APPLICATION FOR A SAFETY CERTIFICATE

Transcription

1 APPLICATION FOR A SAFETY CERTIFICATE Part B (Railways and Other Guided Transport Systems (Safety) Regulations 2006) April

2 Contents - Part B Application Contents & Glossary Page Contents 2 Glossary of Terms 3 General Page B0.1 Purpose 6 B0.2 Application for a Safety Certificate Part B 6 B0.3 Maintenance of The Document 6 B0.4 Amendment History 7 MTU Criteria BA: Compliance with network-specific rules Page BA.1 Specific Rules & Risks Associated with The Network 7 (a) Technical Standards for Interoperability 7 (b) National Safety Rules 8 (c) Other Relevant Safety Requirements 8 (d) Wider, applicable Health & Safety Legislation 8 (e) Railway Group Standards 9 BA.2 Specific Risks 10 BA.3 Interaction with IM and other Railway Undertakings 10 BA.4 Emergency Management 10 BA.5 Compliance with Accident/Incident Rules 10 MTU Criteria BB: Compliance with network-specific requirements for staff competence Page BB.1 Competence Management System 10 (a) Safety Related Tasks 10 (b) Delivery of Competent Staff 11 BB.2 Organisation of Work 14 BB.3 Documentation 14 MTU Criteria BC: Compliance with network-specific requirements for management of rolling stock Page BC.1 Rolling Stock Operated by GBRf 15 BC.2 Compliance with Operational Restrictions 15 BC.3 Additional Maintenance Requirements 17 BC.4 Management of Rolling Stock Incidents 17 Appendices Appendix A - List of Principal Technical Specifications for Interoperability and Railway Group Standards applicable to GBRf Operations Page 18 2

3 Glossary of Terms AC ALARP BSRG BTP CIRAS CMS COSHH CSI CSM CST DC DCP DfT EC ECM EMU ENTO ERA ESG EU FOC GBRf HazRep HLOS HMRI HSE Alternating Current As Low as Reasonably Practicable Business Standards Review Group British Transport Police Confidential Incident Reporting and Analysis System Competency Management System Control of Substances Hazardous to Health Common Safety Indicator Common Safety Method Common Safety Target Direct Current Designated Competent Person Department for Transport European Commission Entity in Charge of Maintenance Electric Multiple Unit European Network of Training Organisations European Rail Agency Executive Safety Group European Union Freight Operating Company GB Railfreight Ltd Hazard Reporting System High Level Output Specification Her Majesty s Railway Inspectorate Health & Safety Executive HSWA Health & Safety at Work etc Act 1974 IOSH Institution of Occupational Safety & Health 3

4 ISO JD KPI LUL MIM MTU NSFG NIR NNTR NOBO NR NRCI NSR OPSRAM ORR OSM PPE QRA RAIB RFOG International Standards Organisation Job Description Key Performance Indicator London Underground Limited Mainline Infrastructure Manager Mainline Transport Undertaking National Freight Safety Group National Incident Report Notified National Technical Rule (for Interoperability) Notified Body Network Rail Network Rail Controlled Infrastructure National Safety Rule Operations Safety Reduction & Mitigation Group Office of Rail Regulation Operational Standards Manual Personal Protective Equipment Quantified Risk Assessment Rail Accident Investigation Branch Rail Freight Operations Group RGS RIDDOR Railway Group Standard The Reporting of Injuries, Diseases, and Dangerous Occurrences Regulations 1995 RIR Railway Interoperability Regulations 2011 RIS RISAS ROGS ROSCO RPB RSSB RSSP Railway Industry Standard Rail Industry Supplier Accreditation Scheme Railways and Other Guided Transport System (Safety) Regulations 2006 Rolling Stock Leasing Company Risk Profile Bulletin Rail Safety & Standards Board Railway Strategic Safety Plan 4

5 RU SDC SMS SMIS SPAD SRM SRS Railway Undertaking Service Delivery (Control) Centre Safety Management System Safety Management Information System Signal Passed at Danger Safety Risk Model Safety Responsibility Statement TDLCR Train Driver Licenses & Certificates 2010 TEN TOC TOLO TSI UK Trans European Rail Network Train Operating Company Train Operator Liaison Officer Technical Standards for Interoperability United Kingdom of Great Britain & Northern Ireland 5

6 B 0.1 Purpose B0.1.1 In accordance with regulation 3 of the Railways and Other Guided Transport Systems (Safety) Regulations 2006 (ROGS), GBRf is not permitted to operate trains or manage infrastructure unless it holds a relevant safety certificate and safety authorisation for the operation in question. B0.1.2 This document, which together with the Part A submission, comprises GBRf s formal application to the Office of Rail Regulation (ORR) for a Safety Certificate in respect of its continued operations as a Railway Undertaking. The submissions provide the necessary evidence that GBRf s safety management system (SMS) meets the specified requirements of ROGS and thereby demonstrates its capability of undertaking relevant train and infrastructure operations safely. B0.2 Application for a Safety Certificate Part B B0.2.1 This document has been structured along the lines of the relevant criteria (for a Mainline Transport Undertaking: Part B - MTU Criteria BA - BC) as contained and described within the ORR s Assessment Criteria for Safety Certificate and Authorisation applications made under ROGS (April 2011). GBRf considers that the evidence contained within the document meets all the criteria required for the granting of the relevant Part B of the Safety Certificate. The application document has been structured in two parts: B02.2 A separate application has been made for Part A of the Safety Certificate. These applications should be read in conjunction and GBRf believe will ensure compliance with these provisions. B02.3 This application demonstrates: (i) that GBRf has identified the relevant national provisions required to operate (as a Mainline Transport Undertaking) on the GB mainline network (i.e. that operated by Network Rail) and (ii) how GBRf s SMS (as described in Part A) will ensure compliance with these provisions B0.3 Maintenance of the Application Document B0.3.1 The Head of Safety is responsible for maintaining the Application Documentation. B0.3.2 The Application Document forms a high level overview of GBRf s SMS and takes the form of a signpost document to the SMS to assist managers in understanding the SMS and accessing supporting documentation. Relevant documents within the SMS, supporting the information within this application, are indicated throughout the application by the following symbol: B0.3.3 The information in the document will be kept up to date through the use of GBRf s change management and document control processes. B0.3.4 Where GBRf proposes to make a substantial change to the type or extent of its operation, an application will be made to ORR (as required by regulations 8 and 11 of ROGS) for an amended Safety Certificate before any such change is introduced, as described in: OSM 215: Substantial Changes to GBRf s Safety Certificate B0.3.5 GBRf will notify ORR without delay when making any major changes that affect the Safety Certificate or Safety Authorisation (as defined in, and required by, regulation 13 of ROGS). 6

7 B0.4 Amendment History Version Date Description 1.0 Nov 2007 Draft Application for GBRf s first Safety Certificate, 2.0 March 2008 Final reiteration following departmental consultation 3.0 March 2008 Final submission document as submitted to ORR and affected parties 4.0 June 2008 Re-submission following amendments required by ORR 5.0 July 2008 Re-submission following minor amendments required by ORR 6.0 Oct 2008 Updated following SMS changes 7.1 Feb 2009 Re-submission incorporating Operation of Passenger Trains & Legislative changes 7.2 May 2009 Re-submission following consultation amendments 8.1 Dec 2010 Re-submission following change of ownership 9.1 Mar 2013 New submission due to expiry of certificate and ECM/TDLCR MTU Criterion BA.1 Compliance with Network Specific Rules. BA1.1 Specific Rules & Risks Associated with the Network BA1.1.1 GBRf undertakes its activities in accordance with the requirements of relevant: (i) national and international standards; and (ii) UK legislation. These requirements are contained within: Technical Standards for Interoperability (TSIs); National Technical Rules (NTR) National Safety Rules (NSRs); and other relevant safety requirements. BA1.1.2 A brief description of these principal requirements, together with an overview of those parts of each that have particular relevance to GBRf s activities, is contained below. Also included below are references to GBRf s capability for applying and ensuring compliance with these requirements, and how it deals with Temporary Non-Compliances and Derogations to specific other relevant safety requirements. BA1.1.3 The processes within the SMS for compliance with these principal requirements are outlined MTU (Part A) Criteria E). This section provides details of GBRf s understanding and application of the principal standards and legislation applying to its operations. (a) Technical Standards for Interoperability BA1.1.5 TSIs describe the technical details of all those sub-systems relevant to the implementation of interoperability, as required by the High Speed and Conventional Interoperability Directives. Development of TSIs is the responsibility of the European Rail Agency (ERA). BA1.1.6 In addition to complying with relevant TSIs, GBRf complies with relevant Notified National Technical Rules for Interoperability (NNTRs), which are notified rules (standards) to either support or fill identified gaps or open points within the TSIs. The purpose of NNTRs is to provide additional controls to ensure that the essential requirements as required by the Interoperability Directives are met. The Department for Transport (DfT) is responsible for the 7

8 notification of NNTRs to the European Commission (EC), based on recommendations and advice from the Rail Safety & Standards Board (RSSB). (b) National Safety Rules BA1.1.7 National Safety Rules (NSRs) are legislation and other requirements notified to the EC by each EU national safety regulator. GBRf complies with NSRs registered by the ORR and applicable in GB, including: general duties under the Health & Safety at Work etc Act 1974 (HSWA) and other relevant railway legislation such as: o ROGS; o Railway Safety (Miscellaneous Provisions) Regulations 1997; o Level Crossings Regulations 1997; o Transport of Dangerous Goods by Rail Regulations 1994 o The Railways (Class and Misc Exemptions) Order 1994 and; o specific provisions in the Transport and Works Act BA1.1.8 ORR is responsible for maintaining a full and accurate list of notified NSRs, which is made available to all interested parties (including GBRf) on their web-site. (c) Other Relevant Safety Requirements BA1.1.9 The term other relevant safety requirements refers to wider applicable health and safety legislation (i.e. not specifically railway related) and Railway Group Standards (RGS). (d) Wider, applicable health & safety legislation BA As well as complying with the requirements of HSWA (as mentioned above), GBRf ensures compliance with the relevant statutory provisions made under the Act (including specific Regulations and Approved Codes of Practice) by maintaining a Register of Applicable Legislation. Examples of those most relevant to GBRf s activities are: Legislation of General Application, such as: o Health & Safety (First Aid) Regulations 1981; o Information& Consultation of Employees Regulations 2004 o Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1995; o Management of Health and Safety at Work Regulations 1999; Legislation on Machinery & Equipment (General), such as: o Personal Protective Equipment at Work Regulations 1992; o Provision & Use of Work Equipment Regulations 1998; Legislation on Machinery & Equipment (Specific), such as: o Health and Safety (Display Screen Equipment Regulations 1992; o Electrical Equipment (Safety) Regulations 1994; o Lifting Operations and Lifting Equipment Regulations 1998; Legislation on Manual Handling, such as: o Manual Handling Operations Regulations 1992 (amended 2002); Legislation on Workplaces, such as: o Workplace (Health, Safety and Welfare) Regulations 1992; o Confined Spaces Regulations 1997; o Working at Height Regulations 2005; 8

9 Legislation on Substances, Noise, Radiation and other Phenomena Hazardous to Health, such as: o Control of Substances Hazardous to Health Regulations 2002; o Control of Asbestos at Work Regulations 2006; o The Regulatory Reform (Fire Safety) Order 2005; o Control of Noise at Work Regulations 2005; Legislation on Construction such as: o Construction (Design and Management) Regulations Legislation on Working Time such as: o Working Time Regulations (e) Railway Group Standards BA BA BA BA The purpose of RGS is to provide a framework for system safety and safe interworking by providing clear, concise and cost effective standards which encourage compliance and consistency without hindering innovation. The RSSB is responsible for the production and upkeep of RGS. Mandated on UK Mainline Transport Operators through their respective licences to operate, RGS are technical and operational standards which set out the requirements for system safety and safe inter-working. RSSB has integrated the management of RGS with the work that it does to support the industry on TSIs: the approach adopted by RSSB to align RGS with the European standards framework is set out in the Strategy for Standards Management, updated and approved by RSSB s members (which now include GBRf) in October The production, revision, acceptance and withdrawal of RGS is governed by the Railway Group Standards Code, issue 3, which came into force on 7 th June RSSB has broken down RGS into various subject areas, as follows: Control Command and Signalling; Plant; Rolling Stock; Infrastructure; Traffic Operation and Management; and Energy. BA GBRf has identified the principal RGSs relevant to its activities and has grouped them against the type of activity to which they are relevant, namely: Network Operating Rules; Rail Vehicle Acceptance; Rail Vehicle Design; Rail Vehicle Maintenance; Safety Critical Activities and Competence; Reporting and Investigation of Accidents; and Emergency Preparedness. BA The principal RGS in each of the groups above are listed in Appendix 1 to this application. 9

10 BA2 BA2.1 BA3 Specific Risks GBRf s processes for identifying hazards and managing risk applicable to its operations are described in MTU (Part A) Criteria A and M. These risk assessments are specific to operations on the UK Network (i.e. NRCI), where necessary utilising information on industry risk provided by RSSB. Interaction with Infrastructure Manager and other Railway Undertakings BA3.1 GBRf recognises the importance of co-operation with other railway undertakings and industry bodies to achieve network safety. The key interfaces, as described further in MTU (Part A) Criterion A, are as follows: Network Rail (as Mainline Infrastructure Manager); Infrastructure Managers that operate yards, depots and sidings at which GBRf services call; Transport Undertakings that operate trains that call at GBRf operated locations; Transport Undertakings that operate trains over the same routes as GBRf; Emergency Services in respect of emergency planning; and RSSB regarding the issue and development of RGSs and the RSSP. BA3.2 The arrangements by which GBRf interacts with the IM and other Railway Undertakings operating on the network, including details on how information is shared, are described in detail in MTU (Part A) Criteria A and O. BA.4 Emergency Situations BA4.1 The arrangements by which GBRf deals with emergency situations on the network, including co-ordination with the IM and the relevant public authorities, are set out in detail in MTU (Part A) Criterion R. BA.5 Compliance with Accident/Incident Reporting Rules BA5.1 GBR s arrangements for identifying and ensuring compliance with accident and incident reporting rules are set out in detail in MTU (Part A) Criterion Q. MTU Criteria BB: Compliance with network-specific requirements for staff competence (This Section should be read in conjunction with MTU (Part A) Criteria E & N) BB.1 Competence Management System (a) Safety Critical Tasks BB1.1 GBRf has identified all tasks required to run its operation safely and has systems in place to ensure that these are carried out in accordance with TSIs, National Safety Rules and other relevant safety requirements, as described below. BB1.2 Additionally, GBRf identifies and determines those duties that are safety critical in accordance with the definition of safety critical work and safety critical task contained in regulation 23 of ROGS. GBRf has identified the following tasks as being safety critical in nature: 10

11 train driving; train working (inc passenger train guard) shunting; train & traction unit preparation loads examinations coupling & uncoupling operations train despatch traction unit & wagon maintenance. BB1.3 In addition, certain non-safety critical posts have delegated authority for specific matters that are essential to the safety of GBRf s operations and as such to ensuring the health and safety of staff, passengers and any other persons who may be affected by GBRf s activities. These posts are defined as being key safety posts. BB1.4 GBRf has identified key safety posts where the holder is involved in: Setting or monitoring standards for operational activities; provision of instruction, information, guidance and advice essential for day-to-day operations; and setting and monitoring training standards. BB1.5 Examples include the Executive Team, Professional Heads and Informed Buyers (as described further in MTU (Part A) Criterion E.2) and members of the Safety Department. (b) Delivery of Competent Staff BB1.6 BB1.7 GBRf s general arrangements for managing competence of staff, including those undertaking safety critical work, are described in MTU Part A, Criterion F. These arrangements also include those relating to recruitment, training, assessment and keeping of records. Specific arrangements relating to safety critical activities are detailed below. Train Drivers (Train Managers) BB1.8 BB1.9 In addition to general requirements GBRf applies specific criteria to the recruitment of train drivers. A range of psychometric tests is used for evaluating probable driving performance and the likelihood of an individual being involved in safety related incidents. The tests are designed to meet the criteria specified in RGS GO/RT3451: Train Movements Staff Suitability & Fitness Requirements and its associated Approved Code of Practice GO/RC3561. Training is to a modular programme and all new entrants have to meet requirements of RGS GO/RT3451 in addition to the appropriate psychometric tests in accordance with the RSSB Approved Code of Practice RO/RC3561. BB1.10 Typically, staff selected to become drivers will have gained a minimum of two-year s operational experience as ground staff, prior to being selected. A trainee will undertake the following modular training, delivered over a period of not less than 40 weeks duration: Industry Rules & Regulations; traction and train operating knowledge; critical risk training route knowledge; and 11

12 practical driving skills through driving under supervision (including a prescribed number of hours in darkness). BB1.11 GBRf complies with the arrangements outlined in ATOC Codes of Practice for the training and maintenance of route and traction knowledge. BB1.12 The Head of Operations is responsible for ensuring competency standards are developed for Train Driving. The Operations Training Centre provides trainers who are occupationally and vocationally competent. BB1.13 GBRf ensures that all formal operating training and competency based assessments, both initial and post-training, are carried out by personnel qualified to a common standard across the company. Training and assessments are the tools used to ensure that employees are competent to undertake the tasks associated with their job and that they consistently demonstrate that these standards are maintained after training. BB1.14 GBRf s system for assessment of train drivers provides for enhanced assessment and monitoring of newly qualified drivers during their first two years of driving. BB1.15 Drivers are assessed throughout the training programme using a mixture of formal off the job assessment, such as rules & regulations assessments and direct observation of practical driving skills within the cab environment. BB1.16 Train drivers are subject to ongoing assessment covering all activities associated with their duties and using a range of tests and conditions. BB1.17 The purpose of the assessment process is to ensure that any areas of weakness in the driving performance of individuals can be identified and addressed through individual action plans and focussed monitoring before they result in safety of the line incidents. The assessment process has been designed, as far as possible, to take account of human factors that may affect the safety performance of individuals. BB1.18 Where there are circumstances affecting a driver s performance that require special monitoring, this is done in such a way as to permit review and improvement. The monitoring of drivers performance includes practical skills such as the use of professional driving skills. Special monitoring may be undertaken for a variety of reasons including the amount of practical driving experience, the type and nature of driving tasks, following incidents in which the driver has been involved or has identified personal or domestic circumstances. BB1.19 Operations Standards Managers undertake formal and unobtrusive monitoring of drivers, including periodic cab rides. OTMR downloads are also analysed by the Regional Risk or Production Managers on an ongoing basis. OSM 104: Training of Train Managers ; and OSM 106: Competence and Performance Management of Train Managers. OSM 311: OTMR Data Extraction & Analysis. Terminal Operatives & Assistant Train Managers (Shunters & Ground Staff) inc Passenger Train Guard BB1.20 Basic training for terminal operatives and assistant train managers is carried out by competent trainers using processes that are fully compliant with RGSs. Training is modular in structure to meet the requirements of RGS GO/RC3561: Recommendations for train movement Suitability & fitness requirements and consists of the following elements: 12

13 company and railway operations inductions (including PTS); Rules and Sectional Appendix Training; rolling stock familiarity; and route and depot knowledge. BB1.21 The Head of Operations is responsible for ensuring the development of competency standards for terminal operatives and assistant train managers. The Operations Training Centre provides qualified trainers who are occupationally and vocationally competent. BB1.22 On completion of training all terminal operatives and assistant train managers are assessed for competency before they may commence their duties,. BB1.23 Specific modules containing passenger train preparation, shunting, train despatch and controlled/emergency evacuation procedures are contained within OSM 103 & OSM105. Assistant train managers nominated to work passenger trains are trained and assessed for competence in these specific modules before they commence their duties. BB1.24 An assessment file is kept for each terminal operative and assistant train manager which allows evidence of competence to be maintained and judged. The file includes information on the date when reassessment is due. BB1.25 In order to robustly operate passenger services, GBRf trains selected individuals from the Assistant Train Manager cohort in the duties of Passenger Train Guard. These employees manage on-train safety and passenger train interface. An additional training module is delivered to these selected staff, based upon the emerging passenger train requirements of the business, but as a minimum includes: Passenger vehicle familiarisation Train preparation/disposal Shunting of passenger vehicles Coupling/uncoupling of passenger vehicles Controlled and emergency evacuation procedures Train despatch methodology Air conditioning failures in hot weather BB1.26 The Head of Operations is responsible for the maintenance of this training course and will ensure that the syllabus is revised in the light of emerging business needs. BB1.27 The Head of Operations is responsible for ensuring the development of competency standards for Passenger Train Guards. The Operations Training Centre provides qualified trainers who are occupationally and vocationally competent. BB1.28 On completion of training all passenger train guards are assessed for competency before they may commence their duties, in accordance with RGS GO/RT3451: Train Movements Staff Suitability & Fitness Requirements. Ongoing assessment is to a defined programme. BB1.29 Passenger train guards are subject to ongoing assessment covering all activities associated with their duties and using a range of tests and conditions. BB1.30 The purpose of the assessment process is to ensure that any areas of weakness in the operating performance of individuals can be identified and addressed through individual action plans and focussed monitoring before they result in safety of the line incidents. The assessment process has been designed, as far as possible, to take account of human factors that may affect the safety performance of individuals. 13

14 BB1.31 An assessment file is kept for each passenger train guard which allows evidence of competence to be maintained and judged. The file includes information on the date when reassessment is due. Control Room (Service Delivery) Staff BB1.32 Staff in GBRf s Control Centre have a role in controlling train movements and are therefore classed as Safety Critical. Additional measures to ensure that these staff are fit and competent to undertake their duties are contained in GBRf OSM 102. OSM 103: Training of Ground Staff ; OSM104: Training of Train Managers OSM 102: Competence and Performance Management System. OSM 116; Operation of Passenger Trains OSM114; Internal Verification of Competence & Performance BB.2 Organisation of Work BB2.1 GBRf has resourcing processes in place ensure that individuals who carry out safety critical work are only rostered to carry out the safety critical activities for which they are certificated as competent and fit to do so, and in the case of Train Managers have current knowledge of the route concerned. BB2.2 Staff responsible for resource allocation are provided by line management with up to date information on the competence and medical fitness status of individuals. BB2.3 When an incident occurs that may have been caused, wholly or in part, by a lack of competence in carrying out safety critical activities, the individual s certification is withdrawn and they are not allowed to undertake any safety critical activities until an assessment of competence has been carried out and the employee is able to demonstrate that the required standards of competence have been met. BB2.4 Further information relating to the allocation of competent staff to relevant tasks can be found I n MTU (Part A) Criterion F.4. BB.3 Fitness for Purpose of Training Documents BB3.1 Safety training requirements are identified on each employee s Safety Responsibility Statement and/or Job Descriptions. It is the responsibility of the Line Managers to ensure that adequate resource and time are made available to enable this to be achieved. BB3.2 Training is resourced through the HR Department. Where courses are managed and delivered internally, the materials are prepared by individuals with proven and demonstrable competence in the field of training. Individuals that carry responsibility for the production of safety information ensure that it is accurate, relevant, complete and documented in the correct format. Before any safety information or controlled document is circulated, the content will be subjected to an internal review to ensure that it is accurate and complete. The technical content of all safety training from internal or external providers must be approved by the Head of Operations. This ensures that the materials are suitable, current, and comprehensible to the intended candidates. BB3.3 GBRf s arrangements and procedures for the provision of accurate and complete safety information to all workers are described in MTU (Part A) Criterion O. These cover the receipt, identification, selection, dissemination and recording of information, method and formatting of 14

15 relevant documentation. It also describes how employees are made aware of the relevant documentation and how any changes to existing information are controlled. MTU Criteria BC: Compliance with network-specific requirements for management of rolling stock BC1 Rolling Stock Operated by GBRF (This Section should be read in conjunction with Part A, MTU E, L, M & R) BC1.1 Rolling Stock operated by GBRf is shown in the following table, complete with relevant ECM reference for freight vehicles. Fleet No of Units Build Date Power Supply Max Speed mph Class Diesel Electric 75 Class DC Electric/ Diesel Electric 90 Keeper HSBC / Porterbrook/GBRf GBRf / Network Rail Class 08/ Diesel Electric 15 GBRf ECM N/A N/A N/A HYA, IIA Wagons n/a 75 HSBC / Porterbrook Wabtec Rail FEA-A, FEA- B, FEA-C, IKA n/a 75 HSBC Wabtec Rail MLA, MRA, HQA n/a 60 HSBC VTG PCA n/a 60 Alcan CCL TUA n/a 60 PCL Ltd Axiom GLV n/a 90 Network Rail Arlington Beilhack/ Independent Snowploughs Various Mk1, Mk2 & Mk3 Coaching Stock Various types of EMU & DMU n/a 45 Network Rail Network Rail Ad-hoc 19XX n/a Various 3 rd Party Ad-hoc 19XX - date Diesel, AC & DC Electric Various leasing companies and private owners Various Various BC.2 Compliance with Operational Restrictions applicable to Rolling Stock BC2.1 GBRf will only operate rolling stock that complies fully with relevant TSIs, NSRs and other relevant safety requirements in terms of design, approval, maintenance and renewal/upgrading. BC2.2 GBRf will ensure that vehicles are allowed into service only if they have, in particular: undergone and satisfactorily completed the approvals regime that is/was in force at the time; been assessed as compatible with the infrastructure on which they will operate (in accordance with RGS GE/RT8270 Assessment of Compatibility of Rolling Stock and Infrastructure ); 15

16 been maintained in accordance with the requirements set out in RGS GM/RT2004 Requirements for Rail Vehicle Maintenance ; been registered on the National Vehicle Register; and been allocated a specific Entity in Charge of Maintenance. BC2.3 All rolling stock operated currently by GBRf has been granted approval to operate on Network Rail Controlled Infrastructure (NRCI), in accordance with the verification scheme in place at the time of their introduction (The Railways and Other Transport Systems (Approval of Works, Plant & Equipment) Regulations 1994 (ROTS)). BC2.4 BC2.5 Service operation of GBRf s T&RS shall be in accordance with: relevant engineering and route acceptance authorisation, and any conditions imposed; RGS (including the Rule Book GE/RT8000) and the Network Rail Sectional Appendix. The Principal TSIs, Other Standards and Safety Requirements (Design) are detailed below: (a) National Safety Rules The Railways (Interoperability) Regulations 2006; and The Railways and Other Guided Transport Systems (Safety) Regulations (b) Other Relevant Safety Requirements (i.e. RGS) GM/RT2000: Engineering Acceptance of Rail Vehicles; GM/RT2001: Design Scrutiny for the Acceptance of Rail Vehicles; GM/RT2043: Braking System & Performance for Freight Trains; GM/RT2044: Braking System Requirements for Multiple Units; GM/RT2045: Braking Principles for Rail Vehicles; GM/RT2100: Structural Requirements of Rail Vehicles; GM/RT2130: Vehicle Fire Safety & Evacuation GM/RT2141: Resistance of Railway Vehicles to Derailment and Roll- Over; GM/RT2142: Resistance of Railway Vehicles to Roll-Over in Gales; GM/RT2149: Requirements for Defining and Maintaining the Size of Railway Vehicles; GM/RT2160: Environment inside Railway Vehicles (audibility of detonators & control of pressure pulses); GM/RT2161: Requirements for Driving Cabs of Railway Vehicles; GM/RT2162: Traincrew Access to and Egress from Railway Vehicles; GM/RT2185: Train Safety Systems; GM/RT2190: Requirements for Rail Vehicle Mechanical and Electrical Coupling Systems; GM/RT2260: Design for the Recovery of Railway Vehicles; GM/RT2456: Structural Requirements for Windscreens and Windows on Railway Vehicles; GM/RT2457: Structural Requirements for Doors and Gangways on Railway Vehicles; GM/RT2461: Sanding Units fitted to Multiple Units and On-Track Machines; GM/RT2466: Railway Wheelsets; GM/RT2472: Data Recorders on Trains - Design Requirements; GM/RT2483: Visibility Requirements for Trains; GM/RT2484: Audibility Requirements for Trains GM/RT2491: Design Requirements for a Driver s Reminder Appliance; GE/RT8015: Electromagnetic Compatibility between Railway Infrastructure and Trains; 16

17 GE/RT8030: Requirements for the Train Protection and Warning System; GE/RT8035: Automatic Warning System; GE/RT8080: Train Radio Systems for Voice Related Messaging Communications; GE/RT8081: Requirements for GSM-R Voice Radio System; GE/RT8082: GSM-R Cab Mobile, Great Britain Open Interface Requirements; and GE/RT8270: Assessment of compatibility of Rolling Stock and Infrastructure. (c) Other Relevant Safety Requirements (i.e. RGS) GM/RT2004: Requirements for Rail Vehicle Maintenance; GM/RT2030: Axle Bearing Maintenance; and GM/RT2466: Railway Wheelsets BC2.6 The arrangements by which GBRf identify, implement, update and ensure ongoing compliance with TSIs and other mandatory requirements relevant to rolling stock are described in MTU (Part A) Criteria L and M. BC2.7 Any future modifications to rolling stock will be subject to the approvals processes described in MTU (Part A) Criterion M. These include safety authorisation under RIR or safety verification under ROGS where this is required. GBRf s processes for ensuring ongoing compliance with the mandatory approvals regimes are contained within: OSM 505: Engineering Change BC.3 Additional Maintenance Requirements BC3.1 GBRf complies with the requirements of RGS GM/RT2004 Requirements for Rail Vehicle Maintenance in implementing maintenance requirements to the standards detailed on the Acceptance Certificate. GBRF ensures that a train Maintenance & Overhaul Plan is produced for each type of rolling stock. The maintenance contractor is required to implement and manage compliance with the maintenance requirements. OSM 501: GBRf Vehicle Maintenance Policy BC.4 Management of Rolling Stock Incidents BC4.1 GBRf s arrangements for the management of emergencies (including those involving rolling stock) are described in full in MTU (Part A) Criterion R. 17

18 Appendix A - List of Principal Technical Specifications for Interoperability and Railway Group Standards applicable to GBRf Operations (a) Technical Specifications for Interoperability Conventional Rail TSIs Rolling Stock (Noise) TSI (CR NOI 2011/229/EU TSI) 2012/464/EU Rolling Stock (Locomotives and 2011/291/EU Passenger Carriages) TSI (CR 2012/464/EU LOC & PAS TSI) 2012/088/EU Operation and Traffic 2011/814/EU Management TSI (CR OPE TSI) 2012/464/EU Energy TSI (CR ENE TSI) 2011/274/EU 2012/464/EU Infrastructure TSI (CR INF TSI) 2011/275/EU 2012/464/EU TSI Conformity Assessment Modules TSI Conformity Assessment 2011/275/EU Modules 2012/464/EU (b) Railway Group Standards Network Operating Rules GE/RT8000 GE/RT8021 GE/RT8024 GO/RT8030 GO/RT8035 GE/RT8046 GE/RT8047 GE/RT8054 GM/RT2453 GO/RT3208 GO/RT3279 GO/RT3350 GO/RT3437 GO/RT3053 GO/RT3056 GO/RT3471 Rail Vehicle Design GM/RT2044 GM/RT2045 GM/RT2100 GM/RT2130 GM/RT2141 Rule Book (Series) Facilities for Emergency Voice Communications with Control Rooms Persons Working on or Near to AC Electrified Lines Requirements for the Train Protection and Warning System Requirements for Automatic Warning System Spoken Safety Communications Reporting of Safety Related Information Management of Shared Information Systems Registration, Identification and Data to be Displayed on Rail Vehicles Arrangements Concerning the Nonoperation of Track Circuits during the Leaf Fall Contamination Period High Visibility Clothing Communication of Urgent Operating Advice Defective On-Train Equipment Handling and Carriage of Dangerous Goods Freight Train Operations Dangerous Goods Rail Conditions of Acceptance Braking System Requirements and Performance for Multiple Units Braking Principles for Rail Vehicles Structural Requirements for Railway Vehicle Structures Vehicle Fire, Safety & Evacuation Resistance of Railway Vehicles to 18

19 GM/RT2142 GM/RT2149 GM/RT2161 GM/RT2162 GM/RT2176 GM/RT2185 GM/RT2190 GM/RT2461 GM/RT2466 GM/RT2472 GM/RT2473 GM/RT2483 GM/RT2484 GE/RT8014 GE/RT8080 GE/RT8081 GE/RT8082 Rail Vehicle Acceptance GE/RT8015 Derailment and Roll-Over Resistance of Railway Vehicles to Roll- Over in Gales Requirements for Defining and Maintaining the Size of Rail Vehicles Requirements for Driving Cabs of Railway Vehicles Traincrew Access and Egress Air Quality and Lighting Environment for Traincrew inside Railway Vehicles Train Safety Systems Compatibility Requirements for Rail Vehicle Couplings & Interconnectors Sanding Equipment Fitted to Multiple Units and On-Track Machines Railway Wheelsets Data Recorders on Trains - Design Requirements Power Operated External Doors on Passenger Carrying Rail Vehicles Visibility Requirements for Trains Audibility Requirements for Trains Axle Box Condition Monitoring - Hot Axle Box Detection Train Radio Systems for Voice & Related Messaging Communications Requirements for GSM-R Voice Radio System GSM-R Cab Mobile, GB Open Interface Requirements Electromagnetic Compatibility between Railway Infrastructure and Trains GE/RT8016 Verification of Electrification Systems and Interactions with Other Systems GE/RT8270 Assessment of Compatibility of Rolling Stock and Infrastructure GM/RT2000 Engineering Acceptance of Rail Vehicles GM/RT2001 Design Scrutiny for the Acceptance of Rail Vehicles GM/RT2453 Registration, Identification and Data to be Displayed on Rail Vehicles Rail Vehicle Maintenance GM/RT2004 Rail Vehicle Maintenance GM/RT2450 Qualification of Suppliers of Safety Critical Engineering Products & Services Safety Critical Activities & Competence GE/RT8070 Testing Railway Safety Critical Workers for Drugs and Alcohol GO/RT3451 Train Movement - Staff Suitability & Fitness Requirements Reporting and Investigation of Accidents & Incidents GE/RT8106 Management of Safety Related CCS Systems Failures GE/RT8250 Reporting High Risk Defects GM/RT2273 Post Incident Testing and Post Accident Testing of Rail Vehicles 19

20 Emergency Preparedness GO/RT3118 GO/RT3119 GO/RT3437 GO/RT3600 Incident Response Planning & Management Accident and Incident Investigation Defective On-Train Equipment Requirements for Operational Security Response & Planning 20