The Railways and Other Guided Transport Systems (Safety) Regulations 2006 (ROGS) (as amended) A guide to ROGS. May 2011

Transcription

1 The Railways and Other Guided Transprt Systems (Safety) Regulatins 2006 (ROGS) (as amended) May 2011

2 The Office f Rail Regulatin (ORR), have issued this guidance. Fllwing the guidance is nt cmpulsry and yu are free t take ther actin. The guide aims t help peple wh may be affected by the regulatins t understand what respnsibilities they have under the regulatins. This guide is regularly updated. The versin n the ORR website shws the date f the latest update.

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4 Cntents Frewrd...1 Glssary f terms...3 Intrductin...5 Chapter 1: Safety management systems...11 Chapter 2: Safety verificatin...19 Chapter 3: Safety certificates and safety authrisatins...25 Chapter 4: Risk assessments...39 Chapter 5: Annual reprts...44 Chapter 6: C-peratin...48 Chapter 7: Managing safety-critical wrk...51 Chapter 8: Entities in charge f maintenance...57 Office f Rail Regulatin May 2011

5 Nte n the text Each chapter has the same frmat. They each: say what specific regulatins apply; explain wh the duties apply t; describe what the persn respnsible fr carrying ut that duty (we call them duty hlders ) must d; prvide sme practical advice r examples fr meeting the duties; and explain where t get mre infrmatin r detailed prcess manuals. The infrmatin in plain text explains what the regulatins say and what duty hlders must d. The text in the blue shaded bxes is meant t ffer guidance, examples r practical help. The light-brwn bxes explain where t get mre infrmatin (including the regulatins themselves). The small bxes in the left-hand margin shw which specific part f ROGS the text alngside it is explaining. Reg refers t a regulatin f ROGS, r part f ne. Sch refers t a schedule f ROGS, r part f ne. May 2011 Office f Rail Regulatin

6 Frewrd What is the purpse f this guide? This guide prvides a summary f the Railways and Other Guided Transprt Systems (Safety) Regulatins 2006 (ROGS). Yu may find it helpful t read the guide alngside a cpy f the regulatins. The full regulatins are available at Reading this guide shuld allw yu t: understand where ROGS have cme frm and what their purpse is; identify the main ideas and changes that ROGS intrduce; take practical steps t meet yur respnsibilities r help make sure yur emplyer meets their duties; and find mre detailed practical infrmatin if yu need t. Wh is this guide fr? This guide is aimed at anyne wh needs t understand and respnd t this imprtant safety law. We have prepared this guide with the fllwing grups f peple in mind. Health and safety managers in the rail industry Other managers in rles which affect safety Staff wrking n the railway Trade unin representatives We cnsulted representatives frm all these grups n the cntent and style f this guide while we were develping it. On ur website we have published detailed manuals that explain the prcesses yu need t fllw t meet the requirements f ROGS. We refer t these manuals thrughut the text. If, fr example, yu are respnsible fr preparing an applicatin fr a safety certificate, yu shuld use these detailed guides t prepare yur applicatin. Other users shuld find that the summary set ut in this dcument prvides enugh infrmatin. Yu can ask us any questins abut the guidance by sending an t xxxx.xxxxxxxx@xxx.xxx.xxx.xx. Office f Rail Regulatin May

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8 Glssary f terms Reg 2 Regulatin 2 f ROGS gives the full legal definitins f mst f the terms used in the regulatins. This guide gives a simple explanatin f terms when they are first used. The mst imprtant nes that are nt included elsewhere are explained here. Hwever, these explanatins d nt replace the full legal definitins in the regulatins. Railway means a system f transprt using parallel rails which: supprt and guide vehicles carried n flanged wheels; and frm a track which has a gauge f at least 350 millimetres r crsses a carriageway (whether r nt it is n the same level). Railway des nt include tramways. A railway is a mainline railway unless the infrastructure and vehicles are reserved strictly fr lcal use, fr turism, r t run a heritage railway. A railway is als a nn-mainline railway if its infrastructure is functinally separate (see page 8) frm the mainline. Transprt system mainly means a railway (mainline r nn-mainline), a tramway, r any ther guided transprt system used cmpletely r mainly t carry passengers. The exceptins t this are listed n page 8. Tramway means a system f transprt: which is used cmpletely r mainly t carry passengers; where the maximum speed allws the driver t stp a vehicle in the distance he can see t be clear ahead; and which uses parallel rails which: supprt and guide vehicles carried n flanged wheels; and are laid cmpletely r partly alng a rad r in any ther place t which the public has access (including a place where the public has access nly after making a payment). Infrastructure means fixed assets used fr running a transprt system, including: the permanent way r any ther methd f guiding r supprting vehicles; any statin; equipment used fr signalling; and equipment used nly fr supplying electricity t run the transprt system. Vehicle includes a mbile tractin unit. In this guidance it is als used t include rlling stck, which means any carriage, wagn r ther vehicle used n tracks and Office f Rail Regulatin May

9 including lcmtives. Vehicle als refers t anything which, whether r nt it is built r adapted t carry any persn r lad, is built r adapted t run n flanged wheels ver r alng track. Duty hlder means the persn respnsible fr carrying ut a particular duty under the regulatins. Keeper means the persn wh wns a vehicle, r has a right t use it, and perates it as a means f transprt. Entity in charge f maintenance (ECM) means any persn r rganisatin that is respnsible fr the safe maintenance f a vehicle and is registered as an ECM in the natinal vehicle register. This can include peple r rganisatins such as transprt undertakings, infrastructure managers, keepers r maintenance rganisatins. 4 May 2011 Office f Rail Regulatin

10 Intrductin Where have ROGS cme frm? ROGS were intrduced t put the requirements f the 2004 Eurpean Railway Safety Directive int practice. The directive aims t cntinue t remve barriers t prviding internatinal transprt services by creating a cmmn framewrk fr railway safety acrss the Eurpean Unin. This sits alngside the Eurpean Interperability Directive, which aims t remve the technical prblems invlved in running trains between member states. ROGS came int frce in ROGS put in place sme f the main requirements f the safety directive in Great Britain. We have als used the pprtunity t intrduce a cmmn framewrk fr safety acrss ther methds f guided transprt (such as tramways and heritage railways), and we have updated the law n safety critical wrk. The Railways and Other Guided Transprt Systems (Safety) (Amendment) Regulatins 2011 (the amending regulatins) will cme int frce in summer The amending regulatins will bring sme f the changes made t the 2004 Eurpean Railway Safety Directive int frce. The amendments are mainly cncerned with: assigning an entity in charge f maintenance t a railway vehicle and making sure that the entity in charge f maintenance is registered n the natinal vehicle register (NVR); and intrducing a frmal maintenance system fr an entity in charge f maintenance t make sure that the rail vehicles it is respnsible fr are safely maintained. Guidance n entities in charge f maintenance (see chapter 8) has been published t give duty hlders time t prepare fr the amending regulatins befre they cme int frce. What d ROGS change? ROGS replaced several sets f railway safety regulatins. The Railways (Safety Case) Regulatins 2000 The Railways (Safety Critical Wrk) Regulatins 1994 The Railways and Other Transprt Systems (Apprval f Wrks, Plant and Equipment) Regulatins 1994 Office f Rail Regulatin May

11 Wh d ROGS give duties t? A transprt undertaking is any persn r rganisatin that perates a vehicle in relatin t any infrastructure. Peple r rganisatins that nly carry ut wrk in engineering pssessins (this means sectins f track that are clsed t nrmal traffic fr maintenance wrk) are nt included in the term transprt undertaking. S nly sme f the duties in ROGS apply t them (see the table belw). An infrastructure manager is any persn r rganisatin that: is respnsible fr develping and maintaining infrastructure (nt including a statin) r fr managing and perating a statin; and manages and uses that infrastructure r statin, r allws it t be used fr perating a vehicle. A transprt peratr is any transprt undertaking r infrastructure manager. In this guide, the term is smetimes shrtened t peratr. An entity in charge f maintenance (ECM) is any persn r rganisatin that is respnsible fr the safe maintenance f a vehicle and is registered as an ECM in the natinal vehicle register. This can include peple r rganisatins such as transprt undertakings, infrastructure managers, a keeper r a maintenance rganisatin. What must I d t meet the requirements f ROGS? The mst imprtant parts f ROGS are as fllws. Safety management systems (see Chapter 2) ROGS give transprt undertakings and infrastructure managers a duty t develp safety management systems that must meet certain requirements. Hwever, the safety management system shuld be adapted t fit the size and nature f the business fr a smaller rganisatin a simpler safety management system shuld be mre apprpriate. Safety verificatin (see Chapter 3) Operatrs must shw that they have prcedures in place t intrduce new r altered vehicles r infrastructure safely. If Eurpean standards fr intrducing new r altered vehicles r infrastructure ( technical specificatins fr interperability ) d nt apply t the transprt system cncerned, and there culd be a new r significantly increased risk t safety, a prject must g thrugh a safety assurance prcess (we call this safety verificatin ) invlving 6 May 2011 Office f Rail Regulatin

12 an independent cmpetent persn. Operatrs are respnsible fr making sure that a prject is safe. Safety certificates and authrisatins (see Chapter 3) Detailed safety cases have been replaced with higher-level safety certificates (fr transprt undertakings) and authrisatins (fr infrastructure managers). Applicants need t describe hw their safety management system allws them t run their transprt system safely, but they have t prvide less detail than in a safety case n the individual prcesses they use. We will nw fcus n checking that safety management systems are effective and fit fr the purpse they are being used fr. Lwer-risk sectrs (tramways and transprt systems that d nt run at speeds abve 40 kilmetres per hur) d nt need safety certificates, but must still have a written safety management system in place. Risk assessments (see Chapter 4) ROGS give transprt peratrs a specific duty t carry ut risk assessments and put in place the measures they have identified as necessary t make sure the transprt system is run safely. Annual safety reprts (see Chapter 5) Any transprt peratr wh hlds a safety certificate r authrisatin must send us an annual reprt n their safety perfrmance. C-peratin (see Chapter 6) ROGS als give peratrs a duty t wrk tgether t make sure the transprt system is run safely. Safety critical wrk (see Chapter 7) Operatrs and their cntractrs have clear duties under ROGS t make sure their emplyees wh carry ut safety critical tasks are suitably cmpetent and fit t d s. This als includes making sure these emplyees are nt affected by fatigue (extreme tiredness). Entities in charge f maintenance (see Chapter 8) Under ROGS, anyne wh places in service, r uses, a vehicle n the mainline netwrk must make sure that the vehicle has an ECM assigned t it. The ECM must be registered in the natinal vehicle register befre the vehicle is placed in service r used. This guide will explain these duties in mre detail, set ut wh is respnsible fr carrying ut specific duties, and tell yu where t get further advice. Office f Rail Regulatin May

13 Which parts f ROGS are relevant t me? The table belw shws which parts f ROGS apply t which transprt systems. The clumn headings refer t specific duties under ROGS and d nt take int accunt similar duties that may exist under ther safety law. A green bx means that the duty applies t that transprt system. A red bx means the duty des nt apply t that transprt system. A yellw bx means the duty can apply t that type f transprt system in sme circumstances. Yu shuld check the relevant chapter f this guide fr mre infrmatin. 8 May 2011 Office f Rail Regulatin

14 Operatin Duty Duty f c-peratin Managing safety critical wrk Risk assessment Safety management systems Safety certificate r authrisatin Annual safety reprt Entities in charge f maintenance Mainline railway Nn-mainline railway and ther transprt systems perating abve 40kph (fr example, light rail, metr systems) Nn-mainline railway and ther transprt systems perating belw 40kph (fr example, heritage railway) Tramways Wrk in sidings Only if the siding is part f the transprt system Wrk in engineering pssessins Wrk in depts Sme wrk n vehicles Fr parts f peratin n the mainline nly What transprt systems are nt included in ROGS? Fr parts f peratin n the mainline nly Reg 2 The main types f transprt that are nt a transprt system under ROGS (referred t as exclusins thrughut this dcument) include the fllwing. Anything belw a gauge f 350 millimetres (unless it crsses a carriageway) Guided buses Trlley vehicles Fairgrund equipment Cableways Any part f a transprt system that is: within a harbur; part f a factry, mine r quarry; used fr cnstructin r building wrk nly; Office f Rail Regulatin May

15 in a military establishment; in a maintenance r gds dept (with sme exceptins see the blue bx belw); r in a siding (with sme exceptins see the blue bx belw). Hwever, if any f the transprt systems listed abve are part f the mainline railway, they must meet the requirements f ROGS. Sidings and depts ROGS d nt generally cver sidings. The term siding has a very wide meaning in the railway industry. We have been asked t give ur view n which types f sidings are part f the transprt system (and s cvered by ROGS). They are as fllws. Lp, lay-by, r lay-ver sidings lcated next t the running line, and used t hld trains fr a range f reasns (fr example, t allw anther train t pass). Turn-back r reversing sidings used fr stpping trains at the end f a jurney, and lcated between, t the side f r at right angles t the running line. The safety-critical wrk duties in ROGS include all sidings as part f the transprt system. Als, even if a dept is nt itself part f a transprt system, cntrllers f safety-critical wrk still have duties under ROGS t manage safety-critical tasks that are carried ut there n vehicles that are being used n the transprt system. This is explained in mre detail, with examples, in Chapter 7 f this guide. The Health & Safety at Wrk etc Act 1974 and the Management f Health & Safety at Wrk Regulatins 1999 include general duties t manage safety, assess risks, c-perate with ther duty hlders, make sure staff are trained and have the necessary skills, knwledge, experience and s n. Transprt systems r parts f transprt systems that are nt included in ROGS fr example, engineering pssessins, depts, sidings still have t meet these general duties. 10 May 2011 Office f Rail Regulatin

16 Chapter 1: Safety management systems Reg 4(3) Reg 4(1)(a) The safety management system is the basis fr making sure a transprt system runs safely and in line with ROGS. Yu must keep written recrds f yur arrangements fr managing safety risks. This includes the lwer-risk peratins (tramways and transprt systems that d nt run at speeds abve 40kph) that d nt need safety certificates r authrisatins frm us as they still need a safety management system. In the regulatins Regulatin 5: Safety management system fr the mainline railway Regulatin 6: Safety management system fr ther transprt systems (including nn-mainline railway) Schedule 1: General requirements and basic elements f safety management systems Differences between mainline and nn-mainline railways Reg 5(1)(c) Reg 5(1)(a) Yu must have a safety management system that is capable f cntrlling all the risks arising frm the transprt system yu are running. The main factr in deciding hw detailed and cmplicated the safety management system needs t be is the size and nature f the transprt system yu are running, rather than whether r nt it is part f a mainline railway. Hwever, ROGS are different fr mainline and nn-mainline railways. The main differences are as fllws. The safety management system f bth a mainline and a nn-mainline railway shuld include targets. Fr a mainline railway, these targets will relate t Eurpean Cmmn Safety Targets set fr the member state and must apply Eurpean Cmmn Safety Methds. The safety management system f a mainline railway must allw it t meet technical specificatins fr interperability, natinal safety rules and ther cnditins where these apply. The safety management system f a nn-mainline railway must allw it t meet whatever technical specificatins and prcedures are relevant t the type f transprt being run. The type f safety certificate r authrisatin yu need t get frm us will vary (see chapter 3). Office f Rail Regulatin May

17 Reg 30(2) Reg 2 We are nt allwed t exempt transprt peratrs n the mainline railway frm any f their duties under ROGS (that is, we cannt allw any transprt peratr n the mainline railway t nt meet their duties under ROGS). A railway is a mainline railway unless the infrastructure and vehicles are reserved strictly fr lcal use, turism, r t run a heritage railway. A railway is als a nn-mainline railway if it is functinally separate frm the mainline. Functinally separate Transprt systems that wuld usually be classed as functinally separate include thse that are used nly fr: light rail and metr services; transprting gds t and frm a harbur, factry r building site; r testing trains. A transprt system can be functinally separate even if it is cnnected t r crsses the mainline. The main thing is that arrangements are in place t make sure the trains can mve safely between systems. Sch1 What duty hlders must d requirements f a safety management system The safety management system has fur main purpses. Defining rles and respnsibilities fr making sure the transprt system can be run safely (fr example, that wrkers are prvided with suitable training and suitable infrmatin). Setting arrangements fr hw managers cntrl the safety management system (at all levels). Shwing hw wrkers and their representatives are invlved. Making sure the transprt peratr cntinuusly imprves (thrugh setting targets, and carrying ut audits and reviews). The need t meet these aims shuld be the driving frce behind making sure that every part f the safety management system wrks and is put int practice. What duty hlders must d the basic parts f a safety management system Reg5(1)(c) Reg6(1)(b) Under ROGS, the safety management system must be apprpriate fr the size and nature f the transprt system yu are running. Safety plicy statement Sch1 2(a) This shuld be signed by the Chief Executive and shared with all emplyees. 12 May 2011 Office f Rail Regulatin

18 A gd safety plicy statement can be as brief as ne page. It shuld: give the Chief Executive s r Managing Directr s cmmitment t health and safety; emphasise the imprtance f staff wrking safely; set ut the rles each line manager and member f staff have t carry ut; and encurage emplyees t raise safety cncerns. Safety targets Sch1 2(b) Reg5(1)(a) Yu must set targets fr maintaining and imprving safety, and explain hw yu plan t achieve them. This shuld include yur wn targets r targets set by the rganisatins that represent yu. Mainline peratrs must als take accunt f Eurpean Cmmn Safety Targets. Safety targets Targets shuld help imprve safety perfrmance. Ways f making this happen include: setting ut the targets in a safety plan which is then shared with all staff; wrking with staff, their safety representatives and managers t make sure targets are realistic and can be measured; giving the cmpany s bard respnsibility fr meeting safety targets; setting persnal safety targets fr managers; and regularly reprting prgress. Cmmn Safety Targets (CSTs) CSTs are Eurpean-wide targets. They are set by the Eurpean Railway Agency and are designed fr member states t achieve at their level, rather than at the level f the individual transprt peratr. A safety management system which meets the relevant requirements will be taken as a guarantee that the peratr cntributes t achieving CSTs. Sch1 2(c) Prcedures fr meeting standards These shuld be designed t make sure: yu meet yur duties under safety law; yu take any actin we have identified as being necessary; and Office f Rail Regulatin May

19 the transprt system meets technical and peratinal safety standards and specificatins (particularly Technical Standards fr Interperability and Railway Grup Standards) fr the mainline railway. Mainline infrastructure managers must design their safety management system in a way that allws transprt undertakings wh use the infrastructure t meet the relevant standards and targets. Useful ways f setting and respnding t standards include: identifying which standards are mst relevant, and helping t develp these; clearly defining wh is respnsible fr mnitring and meeting specific standards; creating a system f checks t make sure standards are being met by emplyees as well as by the rganisatin as a whle; and reviewing cmpany standards regularly t make sure they are still relevant. Reg5(1)(d) Risk assessments and cntrlling new risk Yu shuld design yur systems and prcedures t make it easy fr yu t assess and cntrl all risks. This includes planning hw yu will wrk with ther relevant peratrs t identify and cntrl shared risks. Yu shuld als assess risks arising frm activities nt cnnected with the peratin itself (fr example, frm vandalism). Yu can find mre details n risk assessments in chapter 4. Sch1 2(d) Yu must put in place a change-management prcess t identify and cntrl new risks. The aim f a change-management prcess is t prperly cntrl new risks. The prcess shuld: identify any new r increased risk resulting frm a prject; identify apprpriate measures t cntrl these risks and make sure they d nt affect yur safety perfrmance; make sure the level f assessment is suitable fr the type f risk yu have identified; make sure staff and managers have the skills and resurces they need t meet their safety respnsibilities (a training plan is useful fr this); make sure changes are nly made nce yu have assessed any safety risks; make sure staff and their representatives have been prperly invlved, briefed 14 May 2011 Office f Rail Regulatin

20 and cnsulted n the changes; make sure yu have met any relevant standards; make sure yu have kept a written recrd f any cncerns r issues raised and any decisins yu have made t deal with them; make sure yu can mnitr the effects f the change nce yu have put it in place; and clearly define wh is respnsible fr carrying ut all f the abve befre, during and after the change. Sme prjects t intrduce new r altered vehicles r infrastructure will need t g thrugh a safety verificatin prcess if they culd create significant new r different safety risks (see chapter 2). If this is the case, yur safety management system must include a descriptin f the safety verificatin prcess yu are using. Many majr prjects n the mainline will need t meet the requirements f the Railways (Interperability) Regulatins These prjects d nt need t g thrugh the safety verificatin prcess as well. Training and skills Yu must have systems in place fr making sure that emplyees and ther peple (fr example, cntractrs, vluntary staff, cnsultants and managers) are trained and have the skills they need t carry ut the tasks they are asked t d. A system fr managing staff cmpetence is set ut in chapter 7. Sch1 2(f)(g) and Managing safety-related infrmatin Yu shuld have standard prcedures and frmats in place fr recrding safety-related infrmatin acrss yur rganisatin. Operatrs must als make infrmatin available in a way that is useful t ther peratrs. Managing safety infrmatin is imprtant in allwing yu t manage safety risks effectively. Useful ways f checking this is happening include: invlving staff and their representatives in develping yur safety management system; having discussins with health-and-safety representatives; hlding wrkshps with staff and managers n the main safety issues; making sure all staff and managers receive apprpriate safety inductins and training; and hlding regular safety meetings and briefings between infrastructure Office f Rail Regulatin May

21 managers and transprt peratrs. Respnding t accidents and near misses Sch1 2(i) Yu shuld have systems in place t make sure that: yu meet yur duties t reprt accidents t the right authrity (this culd be ne r mre f us (ORR), the Health & Safety Executive r the Rail Accident Investigatin Branch); yu carry ut thrugh investigatins; yu identify the causes f accidents and near misses; and yu take the right actin t make sure these accidents and near misses wn t happen again in the future. Incidents that culd put peple in danger shuld be investigated as thrughly as accidents that actually d cause harm. This is a vital part f the prcess f cntrlling risk. Lessns learnt frm accidents r incidents can lead t safety imprvements. Helpful steps t make this happen include: briefing staff n the reprting prcedure and the imprtance f reprting; appinting trained managers t investigate incidents; giving a specific manager respnsibility fr taking actin t deal with the accident r incident; setting a timescale fr taking this actin; and making senir staff respnsible fr mnitring hw ften accidents and incidents take place and the actin that has been taken t deal with them. Emergency planning Sch1 2(j) This must cver the infrmatin given t the emergency services t allw them t plan their respnses t incidents n the railway. Als imprtant are the parts f the safety management system that are relevant t the arrangements fr respnding t emergencies, such as training fr emergencies and testing plans. Mainline infrastructure managers must c-rdinate their emergency prcedures with relevant transprt peratrs. 16 May 2011 Office f Rail Regulatin

22 Factrs yu culd cnsider when develping yur arrangements fr respnding t emergencies may include: fires n trains r statins; accidents that damage the netwrk; access fr emergency services; hw t deal with suspicius packages; carrying dangerus gds (fr example, harmful substances r substances that damage the envirnment); and the effects f bad weather. Sch1 2(k) Internal auditing Yu must describe the prcess yu use t assess whether the safety management system is effective and develp evidence t use t review the system. Effective auditing arrangements might include: develping the sampling and interview strategies needed t get a full picture f hw well the safety management system is wrking at all levels acrss yur rganisatin; assessing whether all staff are meeting the agreed standards and keeping t the safety management arrangements; making risk-based recmmendatins based n the findings f the audit; identifying strengths in the management system and recrding gd practice; identifying areas that can be imprved; and reprting any faults in the system t a senir manager fr them t review and take actin. Office f Rail Regulatin May

23 Mre infrmatin ORR guidance Extra guidance n functinally separate netwrks Develping and maintaining staff cmpetence Other guidance fr the industry Successful Health & Safety Management (HSG65), Health and Safety Executive Safety Management System guidance nte (HGA-S0003), Heritage Railway Assciatin (available nly t HRA members) 18 May 2011 Office f Rail Regulatin

24 Chapter 2: Safety verificatin Reg2 A significant change that ROGS bring abut is taking away the respnsibility that the safety regulatr had fr apprving new r altered infrastructure r vehicles under The Railways and Other Transprt Systems (Apprval f Wrks, Plant and Equipment) Regulatins The purpse f safety verificatin is t prvide a new flexible prcess acrss the industry fr helping make sure prjects that culd significantly increase risk are safe. This is achieved by appinting an independent cmpetent persn this persn can cme frm inside r utside the rganisatin. Cmpetent persn An independent cmpetent persn: has the skills, knwledge, experience and resurces t carry ut the safety verificatin they are appinted fr; and is able t lk at the prject bjectively (that is, in an unbiased way). In the regulatins Regulatin 5(4): Safety verificatin f new/altered vehicles n the mainline Regulatin 6(4): Safety verificatin f new/altered vehicles n nn-mainline Schedule 4: Requirements fr safety verificatin schemes Wh is the duty hlder? Transprt undertakings are respnsible fr making sure that new r altered vehicles are safe befre they are placed int service. Infrastructure managers must make sure that new r altered infrastructure is safe befre it is placed int service. S, transprt peratrs (that is, transprt undertakings and infrastructure managers) are respnsible fr deciding if safety verificatin is needed and making sure it is carried ut prperly. Office f Rail Regulatin May

25 What duty hlders must d deciding if safety verificatin is needed Des safety verificatin apply? Reg5(5) Many prjects that intrduce new vehicles r infrastructure t the mainline railway must take accunt f the EC verificatin prcess under the Railways (Interperability) Regulatins This means getting authrisatin under the Interperability Regulatins is enugh t meet the requirements f ROGS a safety verificatin scheme is nt needed as well. Safety verificatin is needed if: the risk arising frm the prject is new, r is new t the transprt system (the difference test ); and there will be a new significant safety risk r a significant increase in risk (the risk test ). If a prject passes bth these tests, safety verificatin is needed and yu must: Reg5(4) Reg6(4) prepare a written safety verificatin scheme that meets the requirements set ut in ROGS (see belw); appint an independent cmpetent persn t d the verificatin assessment; and make sure the independent cmpetent persn carries ut the assessment. The principles behind safely intrducing new r altered vehicles r infrastructure are the same, whether yu use safety verificatin r a change management prcess frm a safety management system. Safety verificatin is designed t prvide an independent assessment that a prject has gne thrugh all the steps needed t reduce risks. The main difference is that the safety verificatin prcess needs an 20 May 2011 Office f Rail Regulatin

26 independent cmpetent persn t carry ut the assessment and the change management prcess may nt. What duty hlders must d appinting an independent cmpetent persn Sch4 1(1)(a) Under ROGS, the independent cmpetent persn must be appinted early enugh in the prject fr them t be invlved in: cnsidering the design f the prject; identifying r setting standards and cnditins fr the verificatin prcess; and setting ut the inspectin and assessment plan. There are three imprtant things t cnsider when appinting an independent cmpetent persn. Reg2 1. They must have the skills and knwledge needed t carry ut the safety verificatin. Yu shuld gather and keep evidence t prve this. This evidence usually includes: written qualificatins that can be checked; experience in the industry r the type f wrk and wrkplace; direct knwledge f the specific prcess they are verseeing, such as making sure vehicles are acceptable r replacing signal systems; experience f the regulatry prcess, in terms f setting standards and gathering evidence apprpriately; being aware f current best practice; and being aware f the limits f their skills and experience. 2. They must nt have been respnsible, in a way that might cause them t be biased in their assessment, fr any f the things they will have t assess. Fr example: they shuld nt benefit persnally frm the prject being cmpleted successfully and quickly; and they shuld nt prfit frm the prject being intrduced, such as if they wned shares in a cmpany which makes parts being used in the prject. 3. They must nt be part f the management chain that is respnsible fr intrducing the prject. Office f Rail Regulatin May

27 Fr example: an in huse independent cmpetent persn shuld reprt direct t senir management and nt be respnsible fr designing the prject; and they must have the authrity t ask fr infrmatin, carry ut examinatins and make recmmendatins. Wh can be an independent cmpetent persn? Under ROGS, an independent cmpetent persn can be a persn r an rganisatin. A cmpetent persn des nt have t be emplyed by anther rganisatin (a third party ) t be independent. It is perfectly acceptable fr safety verificatin t be dne in huse. The mst imprtant thing is t shw that the independent cmpetent persn is independent enugh frm the prject t give an bjective (unbiased) assessment. Many large rganisatins already have panels f senir engineers, fr example, t apprve new prjects. Smaller peratrs may want t cnsider bringing in an expert frm anther peratr. What duty hlders must d features f the safety verificatin prcess Management arrangements Sch1 Part f yur safety management system is a descriptin f hw yu will manage the intrductin f new r altered vehicles and infrastructure (see chapter 1). A summary f the safety verificatin arrangements wuld als be included in any applicatin fr a new r amended safety certificate r authrisatin. Making decisins Yu shuld have a prcess in place fr deciding whether r nt a prject shuld g thrugh a safety verificatin prcess. In particular, yu shuld take a cnsistent apprach t risk and difference tests. Appinting the independent cmpetent persn Sch4 1(1)(a) Yu must have a prcess in place fr appinting an independent cmpetent persn (see abve) at an early stage f the prject. 22 May 2011 Office f Rail Regulatin

28 Preparing a written safety verificatin scheme Sch4 The independent cmpetent persn shuld be invlved in preparing the written scheme. This invlves develping an agreed plan that will allw the independent cmpetent persn t assess and mnitr: the methds the prject uses; whether the prject is being designed and put in place safely; and whether tests are being carried ut safely, and in line with agreed standards and cnditins. Prviding infrmatin fr the independent cmpetent persn Sch4 1(1)(c) The independent cmpetent persn needs t have access t all relevant infrmatin and dcuments t be able t carry ut a satisfactry assessment. This wuld usually include: dcuments used in designing and setting ut a specificatin fr the prject; certificates f cnfrmity fr materials used; any ther risk assessment and safety analysis reprts; evidence that the prject meets the relevant standards, and an explanatin f hw risk will be managed where the prject des nt meet the standards; and evidence that yu have wrked with ther relevant duty hlders t make sure yur prjects wrk tgether. Sch4 (4)(a) The independent cmpetent persn s assessment The independent cmpetent persn shuld make sure that: the design f the prject meets relevant standards; any safety-critical parts are suitably designed and built; the prject has been built, installed and tested prperly; and arrangements are in place fr the prject t be run and maintained. The verificatin assessment wuld usually invlve physically inspecting r reviewing dcuments relating t things such as designs, specificatins, certificates, cmpliance f prducts with relevant safety law (CE marking), and hw cntractrs were used in the prject. Office f Rail Regulatin May

29 The independent cmpetent persn s recmmendatins Sch4 1(4)(b) Yu must have arrangements in place fr making sure that the findings f the assessment including any actin the independent cmpetent persn has recmmended yu take are cmmunicated t the apprpriate managers. Yu must als keep a recrd f any actin yu carry ut as a result. Mnitring, reviewing and revising the scheme Sch4 1(3) Yu can apply the general management arrangements and decisin-making prcesses acrss a range f prjects, and yu shuld set these ut in the safety management system. Yu shuld als review them regularly t make sure they are still effective. Yu shuld recrd the specific infrmatin, assessments, recmmendatins and actin taken fr each prject that ges thrugh the safety verificatin prcess. Mre infrmatin ORR guidance Safety verificatin guidance A guide t safety verificatin fr heritage railways A guide t safety verificatin fr tramways ROGS initial integrity inspectin f transprt peratrs safety verificatin and change management arrangements Other guidance fr the industry Guidance n Railways (Interperability) Regulatins, Department fr Transprt 24 May 2011 Office f Rail Regulatin

30 Chapter 3: Safety certificates and safety authrisatins Under ROGS, nbdy is allwed t run vehicles r manage infrastructure unless we have awarded them the apprpriate safety certificate (fr transprt undertakings) r authrisatin (infrastructure managers). This replaces the requirement t hld a safety case under the Railways (Safety Case) Regulatins In the regulatins Regulatin 3: Requirements f mainline peratrs and infrastructure managers Regulatin 4: Requirements f nn-mainline peratrs and infrastructure managers Regulatin 7: Applicatin fr safety certificate Regulatin 8: Amending a safety certificate (substantial change) Regulatin 9: Further safety certificate Regulatin 10: Applicatin fr safety authrisatin Regulatin 11: Amending a safety authrisatin (substantial change) Regulatin 12: Further safety authrisatin Regulatin 13: Requirement t ntify ORR f sme types f changes Regulatin 14: Directin t amend certificate/authrisatin by ORR Regulatin 15: Revcatin f certificate by ORR Regulatin 16: Revcatin f authrisatin by ORR Regulatin 17: Other prvisins, including invlving affected parties and safety representatives Des everyne need a certificate r authrisatin? Reg4(1)(a) Reg4(3) All mainline peratrs need a certificate r authrisatin. Sme lwer-risk nn-mainline peratrs d nt need ne. Hwever, these peratrs must still have a safety management system (see chapter 1) in place. The specific types f transprt systems that d nt need a certificate r authrisatin are as fllws. 1 A transprt system that des nt run at speeds abve 40kph (25mph). 2 Tramways, n matter what speed they run at. Office f Rail Regulatin May

31 Heritage railways The first exclusin abve aims t remve the requirement fr mst heritage railways t hld a certificate r authrisatin. Hwever, if these run n r crss a transprt system (whether it is n a mainline r nn-mainline railway) that runs at speeds abve 40kph (25mph), they will need a safety certificate. Hwever, the heritage railway wuld nly need a certificate fr the part f the railway that runs n r crsses the system with the running speed abve 40kph (we refer t this as the +40kph system ). Or, it culd make arrangements with an apprved third party t run the part f the railway that crsses r runs n the +40kph system. The safety certificatin and authrisatin prcess 1. Decide type f applicatin Des the peratin require a certificate, an authrisatin, bth? Mainline r nn-mainline? 2. Prepare applicatin Cmpile the required infrmatin. Invlve staff and representatives frm this stage n. 3. Send t us and affected parties Send cpies f yur applicatin t affected parties. We will carry ut an initial assessment, wait fr cmments frm affected parties. We may then ask fr further infrmatin r fr yu t send in a new applicatin. 28 days 4. Assessment by us We will assess safety management system against requirements f ROGS. We may ask yu fr clarificatin and further infrmatin. We will als cnsider cmments frm affected parties. 5. Our decisin We will award certificate r authrisatin, r refuse applicatin. We must give reasns fr ur decisin in all cases. Up t fur mnths 6. After certificatin r authrisatin Yu must tell us abut any changes t yur peratin. If the changes are substantial, yu must get an amended certificate r authrisatin. Up t five years 26 May 2011 Office f Rail Regulatin

32 1 D I need a certificate r authrisatin? Certificate All transprt undertakings (except n sme lwer-risk systems see the previus page) need a safety certificate t run n a transprt system. This includes bth the mainline and nn-mainline railway. It des nt include running nly n systems within depts, sidings r engineering pssessins. Authrisatin All rganisatins which develp and maintain infrastructure (the track, signalling systems, bridges, crssings and s n) r run and manage statins need a safety authrisatin. This applies t bth the mainline and nn-mainline railway. Bth A train perating cmpany that als manages its wn infrastructure will need bth a certificate and an authrisatin frm us. As the infrastructure includes statins, transprt undertakings that manage statins (nearly all f the majr train perating cmpanies) will als need bth. 2 D I need a mainline r nn-mainline certificate r authrisatin? Chapter 1 includes an explanatin f what a mainline railway is and what it is nt. There is little practical difference between the tw in the certificatin prcess. The size and nature f the transprt yu are running is much mre imprtant. Mainline certificates If yu are a mainline transprt undertaking, yu must apply fr certificates in tw parts. Reg2 Part A is valid acrss the Eurpean Unin (EU). It sets ut yur general safety management arrangements. Part B relates t ne transprt system. It wuld include details f hw yu make sure the specific transprt system yu want a certificate fr is run safely. An imprtant principle f the Railway Safety Directive and f ROGS is that Part A f a certificate is valid acrss the EU. In ther wrds, a train peratr that has a certificate t cnfirm it is safe t run a transprt system in ne EU member state is cnsidered safe t run a transprt system in anther, as lng as the transprt system they are running is f a similar type and size and they meet the requirements fr a Part B certificate in frce in that cuntry. Fr example, an peratr that hlds Part A f a Office f Rail Regulatin May

33 certificate in member state X and wants t run a similar transprt system in member state Y wuld need nly t get Part B f a certificate frm member state Y. Nn-mainline certificates cme in ne part. The requirements are bradly similar t a mainline applicatin. Like the safety management system, the size and nature f the transprt system being run is the main factr in deciding hw detailed and cmplicated the applicatin needs t be. Bth Sme trains are run n bth mainline and nn-mainline railways. Because a lt f the infrmatin needed is the same, yu can apply fr bth types f certificate in ne applicatin (althugh the applicatin wuld need t be clear abut which parts applied t the mainline railway and which parts applied t the nn-mainline railway). Mainline and nn-mainline authrisatins are specific t the relevant infrastructure and are nt valid acrss Eurpe. The main difference in applying fr a mainline r nn-mainline authrisatin is the size and nature f the transprt system being run. Als, infrastructure managers wh in practice nly manage statins (in ther wrds, mst train perating cmpanies) wuld be expected t prduce less infrmatin as part f their authrisatin than thse wh als maintain track, signals, and s n. Sch2 3 Preparing the applicatin the infrmatin we need frm yu Under ROGS, yu need t prvide certain infrmatin in yur applicatin. The Eurpean Rail Agency has develped a template that yu must fllw if yu are applying fr a mainline certificate. Hwever, this nly asks fr very basic infrmatin abut yur cmpany and shuld nly be seen as a cvering dcument fr the applicatin as a whle. See Mre infrmatin at the end f this chapter. Yur details Basic infrmatin, fr example: yur cntact details; the type f applicatin yu are making; the number f staff yur cmpany emplys; and any ther certificates r authrisatins yur cmpany hlds. The type and nature f the transprt being run. If yu are a transprt undertaking, this refers t: yur activities; the franchises yu hld; 28 May 2011 Office f Rail Regulatin

34 the lines yu run; the purpse f the transprt yu run (cmmuter travel, freight, and s n); and the number f trains and passengers. Or The particular details f the infrastructure. Fr infrastructure managers, this shuld refer t: the length f track; the type f signalling and cntrl systems; and safety-related features r structures such as statins, crssings, tunnels and majr junctins. (Fr statin-nly infrastructure managers, the particular details culd be as simple as quting the number f statins and the number f peple emplyed at them.) Interfaces with ther peratrs. Fr example, where a train perating cmpany uses statins that are wned and managed by anther peratr. Summary f the safety management system Yu need t prvide evidence that yur safety management system is designed t meet the requirements f ROGS as described in chapter 1. The summary shuld: include a cpy f the safety plicy statement and a descriptin f hw it is shared with staff at all levels; refer t any recgnised safety management mdels yu use; refer t ther dcuments which describe the safety management system and its supprting prcedures; shw the structure f the safety management system, in particular highlighting hw rles and respnsibilities are given t staff; describe hw the safety management system fits in with ther activities and pririties; explain hw individuals wh manage safety are held respnsible; set ut the cnditins fr invlving staff and their representatives at all levels in the safety management system; describe hw yu mnitr safety perfrmance and hw yu put right any faults; and explain hw yu put in place new safety develpments and lessns yu have learned frm accidents r incidents. Office f Rail Regulatin May

35 Yu shuld als cnsult the assessment criteria when yu make yur applicatin. These criteria prvide mre specific detail f the evidence needed t shw that yur safety management system is designed t meet the requirements f ROGS. Yu can find the assessment criteria n the ORR website ( Yu can find a list f ROGS safety certificates and authrisatins issued by us at Details f safety measures The basic parts f a safety management system are als described in chapter 1. Yu shuld include in the applicatin a brief descriptin f hw yur rganisatin des each f these things, and an explanatin f where detailed plicies r prcess dcuments can be fund. 4 Preparing the applicatin invlving staff and their representatives Reg17(9) ROGS specifically give peratrs a duty t cnsult emplyees health and safety representatives when preparing their applicatin. This means that yu must carry ut yur cnsultatin as early as pssible, and befre yu send us yur applicatin. Gd-quality cnsultatin shuld invlve: regularly and penly sharing infrmatin; encuraging representatives t express their views; making time t amend yur plans in respnse t staff s views (if necessary); and making sure representatives have the time t gain the knwledge and skills they need t prvide an infrmed cntributin. Prper cnsultatin can have wider benefits in terms f: safer wrkplaces; imprved decisin-making thrugh gathering a wider range f ideas; helping staff t understand and accept decisins; and making sure staff knw they have a key rle t play in running the transprt system safely. Cnsultatin when there is a change f peratr When new peratrs are taking ver a franchise, they will need t apply fr a safety 30 May 2011 Office f Rail Regulatin

36 certificate. At the time peratrs prepare their applicatin, they may nt yet be the emplyer f the staff wh will be affected. Under ROGS, the new peratr des nt have a duty t cnsult emplyees f the existing franchise hlder. Hwever, an imprtant principle f ROGS is that emplyees and their representatives are invlved in managing safety. As a result, it wuld be sensible fr new peratrs t make arrangements t cnsult the existing peratr s staff when preparing their applicatin. It wuld help the transfer if utging peratrs agree t reasnable requests frm new peratrs t allw staff representatives t take part in the prcess. Sending the applicatin t us We will appint an assessment manager and a lead assessr fr each applicatin. After we receive yur applicatin, the lead assessr will cnfirm they have received it and give yu their cntact details and thse f the assessment manager. See the Mre infrmatin bx at the end f this chapter fr where t send yur applicatin. Initial screen The assessr will check yur applicatin t make sure that yu have included the basic infrmatin we need (see abve). If yu have nt, yu will need t prvide any missing infrmatin befre we can begin the main assessment. If there are any serius gaps in the infrmatin yu have prvided, we may return yur applicatin fr yu t crrect. Affected parties Reg17(3) Reg17(10) Yu must send a cpy f yur applicatin t all the peple wh will be affected by it (the affected parties ) r tell them where it can be accessed n a website. The affected parties must include the fllwing. Fr all applicatins, any recgnised trades unins (fr example RMT, ASLEF, TSSA, Unite) plus any staff safety representatives in yur rganisatin. Hwever, this shuld nt be the first time they see the applicatin as they shuld already have been invlved in preparing it; Fr all applicatins, the apprpriate rail user grups (nrmally, this wuld be Passenger Fcus r Lndn TravelWatch, r bth). Generally, if yur services dn t perate within the Lndn area there isn t a requirement t cnsult Lndn TravelWatch. Fr a certificate applicatin, transprt peratrs wh manage the infrastructure, r cme int cntact with the transprt system yu run (as identified in the applicatin). Fr an authrisatin applicatin, transprt peratrs wh run n yur infrastructure r wh manage infrastructure that interfaces with yurs. Office f Rail Regulatin May