Guidance on Assessment by Railway Safety of Train and Station Operators Railway Safety Cases

Transcription

1 Guidance on Assessment by Railway Safety of Train and Station Operators Railway Safety Cases Synopsis This document provides both potential and existing train and station operators with practical advice to assist in the preparation and review of their railway safety cases and describes Railway Safety s assessment criteria and assessment process. This Guidance Note has been produced by Standards Project Manager Authorised by Controller, Railway Group Standards This document is the property of Railway Safety. It shall not be reproduced in whole or in part without the written permission of the Controller, Railway Group Standards, Railway Safety. Published by: Railway Safety Evergreen House 160 Euston Road London NW1 2DX Copyright 2001 Railway Safety

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3 Page 1 of 60 Contents Section Description Page Part A Issue Record 2 Technical Content 2 Application 2 Health and Safety Responsibilities 2 Supply 2 Part B 1 Purpose 3 2 Scope 3 3 Background 3 4 Definitions and Abbreviations 4 5 Producing a Railway Safety Case 5 6 Acceptance of Railway 8 7 Ensuring Compliance with Railway Safety Case 11 8 Questions and Answers - Essential Points 12 9 What to do Next 14 Appendix A Criteria for the Assessment of Operator s Railway by Railway Safety 15 1 General 15 2 Duty Holder 17 3 Executive Summary/Overview 18 4 Commitment 18 5 Description of Operation 19 6 Risk Assessment 20 7 Safety Management System (Principles, Policy and Objectives) 23 8 Organisation 23 9 Train Operation Arrangements Station Operation Arrangements Acceptance of Vehicles and Vehicle Maintenance Arrangements Safety Plans and Objectives Management of Standards and Procedures Communications Management of Interfaces Accident/Incident Reporting and Investigation Emergency Planning Control of Contractors Procurement Consultation Competence and Fitness Safety Inspections and Safety Tours Change Management Safety Related Computer Systems Safety Performance Monitoring Audit Personal Protective Equipment (PPE) Fire Safety Management of RSC RSC Development Plan 58 References 60 RAILWAY SAFETY 1

4 Page 2 of 60 Issue Record Part A This document will be updated when necessary by distribution of a complete replacement. Issue Date Comments One Two August 1999 June 2001 Original Document supersedes GA/RC6503 and GA/RC6504 Reflects requirements of Railways (Safety Case) Regulations 2000 and incorporates changes in RGS requirements introduced since publication of Issue 1. No amendment bars have been used because the document has been extensively revised. Technical Content Approved by: K Sutton, Railway Safety Case Assessment Manager, Railway Safety Enquires to be directed to Railway Safety Tel: Application s are non-mandatory documents providing helpful information relating to the control of hazards and often set out a suggested approach, which may be appropriate for Railway Group* Members to follow. * The railway group comprises Railtrack PLC, Railway Safety, and the train and station operators who hold railway safety cases for operation on or related to infrastructure controlled by Railtrack PLC. Health and Safety Responsibilities In issuing this document, Railway Safety makes no warranties, express or implied, that compliance with all or any document published by Railway Safety is sufficient on its own to ensure safe systems of work or operation. Each user is reminded of its own responsibilities to ensure health and safety at work and its individual duties under health and safety legislation. Supply Controlled and uncontrolled copies of this document may be obtained from the Industry Safety Liaison Dept, Railway Safety, Evergreen House, 160 Euston Road, London NW1 2DX. 2 RAILWAY SAFETY

5 Page 3 of 60 1 Purpose 2 Scope Part B The purpose of this document is to detail the criteria used by Railway Safety in the assessment of train and station operators Railway (RSCs). 2.1 Sources used for this document This document applies to potential train and station operators submitting RSCs for assessment by Railtrack PLC (known as Railtrack) and Railway Safety and for acceptance by HSE. It also applies to train and station operators with an already accepted RSC who are expected as part of the three-year review of their RSC, to revise their RSC in accordance with any changes in the assessment criteria published in this document. Information and content in this document have been derived from: a) HSE Guidance on Railways (Safety Case) Regulations 2000 which also contains the regulations. b) HSE acceptance criteria for RSCs. c) HSE Guidance on the Management of Health and Safety at Work Regulations. d) Railtrack s RSC. e) The Railway Group Safety Plan. f) Changes in Railway Group Standard requirements since the publication of Issue 1 of this document. g) Recommendations from investigations into railway accidents made available since Issue 1 of this document. h) Experience of six years of acceptance of RSCs by Railtrack. i) Monitoring and audit of train and station operators compliance with their RSC. Publications and documents referred to above should be consulted for specific information and details. 3 Background This document provides potential train and station operators with practical advice to assist in the preparation of their Railway Safety Case (RSC) and essential information on the assessment process established by Railway Safety for a new railway safety case. It is also the means by which Railway Safety publishes and updates its assessment criteria for train and station operators RSCs. Additionally, train and station operators with an existing accepted RSC, are expected to review their RSC against any changes in the assessment criteria published since their previous three-year review. If it is the operator s first such review, the operator must review their RSC against any changes in the criteria published since the RSC was accepted. The Railways (Safety Case) Regulations 2000 (RSC Regs 2000), which came into force on 31 December 2000, are one of a set of railway health & safety regulations which are intended to ensure the maintenance and, where necessary, the improvement of health and safety standards on the railways. They replace the Railways (Safety Case) Regulations 1994 and set out revised requirements for the acceptance of RSCs. Under the provisions of the Railways (Safety Case) Regulations 1994, Railtrack PLC (known as Railtrack) was responsible for accepting the RSCs for train and station operators using its controlled infrastructure. A 28-day period was then available following the date of acceptance by Railtrack, for the HSE to undertake RAILWAY SAFETY 3

6 Page 4 of 60 a review of the accepted RSC and to raise any queries regarding the arrangements described in the accepted RSC with the new operator or with Railtrack concerning its acceptance of the RSC. The new operator could not commence operations until this 28-day period was complete. Under the provisions of the RSC Regs 2000, Railtrack no longer accepts the RSCs of train and station operators. Acceptance is instead undertaken by HSE. Railtrack, as the infrastructure controller, must, in order to comply with its health and safety responsibilities, scrutinise the RSCs of train and station operators and make a recommendation to HSE, as to whether a RSC should or should not be accepted. Additionally, the new regulations require Railtrack to procure from an assessment body, an independent assessment of a train or station operator s RSC. Railway Safety performs this role for Railtrack. Railway Safety forwards its recommendation, as to whether or not the RSC should be accepted, to Railtrack who in turn forward it to HSE with their own recommendation. Railway Safety is also required to undertake an independent assessment of changes made to Railtrack s RSC and to make a recommendation to HSE as to whether or not a proposal should be accepted. Railway Safety has published separate assessment criteria for Railtrack s RSC. Other regulations in place to ensure safety on the railways include: a) Railways (Safety Critical Work) Regulations b) Carriage of Dangerous Goods by Rail Regulations The regulations are made under the Health & Safety at Work etc Act 1974 and are monitored and enforced by HM Railway Inspectorate (part of the HSE). Railway undertakings are also subject to a range of other health and safety requirements. These include the Management of Health and Safety at Work Regulations 1999 (MHSW Regs), which require employers and self-employed people to, among other things, carry out a risk assessment. Railway operators should also take account of other relevant health and safety legislation and Health & Safety Commission (HSC) or HSE guidance. 4 Definitions and Abbreviations 4.1 Definitions Railway Group The Railway Group comprises Railtrack PLC, Railway Safety and the train and station operators who hold RSCs for operation on or related to infrastructure controlled by Railtrack PLC Railway Group Standards Comprise: (i) technical standards with which railway assets (or equipment used on or as part of railway assets) must conform (ii) operating and management procedures with which all operators of railway assets, including the infrastructure controller, must comply Railtrack controlled infrastructure The infrastructure which falls within the geographic boundaries of Railtrack s operational railway, includes the permanent way and land within the lineside fence, and plant used for signalling or exclusively for supplying electricity for operational purposes to Railtrack s operational railway. It does not include stations, nor does it include depots, yards or sidings owned by, or leased to, other parties. However, it does include permanent way at stations and plant within these locations used for signalling Railtrack s operational railway or exclusively for supplying electricity for operational purposes to the operational railway. 4 RAILWAY SAFETY

7 Page 5 of 60 5 Producing a Railway Safety Case 4.2 Abbreviations ALARP As Low as Reasonably Practicable HSC Health & Safety Commission HSE Health & Safety Executive HSWA Health & Safety at Work Act 1974 MHSW Regs Management of Health & Safety at Work Regulations 1999 ORR Office of the Rail Regulator OTM On-Track Machine PICOP Person in Charge of Possession PON Periodic Operating Notice PPE Personal Protective Equipment Railtrack Railtrack PLC RACOP Railway Safety Approved Code of Practice - Produced by Railway Safety; RGS Railway Group Standard Produced by Railway Safety RIAC Railway Industry Advisory Council RMMM Rail-Mounted Maintenance Machine RRV Road-Rail Vehicle RSC Railway Safety Case RSC Regs 2000 Railways (Safety Case) Regulations 2000 RSCW Regs 1994 Railways (Safety Critical Work) Regulations 1994 SMIS Safety Management Information System SMS Safety Management System SPAD Signal Passed at Danger SR&SC Regs 1997 Safety Representatives & Safety Committees Regulations TOC Train Operating Company VPF Value of Preventing a Fatality WON Weekly Operating Notice 5.1 Who needs a Railway Safety Case? Any organisation operating a train on Railtrack controlled infrastructure, or operating a station served by Railtrack controlled infrastructure, is required to have a RSC accepted by the HSE. This RSC is also required to be assessed by both Railtrack and Railway Safety. Both of these organisations make a recommendation as to whether an RSC should or should not be accepted. In this context a train means any self powered vehicle, or vehicles hauled by a self powered vehicle, with flanged wheels on guided rails. This includes vehicles defined in RGSs as On-Track Machines (OTM), Road-Rail Vehicles (RRV) and Rail-Mounted Maintenance Machines (RMMM), and applies both inside and outside of Rule Book Section Tiii/Tiv Possessions. 5.2 What is a Railway Safety Case? A Railway Safety Case (RSC) is a document containing the particulars required by the provisions of the Railways (Safety Case) Regulations, 2000 (RSC Regs 2000). The RSC is required to clearly identify: a) the nature and extent of the operations to be undertaken b) the risks associated with these operations c) the procedures and arrangements by which these risks are controlled d) the organisation in place for implementing these procedures and arrangements. The minimum content of a RSC is defined in the RSC Regs 2000 and in particular, Schedule 1 of these regulations and its supporting guidance. Further guidance on the content of RSCs is provided as follows: i) for acceptance of a RSC by HSE, acceptance criteria published on the HSE web site address ( These criteria will RAILWAY SAFETY 5

8 Page 6 of 60 be required to be satisfied, as appropriate to the scope of the duty holder s operation, in order to facilitate acceptance of the RSC by HSE ii) for assessment of a RSC by Railway Safety, assessment criteria are provided in Appendix A of this document. These criteria will be required to be satisfied, as appropriate to the scope of the duty holder s operation, in order to facilitate a recommendation for acceptance by Railway Safety. 5.3 Preparing a Railway Safety Case Preparing a RSC is not simply an exercise in writing a document. It involves developing the procedures and arrangements necessary for conducting the railway operation in an acceptably safe manner, and designing the organisation for implementing these procedures and arrangements. Guidance on preparing a RSC is provided in the HSE publication Railway Safety Cases: Guidance on the Railways (Safety Case) Regulations, 2000 (L52). The principal contacts on all matters relating to the assessment and acceptance of RSCs are as follows: Organisation Railtrack Contact Address Tel No. TOC Railway Safety Case Manager Railtrack House, DP06-37, Euston Square, London, NW1 2EE Railway Safety Head of Railway Safety Case Assessment Evergreen House, 160 Euston Road, London, NW1 2DX /9 HSE Railway Safety Case Administration Manager HM Railway Inspectorate, Health & Safety Executive, Rose Court, 2 Southwark Bridge, London, SE1 9HS An organisation considering a requirement for a RSC is encouraged to contact HSE at an early stage in the RSC development process. In addition, a similar approach should be made to either Railtrack or Railway Safety. A meeting with both Railtrack and Railway Safety will be arranged to discuss the following: a) The Railways (Safety Case) Regulations 2000, including supporting Schedules and Guidance. b) The applicant s intended scope of operations on Railtrack controlled infrastructure. c) The applicant s organisational structure including determining the duty holder for the intended operation. d) The respective acceptance and assessment processes and the interfaces between these processes. e) The applicant s process and available resources for compilation of the RSC f) Railtrack and Railway Safety s assessment criteria and HSE s acceptance criteria. g) Allocation of a Railtrack Lead Zone (one of seven Regional Zones or Railtrack HQ for certain national operators ). h) Membership of the Railway Group (see definition in section 4). 6 RAILWAY SAFETY

9 Page 7 of 60 i) Licence requirements (see section 5.5). j) Timescales for submission. The HSE are invited to attend this meeting. HSE may, however, decide to meet with the applicant on a separate occasion without Railtrack or Railway Safety in attendance. This separate meeting with the HSE will, if requested, cover most of the material listed in this section 5.3. When a draft RSC has been prepared, it is recommended that the operator approaches HSE and Railtrack and/or Railway Safety and request that the draft be reviewed. Comments can be made on the draft which the potential operator can include within the submission before formally submitting the document for assessment/acceptance as covered by section 6. Provided the operator acts upon all of the feedback provided, this preliminary review reduces the number of issues that are raised during the formal assessment/acceptance process and so contributes to reducing the period it takes to get the submission accepted. 5.4 Transitional three-year reviews The holder of a RSC accepted under the provisions of the 1994 regulations is required to re-submit their RSC for re-acceptance by or on the three-year anniversary date (as required by regulation 6 of the RSC Regs 2000). This requirement for a train or station operator s transitional review is covered by regulation 16(3) of the RSC Regs This review is known as a transitional three-year review. However, the RSC Regs 2000 permit an operator whose anniversary date falls between 31 December 2000 and 29 June 2001 not to resubmit their RSC until 30 June 2001, provided the HSE have been advised in writing that this is the operator s intention. Additionally, any operator s anniversary date that falls between 1 January 2003 and 31 December 2003 must resubmit their RSC for acceptance by 31 December Because of the large number of RSCs that require to be re-accepted by HSE over the period described above, HSE is in close liaison with Railtrack and Railway Safety concerning the re-submission timetable for operators RSCs. Accordingly, dates for re-submission may vary by a few weeks of each operator s anniversary date. Where this applies, the operator will be advised by HSE in writing. Operators are encouraged to make contact with HSE as well as Railtrack and Railway Safety about six months in advance of their three-year anniversary date. However, an operator s anniversary date that falls between 1 January 2003 and 31 December 2003 is encouraged to contact HSE in the Spring period of 2002 to discuss re-submission of their RSC by 31 December A meeting shall be arranged at which all three organisations meet with the operator to discuss: a) safety performance over the previous three-year period, including a review of the results of compliance audits with the accepted RSC and other formal monitoring undertaking b) Railtrack and Railway Safety s assessment criteria and HSE s acceptance criteria for RSCs c) the requirement to include within the re-submitted RSC, a development plan d) the respective acceptance/assessment processes e) the date on which the RSC must be re-submitted for acceptance/assessment. 5.5 Licence requirement In addition to having an accepted RSC, operators are required to have a licence issued by the Office of the Rail Regulator (ORR). Issue of a licence is subject to having an accepted RSC. In some cases the ORR may grant an exemption from the requirement to have a licence, but the operator will still be required to have an accepted RSC. RSCs with a scope for operating RRVs and/or RMMMs within RAILWAY SAFETY 7

10 Page 8 of 60 possessions only will be granted an exemption. A potential operator is strongly advised to contact the Rail Regulator at an early stage in the RSC development process. The reason for this is that the process for obtaining a licence or exemption for a requirement for a licence can take several months. This time period is outside the control of Railtrack, Railway Safety and the HSE. Further information on Licence requirements is available from the ORR at 1 Waterhouse Square, Holborn, London EC1N 2TQ. 6 Acceptance of Railway 6.1 The acceptance/assessment process Submission of the RSC When the submission is ready or due for formal submission, the documentation must be sent to the HSE and to Railtrack, at the addresses shown in section 5.3. This requirement meets regulation 5(2) of the RSC Regs Documents may be sent electronically. In addition, to enable Railway Safety to commence their assessment process as required by regulation 5(3) as quickly as possible, a copy should be forwarded to Railway Safety at the address shown in section 5.3. To further speed the process along, it is helpful if a copy is sent direct to the Railtrack Lead Zone simultaneously. The submission that goes to Railtrack should include an indication that copies have been sent to both Railway Safety and the Railtrack Lead Zone. The operator will receive confirmation from both HSE and Railtrack that their submissions have been received. Railtrack will confirm receipt by Railway Safety and the lead Railtrack Zone. A unique reference number is agreed by all organisations involved in the assessment/acceptance process. This unique number will take the form of the operator s RSC certificate number and a revision number. All revisions under the RSC Regs 2000 will start at 101 for each operator. A new operator s RSC will show the revision number 100 on all documentation. Where an electronic copy of the submission has been sent, a hard copy will not normally be requested Initial assessment of the RSC by Railtrack and Railway Safety Both Railtrack and Railway Safety immediately on receiving the submission, begin their respective assessment processes. Railway Safety use the assessment criteria contained in Appendix A of this document as well as the contents of Schedule 1 (and accompanying guidance) of the RSC Regs to assess the completeness of the submitted RSC. The respective assessment processes are undertaken by a panel of RSC assessors experienced in the relevant aspects of train and station operations and the management of health and safety. The respective panels consist of a Chairman, normally the TOC RSC Manager in the case of Railtrack and the RSC Assessment Manager in the case of Railway Safety. Additionally, both organisations appoint a process manager, and a number of specialist assessors. The specialist assessors are experienced and competent managers in the fields relevant to the matters to be assessed in the RSC, such as train or station operations, vehicle engineering, risk assessment or health and Safety Management Systems (SMS) and requirements. Railtrack also involve the Lead Zone in their assessment. Competency criteria are set for panel assessors. Where both Railtrack and Railway Safety are satisfied from their initial review that the submission meets their respective assessment criteria, the arrangements described in are applied. However, for the majority of submissions reviewed, the respective panels during the review of the RSC, identify issues to be resolved prior to a recommendation for acceptance being made. Railway Safety s issues are in the form of a report, as required by regulation 5(3) of the RSC Regs 2000, which is forwarded to Railtrack. Railtrack incorporates these 8 RAILWAY SAFETY

11 Page 9 of 60 issues into a joint Railtrack/Railway Safety issues log that is forwarded to the potential/existing operator Initial assessment of the RSC by HSE Details of the HSE s initial acceptance process are described on the HSE s web site address shown in section 5.2(i) of this document. The assessment/acceptance process allows for the HSE assessors to conduct a review of the joint Railtrack/Railway Safety issues log. The purpose of this review is for the HSE to identify any issues which in their view, should have been raised by either Railtrack or Railway Safety in their scrutiny of the submission within the scope of regulation 2(4) of the RSC Regs The HSE request that any of these additionally identified issues are added to the joint Railtrack/Railway Safety issues log. HSE issues that fall outside the scope of regulation 2(4) of the RSC Regs 2000 are forwarded to the operator separately Requirement for a panel meeting For a new RSC and in some cases for a three-year review of an accepted RSC, the applicant or existing operator, as appropriate, is invited to a panel meeting. This meeting is normally conducted jointly by Railtrack and Railway Safety. HSE are also invited to attend but may determine that they will conduct their own separate panel review meeting. The purpose of the Railtrack/Railway Safety panel meeting is: a) to allow the applicant to present his RSC and any additional information deemed relevant b) to explore issues of clarification as required by the panel c) to indicate and discuss any major issues that may affect Railtrack or Railway Safety in making a recommendation that the RSC should be accepted d) to assess the ability and commitment of the applicant to deliver the RSC commitments in practice. Following the panel meeting, the joint Railtrack/Railway Safety issues are amended to incorporate any amendments, etc. agreed at the panel meeting. This is then sent to the operator. Where Railtrack and Railway Safety determine the need for a panel meeting with the potential/existing operator, an internal preliminary meeting is held involving the Railtrack and Railway Safety panel assessors. At this meeting, a draft joint Railtrack/Railway Safety issues log is prepared which is then forwarded to the operator in advance of the panel meeting with the operator himself Closing of issues Railtrack enter into an iterative process with the potential/existing operator on the closing out of issues. On each occasion that an updated issues log is received, the operator is asked to amend the submission in accordance with the requirement(s) of each issue. When the operator considers that all issues on the issues log have been addressed, a revised submission together with the updated issues log must be sent to both Railtrack and the HSE. This iterative process continues until all issues on the issues log are closed. The operator should indicate clearly where in the revised proposal each issue is addressed. All documents should be dated and changes sidelined or highlighted to allow the acceptance panel to differentiate between the original proposal and any subsequent amendment and to ensure a clear understanding between the operator and the assessment panel as to which version of the proposal is finally accepted. With regard to the closing out of Railway Safety s issues that appear on the joint issues log, Railtrack may determine that on some occasions, it undertakes this aspect of the process itself. Railtrack will normally, however, request Railway Safety to review a revised submission to assess that its originally raised issues have been closed out. Indeed, the Railway Safety panel assessors can insist that RAILWAY SAFETY 9

12 Page 10 of 60 they be consulted on the closing out of any issues they have raised. On the basis that this arrangement is applied in the majority of cases, the potential/existing operator is encouraged to also forward the documentation referred to in the first paragraph of this section to Railway Safety. Regulation 14(3) of the RSC Regs 2000 requires Railtrack to forward a record of the process it has applied to the assessment of each submission to HSE. This requirement ensures that the HSE are advised where Railtrack has determined that issues raised by Railway Safety are indeed closed. If the operator fails to address all the issues to the satisfaction of the Railtrack/Railway Safety panel and cannot agree a way forward on the outstanding issues, the operator may either withdraw the proposal or indicate that the most recent submission is the final submission. Should such a situation arise, Railtrack and/or Railway Safety may make a recommendation to the HSE that the submission should not be accepted, stating the reasons for this decision. The duty holder will also be advised of the decision by Railtrack and Railway Safety. The HSE will either accept the revision, or formally advise the operator in writing that the proposed revision is not accepted and shall state its reasons for nonacceptance in accordance with regulation 5(7). An appeals process exists which is described on HSE s website (address shown in Section 5.2(i)) whereby the duty holder can appeal to HM Chief Inspector of Railways concerning nonacceptance of a submission. Regulation 18(1) provides scope for an appeal to the Secretary of State should a duty holder not be satisfied with the response provided by HM Chief Inspector of Railways. The operator may then appeal to the Secretary of State in accordance with the RSC Regs Recommendation for acceptance On satisfactory completion of the Railtrack and Railway Safety assessment processes, Railtrack forwards to HSE its own recommendation for acceptance together with that made by Railway Safety. The documentation and statements required by regulations 5(4) and 5(5) of the RSC Regs 2000 are also forwarded to HSE. Additionally, Railtrack is required by regulation 5(6) of the RSC Regs 2000 to forward copies of both sets of recommendations to the potential/existing operator Acceptance of the RSC by HSE Details of the HSE s final acceptance process are described on HSE s website address shown in section 5.2(i) of this document. In accordance with regulation 5(7) of the RSC Regs 2000, HSE notify Railtrack as well as the potential/existing operator when the RSC has been accepted. If the HSE do not accept the RSC for the reasons shown in regulation 5(7), HSE process described on their web site is instigated, including liaison with Railtrack and Railway Safety as necessary. On acceptance by the HSE, the operator is then required to distribute hard controlled copies of the finally accepted RSC to: a) Railtrack HQ (1 copy) b) Railway Safety (1 copy) c) Railtrack Lead Zone (1 copy) d) HSE (2 copies). An electronic copy of the RSC should also be sent to each of these organisations at the addresses specified in the respective close out correspondence received from Railtrack and HSE. Operators are referred to regulation 2(10) of the RSC Regs 2000 regarding the receipt of electronic copies. 6.2 Timescales for assessment/acceptance The HSE have published on the web site specified in section 5.2(i) of this document performance standards for their RSC acceptance process. Accordingly, both Railtrack and Railway Safety have agreed to the following timescales: 10 RAILWAY SAFETY

13 Page 11 of 60 a) Railtrack acknowledge receipt of the formal submission to a potential/existing operator within 2 working days. b) Railtrack and Railway Safety complete their initial assessment of the submission within 35 working days of receipt of the submission. c) Where Railtrack and/or Railway Safety determine the need for a panel meeting with the potential/existing operator, this will normally take place within 45 working days of receipt of the submission. d) The timescales for re-assessment of a submission that attempts to address issues raised on the joint Railtrack/Railway Safety issues log depends on the number and nature of the issues originally raised by the respective panels. However both Railtrack and Railway Safety (where requested by Railtrack) intend to complete this part of the assessment process within 20 working days of receipt of the revised submission. Obviously, when a submission is back with a potential/existing operator to address issues, the matter of timescales is outside of the control of Railtrack and Railway Safety. However, all bodies involved in the assessment/acceptance process for RSCs request from the potential/existing operator a timescale as to when it is intended to re-submit the document. Where it is not possible for Railtrack or Railway Safety to meet the timescales identified above, the applicant/existing operator is advised of the reasons why it has been necessary to resort to a revised timescale. 7 Ensuring Compliance with Railway Safety Case Regulation 10(1) of the RSC Regs 2000 requires train and station operators to comply with the procedures and arrangements described in their RSC. All new operators are audited by Railway Safety for compliance with their RSC, prior to the start of operations and thereafter, at least on an annual basis. The audit prior to start of operations may be undertaken before the RSC is accepted by HSE. Railtrack and the HSE also conduct ongoing monitoring and checking of the operator s performance. Railtrack s arrangements are described in Railtrack s RSC and operators are strongly advised to refer to these arrangements. The process for dealing with non-compliances with a RSC should be particularly noted. 8 Questions and Answers Essential Points Q.1 If I have more than one operation, do I need a separate RSC for each? A. No. The regulations permit a RSC to cover more than one operation. (See RSC Regs 2000, Regulation 2(2)(b)). Operators considering this approach are advised to discuss it with HSE, Railtrack and Railway Safety. Q.2 Can I use a previous operator s RSC if I take over his operation? A. Not automatically. Changes of owner or operator may alter safety aims, arrangements and procedures, priorities and objectives. Additionally, organisational changes may be required. The potential new owner/operator will have to satisfy itself that it can work to the existing RSC before taking it over and then satisfy the assessment/acceptance bodies that it is committed to the existing document, normally at a meeting with Railtrack, Railway Safety and HSE. A revision to the existing RSC may necessitate a formal review of the revised RSC before the new owner/operator may commence operations. Companies involved with re-franchising of passenger train operating companies are encouraged to discuss RSC implications with the assessment/acceptance bodies at the earliest opportunity. Where it is agreed that a new owner/operator can take over an existing RSC, subsequent revisions must be dealt with in accordance with the provisions of GA/GN6510. Regulation 2(7) 0f the RSC Regs 2000 also applies. RAILWAY SAFETY 11

14 Page 12 of 60 Q.3 What is the role of the Rail Regulator? A. The Rail Regulator is a statutory appointee with a principal duty to licence rail operators. The Regulator has no safety function concerning RSC assessment/acceptance but before granting a licence, he will need to be assured that the applicant has demonstrated that he can manage his railway undertaking safely. Q.4 Is there any particular format in which the information should be presented? A. It is up to each duty holder to decide on the most appropriate format of its own RSC. However, the assessment criteria in Appendix A and Schedule 1 to the RSC Regs 2000 have been written in a way that would provide an appropriate format for a RSC. Q.5 Will Railtrack and Railway Safety need to have access to an operator s traction and rolling stock, premises and records? A. Yes, because of the duties imposed upon Railtrack by the HSWA and upon both organisations by the RSC Regs 2000, to ensure overall safety on the system, it is essential that Railtrack and Railway Safety monitor the performance and activities of the train and station operators. In order to discharge its own safety obligations, Railtrack will need to satisfy itself that the operator s RSC is being adequately followed by direct auditing and requiring the operator s own audit reports to be submitted. Railtrack requires provision for short notice inspections should Railtrack PLC have cause to believe such an inspection is necessary in the interests of safety. Operators are referred to regulations 9 and 11 of the RSC Regs 2000 concerning audit requirements and the need for co-operation with both Railtrack and Railway Safety. Q.6 What happens if both Railtrack and Railway Safety and an operator fail to agree on access inspection arrangements? A. In such a case, both organisations would not make a recommendation to HSE that an operator s RSC should be accepted. The operator would, of course, have recourse to appeal to the Secretary of State (see RSC Reg 15). Q.7 What are relevant railway standards? A. Railway Safety is the body which develops, manages and issues technical, operational, safety and inter-working standards for use across the railway network. These Standards are known as Railway Group Standards and set minimum requirements on Railtrack and the operators of trains on Railtrack s controlled infrastructure or stations related to Railtrack controlled infrastructure. Such RGSs are mandatory. The procedures for introducing new, or changing existing, RGSs are set out in The Railway Group Standards Code which is approved by the Rail Regulator. Operators can derive their own subordinate company standards from the RGSs, but they must meet the minimum requirements of the RGSs. Once operational, operators will have the opportunity to participate in the development of RGSs. Q.8 Is there a disputes procedure available to an operator if its RSC is not accepted by HSE? A There is provision within regulation 15 of the RSC Regs 2000 for an operator to appeal to the Secretary of State as the adjudicator. However, it is anticipated that in the event of dispute, the arrangements described on the HSE web site referred to in section 5.2(i) of this document involving all of the parties involved would resolve a dispute before resorting to an approach to the Secretary of State. Q.9 Will there be a charge for the acceptance of operators RSCs? Railtrack and Railway Safety do not charge for the assessment of RSCs. HMRI do charge and existing/potential operators are referred to the HSE web site shown in section 5.2(i) for details. 12 RAILWAY SAFETY

15 Page 13 of 60 Q.10 Once acceptance of the RSC is achieved is that the end of the safety process? A. Definitely not. The RSC is a demonstration by the operator of its arrangements and processes to manage safety effectively, and assessment/acceptance of the RSC is a test of these proposals. Operators will need to continue to develop and improve actual performance and both Railtrack and Railway Safety will monitor this as well as being monitored externally by HSE (as the enforcing authority). An operator is under a statutory duty to conform with the provisions in its RSC, as required by regulation 10 of the RSC Regs Q.11 When Railtrack has made a recommendation for acceptance of the RSC by HSE, does it become accountable for safety performance? A. No. In making a recommendation for acceptance of the RSC by HSE, Railtrack is only satisfying itself that the procedures and arrangements described in the operator s RSC will, when properly implemented with those of other operators and Railtrack, be capable of allowing Railtrack to meet its own responsibility for operating its network safely. It does not provide any assurance that the operator is meeting its own legal health and safety responsibilities. Operators are referred to regulation 2(4) of the RSC Regs Operators are also required by Paragraph16 of Schedule 1 of RSC Regs 2000 to include proposals for improvements to the RSC together with associated timescales. Q.12 Is the RSC a once and for all document? A. No. The RSC should be a living document which is developed and improved. It will also need to be revised whenever changes occur, and the operator will need to demonstrate who has the responsibility for keeping the RSC updated. In particular, regulation 6 of the RSC Regs 2000 require operators to make a thorough review of their RSC at least once every three years. Q.13 What if there is a need to revise the RSC? A. If the revision that is proposed to be made will render the RSC materially different from the last accepted version, the revision shall not be made unless both Railtrack and Railway Safety recommend the revision for acceptance and it is accepted by HSE. Guidance on what changes constitutes a material change to a RSC are provided in GA/GN6510 as well as a description of the process. Operators are referred to regulations 7(1), 7(2) and 7(3) of the RSC Regs HSE also publish guidance on changes to a RSC which are considered to be material at the web site address shown in section 5.2(i) of this document. 9 What to do Next Above all it is suggested that a potential operator preparing a new RSC or an existing operator undertaking a three-year review of its accepted RSC make early contact with both Railtrack and HSE (and where necessary, Railway Safety). A meeting will normally be arranged with the operator, as described in section 5.3 of this document. A suggested action plan is: a) read this guidance b) obtain copies of the HSE s Guidance on the RSC Regs 2000, the Management of Health & Safety at Work Regs 1999 and HSE s acceptance criteria for Railway c) make contact with the assessment/acceptance bodies described above d) potential operators read the information included in the Fact Pack which will be sent to you by Railtrack and/or Railway Safety prior to the initial meeting e) discuss any issues of clarification at the initial meeting RAILWAY SAFETY 13

16 Page 14 of 60 f) prepare a project brief for producing your RSC g) nominate a project manager h) prepare a project plan with milestone dates i) agree dates for submission of a draft RSC for review and following this informal review, for formally submitting the RSC in accordance with section 6.1 of this document j) as the RSC develops, liaise regularly with the assessment/acceptance bodies as directed on progress and developments. 14 RAILWAY SAFETY

17 Page 15 of 60 1 General Appendix A Criteria for the Assessment of Operator s Railway by Railway Safety The following criteria apply to the whole RSC in general: 1.1 Meeting the requirements of the Railways (Safety Case) Regulations A RSC must demonstrate that the operator has a SMS in place that is suitable for the activities of that operator. The RSC must contain all appropriate particulars required by the RSC Regs Schedule 1 of the RSC Regs 2000 refers to the Management of Health & Safety at Work Regulations, 1999, in relation to assessing risks and implementing management arrangements to control risks. In producing a RSC operators must ensure that they take account of the requirements of these regulations. 1.2 Context of RSC A RSC is only part of an overall risk management approach - production of a RSC is a requirement of the RSC Regs 2000 but is only one element of what is required to meet the requirements of all the relevant health and safety legislation. An operator cannot produce an effective RSC without assessing the risks to the health and safety of employees and other persons affected by its undertaking, and using the findings of that process to develop measures to control risks to these persons. These control measures will form part of the arrangements included in the RSC to explain how the operator manages health and safety aspects of its scope of activities. The elements of a successful SMS are described in the HSE publication: Successful Health & Safety Management (HS(G)65), or in BS Purpose of the RSC The arrangements and procedures described in the operator s RSC when properly implemented must, together with those described in Railtrack s RSC and the RSCs of other operators, enable Railtrack to comply with its responsibility for ensuring the safety of the railway system and, in particular, its duties under the HSWA Act and other relevant statutory provisions. Regulation 2(4) of the RSC Regs 2000 refers. The HSE Guidance to the RSC Regs 2000 states that the RSC serves two main purposes over and above that specifically required by the regulations. These are: a) to give confidence that the operator has the ability, commitment and resources to properly assess and effectively control risks to the health and safety of staff and the general public, and b) to provide a comprehensive working document against which management, and the assessment/acceptance bodies, can check that the accepted risk control measures and SMSs have been properly put into place and continue to operate in the way in which they are intended. It is for the operator to decide on the purpose of its own RSC, and it is recommended that the purpose is stated in the RSC itself. 1.4 Railway Safety s independent assessment of the RSC Railway Safety performs the role of the assessment body as defined in regulation 2(1) of the RSC Regs 2000 in respect of the requirements placed upon Railtrack, as the infrastructure controller, shown in regulations 4(2), 5(3) and 7(10). The scope of Railway Safety s review of a potential or existing operator s RSC is as shown in regulation 5(3)(ii) which equates to that shown for Railtrack in 1.3 above. 1.5 RSC to be absolutely specific as to its contents It is essential to be able to identify the current RSC and trace it back to a particular acceptance certificate. The RSC must therefore be absolutely specific RAILWAY SAFETY 15

18 Page 16 of 60 as to what is part of the RSC and what is a supporting document outside the RSC. Although Railtrack, Railway Safety or the HSE may require to review supporting documents as part of the respective assessment/acceptance processes, there must be sufficient detail within the RSC itself to enable the assessment/acceptance bodies to be satisfied that the respective assessment/acceptance criteria are met. 1.6 RSC audience The RSC must describe which posts and roles identified within the RSC are intended and expected to use the RSC. 1.7 RSC to be a controlled document The RSC must be a controlled document, with all pages dated and numbered. Although not mandatory, it is recommended that paragraphs be individually numbered to facilitate the assessment/acceptance process. 1.8 Clarity/lack of ambiguity The description of the operation and arrangements within the RSC must be clear and unambiguous to allow all of the assessing/accepting bodies to satisfy themselves that the respective assessment/acceptance criteria are met. Language used must be appropriate to all users of the RSC. These principles also apply to the documents referred to in 1.14 below. 1.9 RSC to be statement of current state The RSC must be a statement of the intended operation and the arrangements to be applied to that operation. It must therefore be written to provide a description of the operation and arrangements which will be current and accurate from the date of implementation RSC to be kept up to date The RSC must be kept up to date with all changes to the description of the operation and arrangements being incorporated into the RSC prior to implementation (RSC Regulation 7) Level of detail - general principles Railtrack s and Railway Safety s responsibilities in assessing an operator s RSC are described in detail in Railtrack s own RSC. It is for Railtrack and for Railway Safety to determine how much detail of particulars of arrangements requires to be included, as a minimum, in an operator s RSC to enable a recommendation for acceptance to be made to HSE. The level of detail required on specific arrangements is influenced heavily by the requirements of Railtrack s own RSC, the framework of RGS, and the extent to which these arrangements mitigate risk in relation to train and station operation and legislative requirements. Since the assessments carried out by Railtrack and Railway Safety are in accordance with the scope shown in sections 1.3 and 1.4 of this Appendix A, the additional requirements that the RSC Regs 2000 require operators to be included within their respective RSC are not included within this Appendix A. Accordingly, neither Railtrack nor Railway Safety may review these arrangements. Regulation 5(5) of the RSC Regs 2000 requires Railtrack to advise HSE of those arrangements and procedures contained within the RSC not assessed. Throughout the assessment criteria in Appendix A, frequent use is made of the terms describe the arrangements or description of the arrangements. The level of detail that Railway Safety require to be incorporated within the RSC should be confined to summarising the principal components of the relevant duty holder s standards and procedures that make up the management processes and control systems of the duty holder s safety management system. These supporting documents must be referenced within the description provided in the RSC. Where Railway Safety do not consider that sufficient detail has been provided within the RSC, the duty holder will be requested to enhance slightly upon the level of detail provided. This may, for example, be necessary to give assurance that the arrangements a duty holder has in place meet the minimum requirements of a particular RGS. If sufficient detail is not provided, Railway Safety may request to see supporting documentation as part of its assessment of the RSC. 16 RAILWAY SAFETY

19 Page 17 of Relationship between RSC and RGSs Mandatory controls are specified in RGSs to which the operator gives a global commitment to comply ( see section 4.4). The RSC must contain those arrangements on which the RGS allows flexibility, with sufficient detail to give Railtrack and Railway Safety the assurance that the arrangements are adequate in relation to the scope of operation and the risks. Further details of these arrangements may be in the operator s own internal documentation, which must be available to the assessing bodies for scrutiny, if necessary, during compliance audit, and evaluation checks. The overall principles are as follows: a) The RSC must include a clear, unambiguous statement that the operator is committed to comply with all RGSs relevant to activities within the scope of its RSC. b) The operator is not required to repeat any of the content of a RGS simply to demonstrate understanding. However, the description of arrangements in the RSC must be consistent with the content of relevant RGSs. c) Where a RGS requires, or recommends, that the operator has certain arrangements in place, and these arrangements are significant in relation to risk mitigation for train or station operation, the RSC must describe these arrangements, referencing the appropriate RGS. d) Where a RGS is supported by a RACOP, the RSC must either confirm that the operator adopts the RACOP, or describe the alternative means by which the operator complies with the RGS. In the latter case the panel will judge the alternative arrangements against the RACOP. e) The criteria listed in this document give clear guidance on what additional details are required in a RSC in relation to specific RGSs. The duty holder must understand that failure to comply with the requirements of a RGS means the duty holder is in breach of his RSC and therefore, non-compliant with the RSC Regs Contents and glossary Although not mandatory, it is recommended that a contents page and glossary of terms is included to facilitate the assessment/acceptance process and management of the RSC Procedures and standards referenced in the RSC The RSC must describe where any procedures, instructions or company standards that are referenced within the RSC can be found and that the status of these documents in context of the duty holder s SMS arrangements is explained. 2 Duty Holder 2.1 Name and address of duty holder The RSC must contain the name and full registered address of the duty holder. The duty holder must be a corporate body and the name and address must be identical to that on the operator s licence or exemption from licence. Although this not a requirement of the RSC Regs 2000, this is a requirement of the Railways Act 1993 in relation to the operator s licence. (RSC Regs, schedule 1, para 1) A change to the name or address of the duty holder will always be dealt with as a material change although, provided nothing else is changing, it will not be assessed by a panel of assessors. When a proposal to change the name or address of a duty holder is submitted, the operator should simultaneously apply to ORR to change the name/address on the licence. 2.2 Relationship with holding company Where the duty holder is either a franchise held by another company or is a corporate body within a larger organisation, the RSC must identify the holding RAILWAY SAFETY 17