Evaluation of the way in which national safety rules are published and made available Annex 26 Country report for United Kingdom

Transcription

1 EUROPEAN RAILWAY AGENCY Safety Unit Evaluation of the way in which national safety rules are published and made available Reference: /INF/ /SAF Version: 1.0 Date: 22 November 2010 Status: Final Author: Sector for Safety Regulation /INF/ /SAF Version 1.0 Page 1/27

2 Version Control Evaluation of the way in which national safety rules are published and made available Document issued by: Released by: Reviewed by: Author: European Railway Agency 120 rue Marc Lefrancq F Valenciennes France Kurt Lentz Jan Christensen, Kurt Lentz, Natalja Skačenko Sector for Safety Regulation Version: 1.0 Date: 22/11/2010 Type of document: Status of document: Final report supporting paper annex Final Amendment records Version Issued by Modified sections Distribution 0.1 KL Internal/sector 0.2 KL All input of analysis from masterfiles Internal/sector KL External consultation 0.6 KL Summary conclusion table added Internal/sector 1.0 KL Final version External /INF/ /SAF Version 1.0 Page 2/27

3 Table of Contents Evaluation of the way in which national safety rules are published and made available 0. Foreword Introduction General Description Great Britain Northern Ireland Particularities Practice Analysis tables Summary conclusions /INF/ /SAF Version 1.0 Page 3/27

4 0. Foreword Evaluation of the way in which national safety rules are published and made available This is the country report for United Kingdom, annex 26 to the Supporting Paper to Final Report Evaluation of the way in which national safety rules are published and made available (/INF/ /SAF). Information in this report provides an overview of the current status of activities implied by Articles 4(1), 8(1), 12(2-3), 16(2)(f) and 17(1) of the Railway Safety Directive 2004/49/EC, as well as indicates possible room for developing relevant procedures and practice. Abbreviations used in this document are common to all annexes and are explained in the Supporting Paper. Information in this report was validated by the Member States representatives in RISC. A reservation should be made concerning the information and summary conclusions in this report taking into account constant development of the NSR-related activities in the Member States, as well as the primary purpose for the Agency s task and methodology for collecting the relevant information: the Agency s evaluation aimed to establish a general picture on how NSR are published and made available in the Member States. It was not the purpose for the Agency s task to describe these activities in detail and check their compliance with the Railway Safety Directive. 1. Introduction 1.1. General Description Due to the differences, the UK will be described in two parts: Great Britain Northern Ireland Great Britain Legislation Primary legislation (acts of parliament) allow for relevant secondary legislation to be made by the Government and approved by the parliament. The Rail Safety & Standards Board (RSSB) sets up standards and recommendations which are mandatory to the operators on the GB mainline railway (including the open access operators) as part of the operators licences. A condition to get a licence is to be a member of the RSSB and as such you are bound by its rules. Exceptions to this rule are the Channel Tunnel, HS1 1 and Northern Ireland Organisation The Department for Transport (DfT), i.e. the Ministry, is responsible for government policy on railways. The Office of Rail Regulation (ORR) is the NSA, the regulatory body and the licensing authority as required under the first and second rail packages. ORR is responsible for issuing safety certificates, safety authorisations and enforcing the railway safety legislation. The Rail Safety & Standards Board (RSSB) is the industry coordination body, setting rules for safety issues. 1 The High Speed Line 1, the high speed line link between London St Pancras station and the Channel Tunnel, also known as the Channel Tunnel Rail Link. /INF/ /SAF Version 1.0 Page 4/27

5 Railway operations Before privatisation (1993), there was only one big company - British Rail. The privatisation of British Rail was the result of the Railways Act 1993, which broke up and sold off the main functions of British Rail. There are about 25 train operators for passenger traffic and 3 freight operators. Network Rail is the Infrastructure Manager for the mainline railway network in Britain and also manages the infrastructure for the high speed rail link between London and Brussels and Paris (HS1). Network Rail has a licence issued by the ORR. The structure of the railway sector is as follows: Government franchises to train operators. Operators have track access contracts with Network Rail. Funding goes from Government to operators and from operators to Network Rail. All freight operators do not receive funds from the Government since they have to compete in the market. Open access operators for passengers do not have Government franchises and so they do not receive any funding. These kind of operators tend to be regional. For the Channel Tunnel see Annex Northern Ireland Legislation Legislation for covering railway safety in Northern Ireland is derived from separate specific Northern Irish legislation Organisation The Government department (Ministry) responsible for railways in the Northern Ireland is the Department for Regional Development Northern Ireland (DRDNI). The DRDNI is the NSA for Northern Ireland. Safety advice is given to DRDNI by ORR under an agency agreement Railway operations Northern Ireland has an integrated IM and RU - Northern Ireland Railways. It is incorporated in Translink, which is the brand name of the integrated public transport operation of the following branches: City bus Northern Ireland Railways (NIR) Ulster bus 1.2. Particularities The Rail Safety and Standards Board (RSSB) was established in April 2003, in response to recommendations made by Lord Cullen in the report of the second part of the public inquiry into the Ladbroke Grove accident. Previous responsibility for the activities undertaken by RSSB was with the infrastructure manager. The ORR has observer status on the RSSB Board. /INF/ /SAF Version 1.0 Page 5/27

6 1.3. Practice Evaluation of the way in which national safety rules are published and made available The railway undertakings are represented by the Association of Train Operating Companies (ATOC), a representative body for train operators that helps to communicate their opinions to stakeholders, government and the media. 2. Analysis tables This part of the report records the results of the analysis of the information collected from different sources according to the methodology described in the Supporting Paper. /INF/ /SAF Version 1.0 Page 6/27

7 Forms of legislation and types of notified national safety rules Table Total Legal acts of parliament or Royal decrees Government decrees Ministry decrees issued National Safety Authority regulations or rules Other authorities rules and regulations Indirect rules from IM, RU and third parties United Kingdom Regulations 2 type 1 4 type 2 9 type 3 2 type 4 1 type 5 5 type 6 2 type IM rules 2 : 1 type 3 3 type 4 6 type 5 11 type 7 43 Railway Group Standards (RGS): 1 type 2 7 type 3 16 type 4 7 type 5 6 type 6 6 type 7 Table Types of notified rules No of rules of each type United Kingdom Total Type 1 Type 2 Type 3 Type 4 Type 5 Type 6 Type Legal base for IM rules is unclear. Therefore all numbers of rules are indicative. /INF/ /SAF Version 1.0 Page 7/27

8 Table a No of rules of each type Types and sub-categories of notified safety rules Type 1 Rules concerning existing national safety targets and safety methods Type 2 Rules concerning requirements on safety management systems and safety certification of railway undertakings Safety targets Safety methods Safety management systems Safety certification United Kingdom Types and sub-categories of notified safety rules Table b No of rules of each type United Kingdom Type 3 Rules concerning requirements for the authorisation of placing in service and maintenance of new and substantially altered rolling stock that is not yet covered by a TSI. The notification shall include rules for exchange of rolling stock between railway undertakings, registration systems and requirements on testing procedures Testing procedures Authorisation Registration Maintenance Exchange between RUs /INF/ /SAF Version 1.0 Page 8/27

9 Types and sub-categories of notified safety rules Table c No of rules of each type Type 4 Common operating rules of the railway network that are not yet covered by TSIs, including rules relating to the signalling and traffic management system Type 5 Rules laying down requirements on additional internal operating rules (company rules) that must be established by infrastructure managers and railway undertakings Operating rule Signalling rule Traffic management system rule Infrastructure managers Railway undertakings United Kingdom Table d No of rules of each type United Kingdom Types and sub-categories of notified safety rules Type 6 Rules concerning requirements on staff executing safety critical tasks, including selection criteria, medical fitness and vocational training and certification as far as they are not yet covered by a TSI Selection criteria Medical fitness Vocational training Certification Type 7 Rules concerning the investigation of accidents and incidents /INF/ /SAF Version 1.0 Page 9/27

10 Table United Kingdom Responsibilities in establishing safety rules Who is responsible for establishing binding national safety rules Who approves the rules? Legal acts of parliament or Royal decrees Government decrees Ministry issued decrees National Safety Authority regulations or rules - - Parliament - - Other Authorities rules and regulations Indirect rules from IM or RU Third party Rules RSSB Consultation on draft rules Open consultation in general; unclear status and arrangements for draft IM rules - - The Ministry consults the NSA, IM and RUs. In parallel, open consultation takes place with the public. - - The railway sector is represented in RSSB. The NSA participates. In parallel, open consultation takes place with the public. Who drafts/prepares the rules - - Ministry - - RSSB /INF/ /SAF Version 1.0 Page 10/27

11 Table Rule prepared by the Ministry Consultation on draft rules direct rules Rules prepared by the Safety Authority Rule prepared by other authority (insert title) United Kingdom Sent out to organisations like ATOC and RSSB and also published on the website of the Ministry for public consultation - - Table Rule prepared by the IM Rules prepared by RU Consultation on draft rules indirect rules Rule prepared by third party or other United Kingdom - All decisions in relation to RGSs are taken by cross-industry Standards Committees. Anyone, even persons outside of the rail industry, is able to submit a proposal for a change to a RGS. This proposal is then considered by the relevant Standards Committee(s) to determine if any change is needed. If it is, the drafting is done by RSSB (sometimes with the assistance of a drafting group with industry representatives). All members of RSSB are then consulted on the draft RGS, together with any other parties who have told RSSB they wish to be informed of a change to that particular RGS. Any comments received are considered, appropriate changes made and the RGS is approved by the Standards Committee(s). /INF/ /SAF Version 1.0 Page 11/27

12 Table United Kingdom Managing the safety rules system Overall evaluation: Systematic 3 Consultation of stakeholders for feedback on the application of safety rules Monitoring activities of NSA of the application of safety rules Process for updating rules / checking compliance with EU legislation, e.g. TSIs, etc. Taking Safety Recommendations of NIB and others into account Network Rail provides feedbacks to RSSB for Railway Group Standards. Monitoring the inspection activity. Collecting data on accidents and incidents. Research on how legislation is working. ORR makes sure the legislative framework is right. The ORR is an observer in RSSB. The NSA inspects, provide advice to companies and sometimes take legal actions. Monitoring is performed continuously. Note: There is no information on how safety rules system is managed in Northern Ireland. 3 Systematic: when there are processes in place to manage some of the 4 aspects of rule management described above /INF/ /SAF Version 1.0 Page 12/27

13 Table United Kingdom Roles in the Official Publication of national safety rules Forms legislation of Legal acts of parliament or Royal decrees Government decrees Ministry decrees issued National Safety Authority regulations or rules Other authorities rules and regulations Indirect rules from IM or RU Third party indirect rules Published by - - Office of Public Sector Information (OPSI) - - Railway Safety and Standards Board (RSSB) Distributed by - - OPSI and The Stationery Office (TSO) - - RSSB Management of publication process by - - OPSITSO - - RSSB /INF/ /SAF Version 1.0 Page 13/27

14 Table United Kingdom Official publication of direct national safety rules Forms of legislation Legal acts of parliament or Royal decrees Government decrees Ministry issued decrees National Safety Authority regulations or rules Other authorities rules and regulations Official Journal Paper publication - - Electronic version - - Yes, official Yes, official Other official means 4 4 Sources of the original (official) text of the national safety rules provided by publisher and/or distributer /INF/ /SAF Version 1.0 Page 14/27

15 Table Publication of direct national safety rules in Official Journal Original text 5 Consolidated versions Published in Official Journal Does it have legal power Basis for selection for consolidation When / criteria United Kingdom Yes Yes Details of legal status of individual consolidated legal text of national legislation is provided on the UK Statute Law Database Systematic Table Primary source of indirect national safety rules established by RU and IM and third party rules RU IM Third party United Kingdom - RSSB website 5 Still available after consolidation or only current version /INF/ /SAF Version 1.0 Page 15/27

16 Table United Kingdom Publication process Direct rules Indirect rules (IM, RU) Monitoring the publication process Who allocates the roles in publishing? Scope of monitoring process for direct and indirect rules Direct and indirect Collecting feedback from: Users Contact points on the Official Journal web page Other bodies Use of feedback Nothing received Monitoring efficiency of publication Development of the publication process Changes resulting from the implementation of the Railway Safety Directive (RSD) Do these changes or current arrangements comply with Article 8(1) RSD? No - Are further changes necessary? No When will they be implemented? - /INF/ /SAF Version 1.0 Page 16/27

17 Table Direct rules Means by which notified national safety rules are published and made available Country Official national Journal or equivalent Ministerial Safety Authority Other publishing body Other means provided by IM or RU Other means United Kingdom Official Journal online at and printed via The Stationery Office Ministry web site: Web site of the Office of the Rail Regulator: /INF/ /SAF Version 1.0 Page 17/27

18 Table United Kingdom Finding NSR All rules, sub sets or individual rules should be considered Evaluation of the way in which national safety rules are published and made available Official Journal Means to support access to direct rules Website of Ministry Yes, all rules. Some high-level legislation. More information on interoperability than on safety. Website of NSA for Great Britain (ORR) It seems that not all notified rules are found on this website. Website of NSA for Northern Ireland (DRDNI) uk None Obtain a copy of the rules Electronic version for free. Printed copies available for a small fee. Links to ov.uk. Electronic version can be printed or saved for free. Available rules can be viewed online by using the table of content or saved or printed in PDF format, for free. - Links to other relevant rules No Other legislation for railways, notified national technical rules Yes, general safety legislation. A rubric Railway Transport EU Issues provides references to main legal acts of EU and UK, describes functions of DfT and NIB. Links are provided to DfT, Northern Ireland Railways, Irish NSA and DG MOVE websites. /INF/ /SAF Version 1.0 Page 18/27

19 Support provided to aid access e.g. for certificate applicants Evaluation of the way in which national safety rules are published and made available - contacts Yes. There is rubric Regulation and certification which contains information on ROGS: The Railways and Other Guided Transport Systems (Safety) Regulations Elaborated guidance for applicants. There is possibility to subscribe to news by , including news on consultations. Contacts for queries and glossary of the terms. Nor relevant procedures, nor even the role of DRDNI in railway safety is not described. There is no link to the website of ORR which assists DRDNI with advice. No link to RSSB website /INF/ /SAF Version 1.0 Page 19/27

20 User s views on the accessibility of NSR Stakeholders views RU: IM: Others: Evaluation of the way in which national safety rules are published and made available - - RU: Yes, it was pretty easy. The challenge is to get a library or a list of safety rules to have an overview of them. IM: It was easy because they know where to look. Once you know it is easy. Other: The websites work very well. It s possible to find previous versions and latest versions. The version control is very good. Cross-check activity Accessing the rules using communication channels open to stakeholders Independent checks Reasonably good. Original texts and amendments of notified direct rules (secondary legislation) or legislation are available for free on the website of the official journal. Provides general safety context, some rules and link to ORR website. Difficult to identify the complete set of the notified NSR. Some notified rules were not found.good guidance. DRDNI website gives more information for the citizens using the public transport and potential investors than for new entrant RUs. There is very general context information for railway professionals and no NSR-related information. /INF/ /SAF Version 1.0 Page 20/27

21 Table Indirect rules Means by which notified national safety rules are published and made available Country Official national journal Ministerial publications Safety Authority publications Other publishing body IM or RU Or interest organisations Third party Other internet portals United Kingdom The railway standards by the RSSB with help of its website - /INF/ /SAF Version 1.0 Page 21/27

22 Table United Kingdom Evaluation of the way in which national safety rules are published and made available Means to support access to indirect rules established by: IM RU Third parties Finding NSR All rules, sub sets or individual rules should be considered - All RGS. Obtain a copy of the rules - Electronic versions free of charge. Printed copies are available for a small fee. Subscription - Yes Links to other relevant rules - Support provided to aid access e.g. for certificate applicants - Helpdesk User s views on the accessibility of NSR Stakeholders views RU: IM: Others: - RU: Yes, it was pretty easy. The challenge is to get a library or a list of safety rules to have an overview of them. IM: It was easy because they know where to look. Once you know it is easy. Other: The websites work very well. It s possible to find previous versions and latest versions. The version control is very good. Regarding RGS s, every time these are changed, they are published again. Cross-check activity* Accessing the rules using communication channels open to stakeholders Independent checks - Easy navigation on website. All RGS are available but it is necessary to know which of them are NSR. /INF/ /SAF Version 1.0 Page 22/27

23 Table Assessment of NSA web sites Characteristics of good access to national safety rules Country: United Kingdom ORR DRDNI Comprehensiveness and ref. of 3rd party rules Rubrik for NSR on top level(s) List of rules with hyperlink to text of rules Other languages to aid finding rules Rules as currently in force Copy in electronic form and as printout Flags for new rules, updates Supplementary help 6 Total Links to web sites for indirect rules: IM/RU, 3rd party rules Icing on the cake : one or more of: newsletter, links to relevant rules, helpdesk or similar, technical assistance in other languages /INF/ /SAF Version 1.0 Page 23/27

24 Table Stakeholder s views on accessibility and use of sources of NSR Country Official national Journal or equivalent NSA website or Ministry if no dedicated NSA web site Other sources e.g. IM web site United Kingdom Easy to use but need knowledge where to look. ORR include links to other websites. RSSB website most used. Table Languages in which NSR are available Country United Kingdom English /INF/ /SAF Version 1.0 Page 24/27

25 Table United Kingdom Subjective views of interview partners from railway undertakings Ease of understanding User-friendliness Provision of support Rules are easy to understand and well-written, and glossaries are provided. New entrant: in general easy to understand, technical details sometimes require explanation. Rules are user-friendly. DfT and ORR issue guidelines. ORR provides basic information. Most useful support is provided by ATOC and RSSB (seminars, meetings). Table United Kingdom Subjective views of interview partners from infrastructure managers Ease of understanding User-friendliness Provision of support Rules are easy to understand because safety rules are generic. Rules are easier understood following recent improvements. RGS are user-friendly. Guidelines on legislation are essential to apply the rules. ORR provides useful guidelines. Ad-hoc advice on request. RSSB provides useful support. Table Subjective views of interview partners from other stakeholders Ease of understanding User-friendliness Provision of support UK: RSSB and ATOC It is easy to understand the rules; written in a clear language with glossary. RGS rules are userfriendly. ORR and DfT provide useful guidelines. ORR provides seminars and workshop on new rules. RSSB explains changes to RGS. /INF/ /SAF Version 1.0 Page 25/27

26 3. Summary conclusions The table below was prepared with the aim to draw attention of the Member State to key improvements of the NSR-related activities and practice which appear necessary based on the currently available information. There is clear distinction between mandatory requirements in the Railway Safety Directive and advice for good practice. /INF/ /SAF Version 1.0 Page 26/27

27 Legislative requirements Table 26.5 Country: United Kingdom I. Establishment MS shall ensure that safety rules are laid down in an open non-discriminatory manner Evaluation of the way in which national safety rules are published and made available Article in RSD Conclusions from the evaluation of the publication and availability of national safety rules Concerns about implementation 4(1) Partly fulfilled. As a general rule, consultation is open. However no information was provided concerning consultation on draft IM rules. MS shall establish binding national safety rules 8(1) Partly fulfilled. For type 4 rules specific rules for signalling and traffic management system are missing. The legal base for the IM rules for Channel Tunnel Rail link is not clear. For Northern Ireland type 3, type 4, type 7 and type 6 rules for staff certification are missing. Type 3 rules were withdrawn from Annex II of the RSD. Attention should be paid to ensure these rules are notified as NTR. NSA shall monitor, promote, enforce and develop the safety regulatory framework In the process of developing the national regulatory framework, NSA shall consult all persons involved and interested parties II. Publication MS shall ensure that the national safety rules are published III.Availability MS shall ensure that national safety rules are made available to all IMs, RUs and applicants for a safety certificate or a safety authorisation NSA shall provide special guidance for a safety certificate concerning services on a defined limited part of an infrastructure and a guidance document on the requirements for safety certificates free of charge to applicants IV. Understanding MS shall establish binding national safety rules in a clear language that can be understood by the parties concerned 16(2)(f) Fulfilled but room for improving the management of safety rules system from systematic to comprehensive. Some type 5 rules were issued as IM rules and Railway Group Standards by RSSB. It is suggested to issue type 5 rules in the form of direct rules (better practice). 17(1) Partly fulfilled same conclusions as for Article 4(1). For information: The NSA is not always involved in this process. There is consultation rubric on the ORR website. 8(1) Fulfilled but room for improvement. Primary source for IM rules and management of publication of IM rules are unclear. 8(1) Fulfilled but room for improvement. There are two NSA: ORR for Great Britain and DRDNI for Northern Ireland. Some rules are available on the ORR website and no rules on the DRDNI website. Not easy to identify the whole set of NSR. 12(2-3) Partly fulfilled. ORR provides guideline for operation in Great Britain. Nor DRDNI, nor ORR provide similar guideline for the Northern Ireland. 8(1) Due to the limited input data it is not possible to provide an opinion on fulfilment of this requirement. During the interviews some subjective views from stakeholders were expressed: In general easy to understand, technical details sometimes require explanation. /INF/ /SAF Version 1.0 Page 27/27