke se gre gat io n a war ene ss tra in ing , an d si gn t he Se gre gatio n Aw arenes s St atem ent . Tra in ing a nd ind uct io n

pr ogram s for new dire ctor s and senior management shall include segreg at ion awaren ess tr ain in g. TPI ’s Com mer cia l/ Co m plian ce Off ice r is res pon sib le fo r coor din at in g t he tr ainin g an d m an ag in g th e st at eme nt s.

Co nt act Sp enc er Da vey, pho ne 6 21 8 888 8

Confide ntia l Informa tion Registe r

Th e pr ovision of any Confiden tial Info rmat io n to directors and senior management, in cluding verbal br iefings an d discussion s at occasion al meetings, shall be recorded in the Confidential Informatio n Register (“register”). TPI’s Commercial/Compliance Officer is responsible for managing the register.


Ma nage men t Re p or ts

Th e co nt ent an d pro vision o f report s t o dir ect ors an d se nio r m ana gem en t, an d th eir u se of t hese repo rt s, sh all b e ba sed o n t he f ollow in g princip les :

Th e pro vis ion of info r m at io n in reg ards t o Access Pro po sals sha ll b e restricted to allo wing a response to an Access Pro pos al, n eg ot iati ng or exec uting a n Access Agreement;

R ecipi ent s o f r eport s cont ainin g C onfi dent ia l I nf ormati on m us t h av e s ig ne d a Segr ega ti on Awarene ss S ta te men t.

A ny dir ec t or s a nd s en ior mana gem ent w ho ar e n ot pre pare d t o si gn a S egre gatio n A war enes s St at em ent ma y no t r ec eiv e a c op y of t he rep or t an d m us t n ot be pr ese nt w he n t he re port s ar e d iscuss ed;

The id en tity of Interested Entities an d Proponents must no t be disclos ed(u nless t hei r ide nt it y is no t Conf iden tial I nfo rmat io n);

On ly br oa d leve l de ta il of t he t erm s of A ccess Agre eme nt s ma y b e disclose d;

Rep ort s on releva nt op era tion al m at ter s, inclu din g u sag e a nd p erf or m anc e o f t he ra ilw ay netw ork , m ai nt en ance pr ograms , oper at in g an d capit al c osts, revenue an d other finan cia l information, in cide nt managem ent and au dit s sh all be pr ese nt ed o n an a ggr egat e bas is ; a nd

A ll Co nf identi al I nf orm at io n in rep ort s s ha ll b e c le arl y id ent if ied .

Occasiona l Me etings

M eeti ng s he ld w it h d irector s an d se ni or ma na geme nt , wh er e Co nf ide nti a l Inf ormati on re lati ng t o Inter est ed E nt it ie s an d Pr op one nt s is d iscl ose d, s ha ll be ba sed on the pr inciple s in Section 5.1.3.

Furt her , t he disc los ur e of a ny Confi dent ia l Inf ormati on at occas io na l me et ings m us t be a ut hor ise d by t he G en era l M an ag er , R ai l.

Othe r Forms of Communic a tion

Other form s of com m un icat ion involv ing director s and senior m ana gement, in cluding e m ails, memos, le tt er s, telephone calls, an d occasion al discussions, in volv ing C onf id en tia l I nf orma tion re la ting t o In te rest ed E nt it ie s an d Prop one nt s, m us t c omp ly wit h th e contr ol me as ur es in t hi s d ocum ent.

Stage 2

If an O perat or disclo ses Con fid en tial In fo rm at io n t o TPI , th en it is, a nd sha ll b e ta ken to ha ve alway s be en , Con fident ia l In fo rm at ion. The con tro l me asur es descr ib ed i n Sta ge 1 a pp ly t o Sta ge 2.

.

ATTAC HME NT 5

RAIL ACCESS - PROVI SIONS TO ENS URE PROTE CTIO N OF INF ORM AT ION TO BE GIVE N TO FMG

FINANCE

1 PURPOSETh is d oc u m ent descr ib es pr oce dure s t o m an ag e th e pr ovis ion o f C onf ide nt ial Inf ormati on t o FM G Fi nanc e, t o ens ur e com pli anc e wit h ob lig ati ons an d a ppr ove d segreg at ion arrangements unde r the Ra ilways (Access) Act 1998 .

2 SCOPEApplie s to the provision of Confidential Inform at io n by TPI to FMG Finance for the pu rpos e of th at gr ou p: pre pari ng a nd iss ui ng i nvo ice s to , an d co llecti ng p ayme nt s fr om O per at ors;

m an ag ing t h e acco unt s an d f ina ncial re cord s o f O per at ors;

sup por ting TPI in it s reg ulat ory acco un ting re spo nsib il it ies; an d

un derta kin g sta tu tor y an d cost acco un ting f un ction s o n be ha lf o f TPI .

3 PROCEDURES

Sta ge 1

In Sta ge 1, th e prim ary re spo nsib il it y of FM G Fin ance wil l be to supp ort TPI in it s m ai nt en anc e o f fi na nci al r ecor ds a nd re port in g ob ligat io ns u nd er th e R ai lways (Acces s) Act 19 98 an d Rai lw ays (A ccess) Cod e 200 0 (“ Act” an d “Cod e” respectively). The Confidentia l Information pr ovid ed b y TPI to FM G Finance, to en abl e t he pr epa rat io n of such record s and repo rt s will includ e:

R ai lw ay oper at io na l usa ge a nd p erf orma nc e;

Rai lway oper at io na l c ost da ta , inclu di ng ma int en an ce, pla nt , lea se s, staffing, contractors an d he ad off ice c ost s; and

Rai lway cap it al e xpen ditu re f or cap acity exp an sio n pu r pos es.

Co nf ide nt ia l In fo rm at io n prep are d by FM G Fina nce will inc lud e finan cia l r ecord s an d re po rts. During St ag e 1 , there will b e n o a ccou nt s issue d t o t hird p art y op erator s o n t he ra ilwa y.

Segre gation Aw areness Tra ining a nd Se gre gat ion Aw areness Sta tement

A ll ex isti ng a nd n ew FM G F in anc e st af f th at c an r easo na bl y be e xpecte d t o be pro vide d wit h Con fident ial Inf orma tion, sh all un der ta ke se gre gat io n a war ene ss tra in ing , an d si gn t he S egre gatio n Aw are ne s s Statem ent.

TP I’s Comm ercia l/ Co mpliance O f ficer is responsible fo r coor dina ting the training an d m an agi ng t he sta tem ents.


Confide ntia l Informa tion Registe r

Th e pr ovis ion of an y Co nf ide nt ia l I nf orm at ion t o FM G Fina nce sta ff , inc lud in g v erb al br iefi ngs an d discuss io ns a t occ asi ona l me et in gs , s hall be r ecor de d in the Co nfidentia l Informat io n Register (“register”) . Likewise, all records and reports pre pare d by FM G Fina nce , on b eh alf of TP I sha ll b e reco rde d in t he regist er.

TPI’ s C om m erc ia l/ Co m plia nce Offic er is re spo ns ib le f or ma nag in g th e r eg ist er .


Storage of Confide ntia l Information b y FM G F ina nc e

Co nf ide nt ia l I nf orma tion pr ovided b y TP I t o FM G Fin anc e Staf f, and reco rds an d reports generated by FMG Finance must be secured. Refer to Attachment 1 “Prot ec tion o f Co nf id en tial I nf orm at ion” .

Electronic information, records and repo rts mu st be stored in a restricted access are a wit hin t he FM G Finan ce p art o f th e co mpu te r ne twork. Acce ss t o s uch area s is lim ite d t o st aff wh o ar e au th orised by t he Ge ne ral M an age r, Rail a nd who hav e sig ned th e Segr eg at io n Awar ene ss St at em ent .

Ha rd co py in fo rm at io n, re cord s and rep ort s mu st be store d in a locka ble f ilin g c ab inet , c omp actu s o r sim il ar st or ag e f ac il it y. T he fac ilit y mus t b e lock ed a t al l times it is not in use. Access to the stor ag e f acilit y is lim it ed to st af f wh o ar e auth oris ed by th e Ge nera l M an ager , Ra il an d w ho hav e s ig ne d t he S egr eg at io n Awar en ess St at eme nt .

Stage 2

In St ag e 2, Con fide nt ial I nfo rm at io n wil l incl ud e, in a dd it io n to t ha t of Sta ge 1, in fo rm at io n pro vid ed b y TPI to FM G Fina nce , an d in vo ices an d rep ort s pr ep are d by FM G Fina nce a s p art o f th e op era tion of an Acce ss Ag reem en t an d sta tu tor y reportin g.

Inf orm at ion pr ovided b y TPI t o FM G Fin anc e inc lud es: Op erat iona l da ta r equ ire d to pr epare invo ice s f or O per at or s; an d

Op erat iona l an d cap ita l co st d at a req uired f or t he pr ep arat ion of doc ume nt s d escr ibe d be low.

Inf orma tion, acco un ts, reco rds, invoice s and repo rt s g enerate d by FM G Fin anc e includes: invoic es issued to Oper ators; and

correspondence and other communicat io ns with Oper ators in regard s to the collecti on of payment s.

Th e co nt rol me asu res de scrib ed i n St age I ap ply t o St ag e 2.

ATTAC HME NT 6

RAIL ACCE SS – HANDLING COMP LAINTS AND BRE ACHES

1 PURPOSETh is docume nt desc rib es ho w com pl ai nt s fr om Inter este d Ent it ies , Pr op one nt s an d Oper ators ar e handle d.

2 SCOPEA ppl ie s t o a ny f orma l c omp la int s r ece ive d f rom I nt eres te d E ntiti es, Pr opo ne nt s or Op erator s.

3 COMPL AINT S AN D B RE AC H M ANAGEMENT

Overview of Complaints and Bre ach Ma nagement

Th e com pl ain ts a nd b r ea ch ha nd lin g pro ced ure d et aile d be lo w fo rm pa rt of TPI ’s Segr eg at io n Ar rang eme nt s. I nt er est ed En tities, Pr opo ne nt s a nd O per at ors ca n ap proa ch th e Econ om ic Re gu la tion Aut hor it y (E RA) if t he y co nsid er a segr eg at io n bre ach ma y ha ve o ccurre d. The Ra ilway (A ccess ) Act 19 98 pro vide s wide po we r s f or t he ERA t o in ve st ig at e any alle ge d br ea che s o f t he segr egat io n arrangements.

Stage 1

If an In te rest ed E nt it y or O perat or con sid ers that TPI h as bre ach ed it s le gislat iv e segr eg at io n oblig at ion s, t he y m ay lo dg e a wri tt en comp laint wit h TPI .

TP I will conduct an investigation of an y complaint and ad vise the complainant in wr iting of the ou tcome of the in vestig at io n and TP I’s pr oposed respon se, if any. TP I will advise the ERA as per section 5.2 below.

TP I will r ep or t an y br eac h of t he se gr eg at io n arra ngem ent s of whic h it b ecomes aware t o t he ERA in writ ing with in 5 bus ine ss da ys. TPI no te s th at the Reg ulato r has the ability to commission special audits on any issue or area where additio na l assurance is sought.

Stage 2

Th e comp laint s h and ling pro ce dur e in S ta ge 1 will a lso app ly in S ta ge 2. Ho wev er , it will be ext en de d t o cov er p ossi ble br each es o f th ese s egr eg at ion arra ngem ent s in re lat io n to O pe rat or Co nf id ent ia l In fo rm at io n as wel l a s Acces s S eek er Co nf id entia l I nf ormat ion.

I n accor da nc e w it h Secti on 7. 3 of t he Se gre gati on Arr an geme nts , th e f ol low ing typ es o f beha vio ur m ay le ad t o b reac hes o f com plianc e an d/ or com pla in ts.

Each t ype o f be ha viou r is h and le d by th e corre spon di ng corr ect ive a rrang eme nt as descr ibe d i n th e f ollowin g ta ble.

T ype of behaviour Corrective Arrangement

Bre ac h o f Se gre gat io n ob lig at ions Writte n Com pl ain t fr om I nt erest ed Ent it y, Pr opo ne nt , O per at or or o th er c omp la inan t a nd I nv est ig at io n by TPI

Discl osure of Con fident ial In fo rm at io n Writ te n Com plain t fr om I nt ere st ed Ent it y, Pr opo ne nt , O per at or or o th er c omp la inan t a nd I nv est ig at io n by TPI

U nf ai r d iscrim in at ion Writ te n Com pl ain t fr om I nt erest ed Ent it y, Pr opo ne nt , O per at or or o th er c omp la inan t a nd I nv est ig at io n by TPI

C onfl ic t o f Int er est Writ te n Com pl ain t fr om I nt erest ed Ent it y, Pr opo ne nt , O per at or or o th er c omp la inan t a nd I nv est ig at io n by TPI

Bre ac h o f Sec uri ty Writ te n Com pl ain t fr om I nt erest ed Ent it y, Pr opo ne nt , O per at or or o th er c omp la inan t a nd I nv est ig at io n by TPI

R eceipt of Complaint

A s s oo n a s a C omp la in t is r e c eiv ed , t he Ge ner al Ma nag er , Ra il a nd theCommercial Compliance Manage r must be no tified .

If t he Comp lai nt was re ceived ot he r by a fo rm al writt en signe d lett er wit h a comp an y lett erh ead , th en t he Com pla in an t sh all be a sked t o s upp ly it in th at format.

TP I will a dv ise t he ERA with in 1 0 bu sine ss days of any complaint it receives and th e act io n it is ta kin g t o inv est ig at e th e comp la in t. TPI will us e reas ona ble en deav or s t o com pl et e it s i nvesti gati on an d advis e t he c omp la inan t an d t he ERA of th e resu lt wit hin 30 days o f receivin g its com plaint .

R ec or d of Complaint

Th e Commerc ial Com p lia nc e M an age r s hal l r ecor d t he summ ar y d et ai ls of the Com pla in t in th e Comp lai nt s Re gister , as shown in t he t able b elow. The writte n c omp la int sh all b e k ep t o n fi le in a s ecur e locati on wit h t he C om pl ai nt refer encenum be r a nn ot at ed o n it.

ComplaintNo .

Da te ofComplaint

Complainant C omplaint Rec eived in w riting? Y/N

InvestigationLeader

Re gulator n oti fie d? Y/N

Appointment of Investigat or

B y def au lt , t he a pp oint ed I nvesti gato r i s th e Comm erci al C omplia nce Offic er. Ho wev er, th e G en era l Ma na ger Rail ma y ap po int an ot he r in vest ig at or if th e nature of the complai nt relate s to the Co mm er cial Complia nce Officer. If the c omp la int r el at es t o th e G en era l M an ag er R ail, t he n a n e xter na l inv est ig at or may be a pp oin te d by t he Dire cto r of Op era tions , FMG .

Investigat ion proce ss a nd preserva tion of ev ide nce

Th e In vest ig at or sha ll ensur e, wher e p ossible, t ha t the f ollo wing evid en ce is ga th ere d an d ret ained in a se cure loca tion.

Reco rds in cluding wr itten and email corresponde nce.

Sy stem A c cess Log s.

Witness statements.

Det ail s o f Telephon e con versat ions.

Rele vant dates and time s.

Final Inve stigation R e por t

Th e I nvesti gato r s ha ll pr ovid e a f in al re por t t o G en era l M an ager , Rai l (o r t he Direct or o f Op era tion s, FMG if th e com plain t r ela te s to t he G enera l Ma nag er, Ra il) within 7 day s of the receipt of the wr it ten complaint.

Investigat ion Re port format

Th e Investigation Rep ort shall in clud e as a minimum the followin g sectio ns.

Th e nam e of th e Co mplain an t

Th e dat e o f t he C omp la int

Th e nam e of th e I nves tigato r (a nd a ny ass ist an t in vest ig at ors).

Th e evide n ce ga th ere d in se ct ion 5. 5

A summary of the findings inclu ding any br eaches that ha ve occurred

The recommended Corrective Action s to pr even t the same or a similar com pl ai nt fro m b ei ng rec eiv ed i n th e f ut ure

Notification of Bre ache s to Ec onomic Regulation Authorit y

TP I will r ep or t an y br eac h of t he se gr eg at io n arra ngem ent s of whic h it b ecomes aware to t he ERA in w r it in g wit hin 5 bu sin es s d ays. The corr espo nd en ce t o th e ERA will use report format de scrib ed in section 5. 7. TPI notes that the Regula tor has the ability to commission special audits on any issue or area where additio na l assurance is sought.

Th e Commerc ial Com p lia nc e M an age r s hal l r ecor d t he summ ar y d et ai ls of theBr eac h as sh own in th e t ab le b elo w.

Breach No. Date ofBreach

Details Regulator notified? Y/N

ATTAC HME NT 7

RAIL ACCESS – ROLE DESCRIPTIONS

1 PURPOSEThis do cu ment describes TPI staff Role s and Re sponsib ilit ie s.

2 M AN AGE ME NT O F SEG REG ATION ARRANGEMENTS

Overview of Access Rela ted Roles and Locations

Th e f ollo wing ta ble s d escr ibe t he A ccess rel at ed Roles an d Resp on sib iliti es ofTPI st af f.

St af f in Acce ss relat ed ro les ar e re quired to s ign Segr egat io n Awar ene ssSt at eme nt s.

TPI Ra il M a na ge me nt

Role Respon sib i li ties Location Direct Repo rt E xpo sure to Interested Entity, Proponent and Operator Information

General Manager, Rail (pre viou sly titled Head of Rail)

Line respon sib ility for ra il infrastru cture and haulage operations includ ing comp liance with key legislation such as the Rail Safety Act and the Railwa ys (A cce s s) Act and Code.

Re views an d approve s re spons e s t o A cc e ss Seeker s.

Participate s in negotiatin gAc ces s Agreements.

Re views an d Appro vesAc ces s Agreements.

Thomas Yard, Port Hedland

D irecto r, Operation s (p re vious ly titled Chie f Operating Officer)

Sign ificant

Com merc ia l Comp lian ce Offi ce r

Rece ive app lications fro mAc ces s Se e kers.

Prepares dr aft response s t o Ac ce s s S ee ker s.

Negotiate s Ac cessAgreements.

Prepare s d r af t Ac ce ssAgreements.

Proce sse s correspondence with A ccess Seeker s.

Mainta in s a li st of appro ved staff in A c ce ss re la ted function s an d their ac ce ss le ve l w ith in RAM S.

Manages th e Confidential Information Register, audits and day to day co mplian ce with the A ct and Code.


GeneralManager, R a il

Sign ificant

Super inten d entTrain Contro l

Manages th e Train Control facility and a ssists the General Ma nager, Rail with mainta in ing the Train Pa th Pol ic y an d th e Tra in Managemen t Gu ide lines. Owner of th e Rule Book and Safeworking pro cedures.

Supervise s Train P lanner and Train C ontroller.

Tra inControl, 87Ade la ide Terrace East Perth

ManagerOperation s

Sign ificant

Train P lanner Prepares th e Master Tr ain Plan and Fo rtnightly Tra i n Plan for the TPI Network.

Tra inControl, 87Ade la ide Terrace East Perth

ManagerOperation s

Sign ificant

Tr ac k Ma inte na nc e


Manager Tr ackMain tenan ce

Manages th e Track Maintenan ce Team. Appro ves a nd re vie ws the wheel ra il interface includ ing wh ee l profile, ma ximum a xle load, ma ximum tr ain length and ma ximum tr ain speed.



Sign ificant

Track Engin eer Specifie s an d re vie ws th e wheel ra il interface includ ing wh ee l profile, ma ximum a xle load, ma ximum tr ain length.


Manage r TrackMaintenan ce

Sign ificant

Track Main tenan ce Planner

Plan s and manages the track and ra il formation maintenan ce program.



Not significa nt

TrackIn spector

Inspects tra ck and prepares wo rk orders for track ma in tenance.



Not significa nt

Rail S ys t em s


Manager Ra ilSy stems

Manages th e Signals & Communi ca tion s Te a m. Appro ves a nd re vie ws the signa l s & co mmun icatio n s syste m design inc ludingthe system of trackside and onboard safeworking equipment.



Sign ificant

Rail S yste m sSuper inten d ent

Specifie s an d re vie ws th e signa l s & co mmun icatio n s syste m design inc ludingthe system of trackside and onboard safeworking equipment.


Manage r R a ilSy stems

Not significa nt

Rail S yste m sTechnic ians

Mainta in s S ignals & Communica tions syste m .


Rail SystemsSuperintend ent

Not significa nt

Ove rv iew of Non-Access Re la te d Roles and Locations

Th e f ollow in g ta bles de scrib e th e no n-Acce ss relat ed f un ct ion s wit h in TPI .

TPI Opera tions

Role Respon sib ilities Locatio n Dire ct Repo rt

ManagerOperations

Manages the efficient a nd sa fe operation of TPI rolling stock.

Tho mas Yard, Port Hedland

GeneralManager, Rail

Superintend entRai l C re w

Manages Rail CrewSuperv isors


ManagerOperat io n s

Rai l C re wSuperv isors

Supervise s Train Driver s and performs ya rd shunting duties.


Superintend entRai l Cre w

Tra in Dri vers Driv e TP I trains Tho mas Yard, Port Hedland

Rai l Cre wSuper visors

Tra inControllers

E xe cution of the Fortnightly Train P lan and the control, monitoring and reco rdin g of day to day train mo ve me nts o n th e TP I networ k.

TrainControl, 87Adelaide Te rrace East Perth

Superintend entTrain Contro l

TPI Roll in gstock Maintenance

Role Respon sib i lities Location Direct Repo rt

Manager Rollingstock Maintenance

Manages th e main tenan ce of TPI rollin g stoc k.

Thomas Yard , P ort Hedland

General Ma nager, R ail

MaintenanceEng ineer

Appro ves d e sign of ro lling stoc k an d a sso c iated main tenan ce facility


Manager R oll ingsto ck Maintenan ce

MaintenancePlanner

Plan s the maintenance ofTPI rolling st ock



Superintend entMaintenance

Manages Main tenanceSuper visor s



MaintenanceSuperv isors

Super vise s Main tenan ceTechnic ians


Superintend entMaintenan ce

MaintenanceT echnicians

Main ta in s T PI Rolling stoc k


Maintenan ceSupervi sors

Safet y Department

Role Respon sib ilities Location Dire ct Repo rt

Superintend entSafety

Safet y audit s and inve st igation s

Thomas Yard, Po rt Hedlan d

Gene ral Ma nager, Rai l

Safety Officer Assists Su p e rintendentSafety

Thomas Yard, Po rt Hedlan d

Superintend entSafety

Te chnical De pa rt ment

Role Respon sib i li ties Locatio n Dire ct Repo rt

T echni ca lManager

Manage s r a i l pro je cts Tho mas Yard, Port Hedland

GeneralManager, Rail

ManagerAccreditation

Manage s interfa ce betwee n the Accr edited Owner and Operator (TPI) and the Office of Rail S a fety. Assist s Technical Manager with managingra il p ro je cts


Technica lManager

Proje ctsOfficer

As si st s Techn ica l Ma na ge r with managing ra il pro je cts


Technica lManager

Docu mentContro lle r

Mainta ins Controlled do cuments inc lu d in g th e Ru le Bo o k and Safeworking procedures.


ManagerAc creditatio n