Guidance on Railway Safety Cases for Acceptance by Railtrack

Transcription

1 Guidance on Railway Safety Cases for Acceptance by Railtrack This Guidance Note has been produced by Synopsis This Guidance Note provides potential Operators with practical advice to assist in the preparation of their Railway Safety Cases and describes Railtrack s Acceptance Process and Acceptance Criteria. Nick Howland Standards Project Manager Authorised by Brian Alston Acting Controller, Railway Group Standards This document is the property of Railtrack PLC. It shall not be reproduced in whole or in part without the written permission of the Controller, Railway Group Standards, Railtrack PLC. Published by Safety & Standards Directorate Railtrack PLC Railtrack House DP01 Euston Square London NW1 2EE Copyright 1999 Railtrack PLC

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3 Guidance on Railway Safety Cases for Page 1 of 31 Contents Section Description Page Part A Issue Record 2 Health and Safety Responsibilities 2 Supply 2 Part B 1 Purpose 3 2 Scope 3 3 Definitions and Abbreviations 3 4 Producing a Railway Safety Case 4 5 Acceptance of Railway Safety Cases 5 6 Ensuring Compliance with RSC 6 7 Questions and Answers - Essential Points 7 8 What to do Next 9 Appendices A Criteria for the Acceptance of Operator s Railway Safety Cases by Railtrack 10 References 32 RAILTRACK 1

4 Page 2 of 31 Guidance On Railway Safety Cases for Issue Record Part A This Guidance Note will be updated when necessary by distribution of a complete replacement. Amended or additional parts of revised pages will be marked by a vertical black line in the adjacent margin. Issue Date Comments 1 August 1999 Original Document supersedes GA/RC6503 and GA/RC6504 Health and Safety Responsibilities In issuing this Guidance Note, Railtrack PLC makes no warranties, express or implied, that compliance with all or any Railway Group Standards 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 Guidance Note may be obtained from the Industry Safety Liaison Dept, Safety and Standards Directorate, Railtrack PLC, Railtrack House, DP01, Euston Square, London, NW1 2EE. 2 RAILTRACK

5 Guidance on Railway Safety Cases for Page 3 of 31 1 Purpose Part B This Guidance Note provides potential operators with practical advice to assist in the preparation of their Railway Safety Case and essential information on the acceptance process established by Railtrack Safety and Standards Directorate. The Railways (Safety Case) Regulations 1994, which came into force on 28 February 1994, are one of a set of Railway Health and Safety Regulations which are intended to ensure the maintenance and, where necessary, improvement of health and safety standards privatised on the railways. Other Regulations include:- the Railways (Safety Critical Work) Regulations 1994; the Carriage of Dangerous Goods by Rail Regulations The Regulations are made under the Health and Safety at Work etc Act 1974 and are monitored and enforced by HM Railway Inspectorate (part of the Health & Safety Executive). 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 1992, 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 HSC or HSE guidance. The Railway Safety Case and the acceptance of it by Railtrack is the means by which a potential Operator demonstrates its safety competence to Railtrack as a pre-condition to beginning activities on the national railway network. 2 Scope This Guidance Note applies to Train and Station Operators submitting Railway Safety Cases for acceptance by Railtrack. Information in this Guidance Note has been derived from: HSE Guidance on Railways (Safety Case) Regulations 1994; which also contains the Regulations; Railtrack s Railway Safety Case; The Railway Group Safety Plan; HSE Guidance on the Management of Health and Safety at Work Regulations. These documents should be consulted for specific information and details. 3 Definitions and Abbreviations Railway Group Railtrack, and the duty holders of Railway Safety Cases accepted by Railtrack. Railway Group Standard (RGS) Technical standards with which railway assets (or equipment used on or as part of railway assets) must conform, and operating and management procedures with which all operators of railway assets, including the infrastructure controller, must comply. Railtrack Controlled Infrastructure As detailed in Railtrack s Railway Safety Case. HMRI HM Railway Inspectorate HSC Health & Safety Commission HSE Health & Safety Executive RAILTRACK 3

6 Page 4 of 31 Guidance On Railway Safety Cases for HSWA Health & Safety at Work etc Act 1974 MHSW Regs Management of Health & Safety at Work Regulations 1992 ORR Office of the Rail Regulator OTM On-Track Machine RACOP Railtrack Approved Code of Practice - Produced by Railtrack Safety & Standards RGS Railway Group Standard Produced by Railtrack Safety & Standards RIAC Railway Industry Advisory Commission RMMM Rail Mounted Maintenance Machine RRV Road Rail Vehicle RSC Railway Safety Case RSC Regs Railways (Safety Case) Regulations 1994 RSCW Regs Railways (Safety Critical Work) Regulations 1994 SMIS Safety Management Information System SPAD Signal Passed at Danger SR&SC Regs Safety Representatives & Safety Committees Regulations Producing a Railway Safety Case 4.1 Who needs a Railway Safety Case? Any organisation operating a train on Railtrack Controlled Infrastructure, or operating a station served by Railtrack Controlled Infrastructure, will require to have a RSC accepted by Railtrack. 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 on-track machines, road rail vehicles and rail mounted maintenance machines, and applies inside and outside of Rule Book Section Tiii Possessions. For stations serving more than one Infrastructure Controller s infrastructure, or stations not owned by Railtrack, the Station Operator s RSC will be accepted by HMRI, with input from Railtrack (see RSC Reg 5(1)(b)). 4.2 What is a Railway Safety Case? A Railway Safety Case is a document containing the particulars required by the provisions of the Railways (Safety Case) Regulations, 1994 (RSC Regs). The RSC is required to clearly identify: the nature and extent of the operations to be undertaken; the risks associated with these operations; the procedures and arrangements by which these risks are controlled; the organisation in place for implementing these procedures and arrangements. The minimum content of a RSC is defined in the RSC Regs. Further guidance on the content of RSCs for acceptance by Railtrack, and acceptance criteria for those RSCs, are provided in Appendix A of this Guidance Note. 4.3 Preparing a Railway Safety Case Preparing a RSC is not simply an exercise in writing a document. It usually involves developing the procedures and arrangements necessary for conducting the railway operation in an acceptably safe manner, and designing the organisation for implementing these. Guidance on preparing a RSC is provided in the HSE publication Railway Safety Cases: Guidance on the Railways (Safety Case) Regulations, RAILTRACK

7 Guidance on Railway Safety Cases for Page 5 of 31 The principal contact within Railtrack on all matters relating to the acceptance of RSCs is: The Head of Validation Railtrack, Safety & Standards Directorate Tel Applicants are advised to contact the Head of Validation at an early stage in the process to discuss the proposed operation and the RSC acceptance process. 4.4 Licence Requirement In addition to having an accepted RSC, Operators are required to have a Licence issued by the Office of the Rail Regulator. 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. Further information on Licence requirements is available from the Office of the Rail Regulator. 5 Acceptance of Railway Safety Cases 5.1 The Process The acceptance process is undertaken by a panel of RSC assessors experienced in the relevant aspects of railway operations and safety. The Panel consists of a Chairman (normally the Head of Validation), Process Manager, Independent Assessor, Lead Zone representative 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. At an early stage prior to formal submission of a RSC, the applicant will have agree a firm submission date and a process programme with the Head of Validation. The RSC should be sent on the due date to the Head of Validation. On receipt, the submitted RSC will be logged and acknowledged and, if not already done so, a unique reference number issued. HMRI will also be notified of the receipt of the RSC. The Panel will then check the contents against Schedule 1 of the RSC Regs and against Railtrack s own acceptance criteria (see Appendix A) to assess the completeness of the submitted RSC. The Panel will review the RSC against the acceptance criteria and identify issues to be resolved prior to acceptance. The applicant will then be invited to a Panel meeting, the purpose of which is:- to allow the applicant to present his RSC and any additional information deemed relevant; to explore issues of clarification as required by the Panel; to indicate and discuss any major issues that may affect the acceptability of the RSC; and to assess the ability and commitment of the applicant to deliver the RSC commitments in practice. Following the meeting, the Panel will continue its assessment and, when concluded, will then formally respond either with an acceptance certificate or with a log of issues to be resolved prior to acceptance. Where such further information is required, the applicant will be required to indicate when he anticipates being able to address the issues raised. RAILTRACK 5

8 Page 6 of 31 Guidance On Railway Safety Cases for On return from the applicant, each issue will be checked for acceptance or rejection. The Chairman may wish to call for the outstanding issues to be dealt with by oral submission if there is a need for further clarification. When acceptable responses have been received on all issues the RSC will be assessed in its entirety to ensure that it, in final form, meets the acceptance criteria. On satisfactory completion of this acceptance process the applicant will be notified that the safety case will be accepted on verified receipt of three fully amended and updated copies of the RSC. One copy suitably endorsed will be returned to the proposer together with an acceptance certificate. The applicant will then be required to distribute further controlled copies of the RSC to:- Railtrack S&SD; Railtrack Lead Zone; HMRI (2 copies). Following acceptance, the HMRI require 28 days to examine the RSC, after which operations may commence subject to the issue of a licence by the Rail Regulator and an access agreement by Railtrack. In the event of a rejection, the Head of Validation will inform the proposer in writing of the reasons for rejection of the RSC. 5.2 Timescales The timescale to undertake the acceptance process from the agreed date of receipt of the RSC through to a decision on its acceptability is dependent on a number of factors and is thus not fixed. For example, the more important factors are the quality and comprehensiveness of the documentation, the nature of the operator s organisation and the range and complexity of the activities carried out, the degree of imported risk and the range of interfaces and dependencies on other parties. For a once through process the timescale is likely to be no less than 28 working days. This takes no account of the timescale for the proposer to respond on any issues raised by the process. 5.3 Subsequent Amendments All subsequent amendments shall be notified to the Head of Validation through a document control process. Any change to the RSC must be submitted and will be dealt with by the above process adjusted to suit the scope of the change proposed. 6 Ensuring Compliance with RSC Operators are required by law to comply with their RSC. All new Operators will be audited by the Controller, Safety Management Systems for compliance with their RSC, prior to the start of operations and thereafter at least on an annual basis. The Railtrack Lead Zone will also conduct ongoing monitoring and checking of the operator s performance. Where non compliances are identified, the Operator is required to take appropriate action to remedy the non-compliances. 6 RAILTRACK

9 Guidance on Railway Safety Cases for Page 7 of 31 7 Questions & 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 providing the accepting body is the same. (See RSC Regs 2(2)(b)). Q.2 Can I use a previous operator s RSC if I take over his operation? B. Not automatically. Changes of owner or Operator may alter safety aims, priorities and objectives. 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 Railtrack that it is committed to the existing document, normally at a meeting with the Safety & Standards Directorate. Any revision to the existing RSC (even of the name of the operating company) will necessitate a formal review of the revised RSC by Railtrack before the new owner/operator may commence operations. Q.3 What is the role of the Regulator? A. The Regulator is a Statutory Appointee with a principal duty to licence rail operators. The Regulator has no safety function 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 acceptance criteria in Appendix A have been written in a way that would provide an appropriate format for a RSC. Q.5 Will Railtrack need to have access to an Operator s traction & rolling stock, premises and records? A. Yes, because of the duties imposed upon it by HSWA to ensure overall safety on the system it is essential that Railtrack monitors the performance and activities of the train service 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 have cause to believe such an inspection is necessary in the interests of safety. The Railways (Safety Case) Regulations require an Operator to co-operate with Railtrack to the extent that Railtrack can itself comply with the Regulations. (See Paragraphs 211 to 214 of the Guidance to the RSC Regulations). Q.6 What happens if Railtrack and an operator fail to agree on access inspection arrangements? A. In such a case, Railtrack would not accept an Operator s RSC. The Operator would, of course, have recourse to appeal to the Secretary of State (see RSC Reg 10). Q.7 What are relevant railway standards? A. Railtrack s Safety and Standards Directorate is the body which develops, manages and issues technical, operational, safety and inter-working standards for use across the railway network. These Railway Group Standards set minimum requirements on Railtrack itself, and on Operators of trains or stations on the railway network. Such Railway Group Standards are mandatory. The procedures for introducing new, or changing existing, Railway Group Standards 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 Railway Group Standards, but they must meet the minimum requirements of the Railway Group RAILTRACK 7

10 Page 8 of 31 Guidance On Railway Safety Cases for Standards. Once operational, operators will have the opportunity to participate in the development of Railway Group Standards. Q.8 Is there a disputes procedure available to an operator if its RSC is not accepted by Railtrack? A There is provision for an Operator to appeal to the Secretary of State as the adjudicator. HMRI, as the safety regulatory authority will advise the Secretary of State on the adjudication. However, it is anticipated that in the event of dispute, the parties would seek the views of HMRI informally before resorting to these formal systems. (See RSC Reg 10). Q.9 Are the HMRI involved in the process? A. The HMRI has accepted the Railtrack validation and acceptance process through its scrutiny of Railtrack s RSC. In addition, it will monitor actual performance through its inspection of railway activity. HSE reserves the right to be involved in the process carried out by Railtrack to monitor that actual performance of the process achieves the proposals that are set out in Railtrack s RSC. Q.10 Will there be a charge for the acceptance of operators RSCs? A. Yes. A sum payable on submission of the RSC will be charged for the services provided in accepting a RSC. This will be for the provision of expert advise on major issues arising during the preparation of the RSC and for the process from submission to decision, on the acceptance or otherwise, of the RSC. If the Operator requests additional assistance, or if the nature or quality of the RSC submitted requires additional work by Railtrack, then additional charges will be raised. Each Operator will be notified of the intent to raise charges. Q.11 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 processes to manage safety effectively, and validation is a test of the proposals. Operators will need to continue to develop and improve actual performance and this will be monitored externally by both HSE (as the enforcing authority) and Railtrack. An Operator is under a statutory duty to conform with the provisions in its RSC (see RSC Reg 7). Q.12 As Railtrack has accepted the RSC does it become accountable for safety performance? A. No. In accepting a RSC 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. (See RSC Reg 2(4)). Q.13 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, the Railways (Safety Case) Regulations 1994 require operators to make a thorough review of their RSC at least once every three years. (See RSC Reg 6(3)). Q.14 What if there is a need to revise the RSC? A. If the revision proposed to be made will render the RSC different from the last accepted version, the revision shall not be made unless the revision is accepted or the revision is not regarded as a material change by Railtrack. 8 RAILTRACK

11 Guidance on Railway Safety Cases for Page 9 of 31 Guidance on what constitutes a material change to a RSC is provided in GA/GN6510. See RSC Regs 6(1), 6(2), and Paragraphs 70 to 80 of the Guidance on the RSC Regs). 8 What to do Next Above all it is suggested that you make early contact with the Head of Validation who will give reasonable guidance and assistance in the preparation of your RSC. A suggested action plan is:- read this guidance; obtain copies of the HSE s Guidance on the RSC Regs and the Management of Health and Safety at Work Regs; contact the Head of Validation to arrange an initial meeting to discuss your proposed operation and the RSC acceptance process; read the information included in the Fact Pack which will be sent to you by S&SD prior to the initial meeting; discuss any issues of clarification with the Head of Validation at the initial meeting; prepare a project brief for producing your RSC; nominate a Project Manager and notify the Head of Validation; prepare a project plan with milestone dates; agree dates for RSC validation with the Head of Validation; as the RSC develops, liaise regularly with the Head of Validation to ensure that it he is kept fully informed of progress and developments. RAILTRACK 9

12 Page 10 of 31 1 General Guidance On Railway Safety Cases for Appendix A Criteria for the Acceptance of Operator s Railway Safety Cases by Railtrack 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 safety management system in place that is suitable for the activities of that Operator. The RSC must contain all appropriate particulars required by the Railways (Safety Case) Regulations, 1994 (RSC Regs). Schedule 1 of the Railways (Safety Case) Regulations 1994 (RSC Regs) refers to the Management of Health and Safety at Work Regulations, 1992, 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 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 operation. The elements of a successful safety management system are described in the HSE publication: Successful Health & Safety Management (HS(G)65), or in BS Railtrack s Acceptance of 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 HSAW Act and other relevant statutory provisions. RSC Reg 2(4) The HSE Guidance to the RSC Regs strongly recommends that the RSC serves two main purposes over and above that specifically required by the Regulations. These are:- 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 to provide a comprehensive working document against which management, and also the acceptor and HSE, can check that the accepted risk control measures and safety management systems have been properly put into place and continue to operate in the way in which they are intended. RSC Guidance 11 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 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 10 RAILTRACK

13 Guidance on Railway Safety Cases for Page 11 of 31 as to what is part of the RSC and what is a supporting document outside the RSC. Although Railtrack may require to review supporting documents as part of the acceptance process, there must be sufficient detail within the RSC itself to enable Railtrack to satisfy itself that the acceptance criteria are met. RSC Reg 2(3)(b) 1.5 RSC to be a Controlled Document The RSC must be a controlled document, with all pages dated and numbered. RSC Guidance 72, 123 Although not mandatory, it is recommended that paragraphs are individually numbered to facilitate the acceptance process. 1.6 Clarity/Lack of Ambiguity The description of the operation and arrangements within the RSC must be clear and unambiguous to allow Railtrack to satisfy itself that the acceptance criteria are met. RSC Reg 2(4) 1.7 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 Reg Sch 1(2) and (3) 1.8 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 Reg 6(1) and (2) 1.9 Level of Detail - General Principles Railtrack s responsibilities in accepting an Operator s RSC are described in detail in its own RSC. It is for Railtrack, as the acceptor of a RSC, to determine how much detail of particulars of arrangements requires to be included, as a minimum, in an Operator s RSC. The RSC Regs state that particulars to be included in a RSC shall require no more detail to be included than is necessary to enable the person to whom it is submitted for acceptance to satisfy himself that he can carry out his own undertaking safely. 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. Where additional information is included in the RSC, Railtrack will indicate those parts of the RSC which have been accepted. These factors have been taken into account in developing these acceptance criteria. RTRSC, Vol 1, Chapter 4 RSC Reg 2(3)(b) The Operator may wish to include information in its RSC for its own purposes, over and above that required by Railtrack. However, Railtrack s acceptance of the Operator s RSC will be based only on Railtrack s responsibilities under RSC Reg 2(4) Relationship Between RSC and Railway Group Standards Mandatory controls are specified in RGS to which the Operator gives a global commitment to apply. The RSC must contain those arrangements on which the RGS allows flexibility, with sufficient detail to give Railtrack the assurance that RAILTRACK 11

14 Page 12 of 31 Guidance On Railway Safety Cases for 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 Railtrack for scrutiny, if necessary, during compliance audit and evaluation checks. The overall principles are as follows: 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 (see also criterion number 4.4). 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. 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. 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. The criteria listed in this document give clear guidance on what additional details are required in a RSC in relation to specific RGSs Contents and Glossary Although not mandatory, it is recommended that a contents page and glossary of terms is included to facilitate the acceptance process and management of the RSC. 2 Duty Holder 2.1 Name and Address of Duty Holder The RSC must contain the name and address of the Duty Holder. RSC Reg Sch 1(1) 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 not a requirement of the RSC Regs, this is a requirement of the Railways Act in relation to the Operator s Licence. A change to the name or address of the Duty Holder will therefore always be dealt with as a material change although, provided nothing else is changing, it will not be assessed by a panel. 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. The HMRI will use the statutory 28 day period to confirm to the ORR that the name/address of the RSC Duty Holder has changed. 2.2 Relationship With Holding Company Where the Duty Holder is a franchise held by another company, the RSC must identify the holding company and describe the relationship, particularly the extent of the holding company s involvement in activities affecting the safety of the operation. Although it is natural for a holding company to exercise a degree of control, the RSC must confirm that the Duty Holder has ultimate accountability for compliance with the RSC. It is acceptable for aspects of the operation (eg safety/technical services) to be carried out by the holding company/group s organisation or other companies within the holding company/group. In these cases the RSC must clearly identify which activities are provided in this way and the mechanisms by which the Duty Holder ensures these activities are carried out properly. 12 RAILTRACK

15 Guidance on Railway Safety Cases for Page 13 of Where One Organisation Acts as Duty Holder For Two Identical RSCs It is possible for one organisation to act as Duty Holder for two identical RSCs. Where, for example, a single organisation operates more than one franchise, or for other reasons holds more than one licence and RSC, then it is possible to describe the arrangements in the RSC of one of these Duty Holders, stating that these arrangements apply equally to the other Duty Holders. Each of the other Duty Holders can then have a short (eg single page) RSC that confirms that all the arrangements described in the other Duty Holder s RSC also apply to its own RSC. If adopting this approach it is essential that the Duty Holders share a single organisation (although this can consist of more than one registered company) and a single set of management arrangements. When a material change is made to the main RSC, separate certificates are issued for all the RSCs, even if the single page RSC has not altered. Operators considering this approach are advised to discuss it with S&SD in advance. 3 Executive Summary/Overview 4 Commitment Although not essential, it is useful to include a general introduction, overview or executive summary at the front of the RSC, outlining the purpose of the RSC and some of the key principles on which it is based. It may be useful to include the general commitments referred to in Section 4 below within such an overview chapter. 4.1 Demonstrating Commitment - General One of the key purposes of a RSC is to demonstrate the Operator s commitment to ensuring safety in relation to its operations. This can be demonstrated in a number of ways, including an appropriate safety policy statement (see Section 9 below) and the specific commitments covered in 4.2 to 4.6 below. However, Railtrack will expect to see commitment demonstrated throughout the whole RSC through the clear, unambiguous description of arrangements which commit the Operator to specific, auditable actions. 4.2 Railways (Safety Case) Regulations (RSC Regs) The RSC must include a specific commitment to comply with the Railways (Safety Case) Regulations and other relevant legislation. 4.3 Railtrack s Railway Safety Case The RSC must include a specific commitment to comply with those parts of Railtrack s RSC relevant to activities within the scope of the Operator s RSC. 4.4 Railway Group Standards The RSC must include a specific commitment to comply with all Railway Group Standards relevant to activities within the scope of the RSC. 4.5 Railway Group Safety Plan The RSC must include a specific commitment to support the objectives in the annual Railway Group Safety Plan by the creation of the Company s own annual safety plan and cascade of relevant objectives to specific individuals at appropriate levels within the Company. 4.6 Co-operation With Railtrack The RSC must include a specific commitment to comply with any reasonable request Railtrack may make regarding any aspect of activities within the scope of the RSC which affects, or is likely to affect, the safety of the network. RSC Reg 3(1)(c) Although the RSC Regs do not mandate that this commitment is included in the RSC itself, Railtrack is required to obtain this commitment in writing and its inclusion in the RSC satisfies this requirement. RAILTRACK 13

16 Page 14 of 31 Guidance On Railway Safety Cases for 5 Description of Operation The RSC must contain a description of the intended operation. It is essential that this is accurate and comprehensive to allow Railtrack to satisfy itself that the risks are properly identified and the arrangements described in the RSC are sufficient to control these risks. RSC Reg Sch 1(2) and RSC GN 127 to 129) In describing the scope of operation and technical specifications, it is not necessary to include technical details which Railtrack already has, such as the technical specifications of a particular class of locomotive, or line speeds of particular routes. To ensure the description of operation is comprehensive it must cover the following parameters, where relevant: 5.1 Type of Operation. The RSC must identify the types of trains operated (eg passenger, freight, Driver Only Operation, charter, steam, OTMs, RRVs, test trains, etc); types of traffic operated (eg dangerous goods, containers, piggy-back, etc); and whether station operation is included. 5.2 Geographic Scope The RSC must describe the approximate geographic scope (eg South West England, etc). Railtrack should be able to relate geographic scope to the Operator s ability to co-ordinate and control activities across that area of coverage. 5.3 Approximate Size of Operation The RSC must include a description of the approximate size of the operation (eg approximate number of trains per week). The RSC must include a diagram(s) or description of the route over which the Operator intends to run trains. 5.4 Type of Vehicles The RSC must include a description of vehicles operated by generic type. This must include classes of locomotive/units. This description of vehicles operated must be of sufficient detail to identify types of vehicle associated with specific risks; eg Mark I coaches, slam door stock, power operated door stock, intermodal freight vehicles, etc. Small specialist freight operators and infrastructure contractors should identify generic type of vehicles operated. Large freight operators may state that they haul any type of wagon, but they will be required to demonstrate that they have processes for managing this diversity. The RSC must identify whether vehicles are owned by the Operator, leased or hired in, and whether any vehicles are also operated by other Operators. 5.5 List of Stations Operated by Duty Holder The RSC must include a comprehensive list of those stations for which the operator is Station Operator. This must indicate which stations are staffed and which are unstaffed. This must also include the identity of those stations for which the operator is Station Operator but for which the RSC is accepted by the HSE). (RTRSC and RSC Regs 5(1)(b) 5.6 List of Stations Used (But Not Operated) by Duty Holder The RSC must include a list of all stations used on a regular basis (eg timetabled) but not operated by the Duty Holder, but does not preclude the operator calling at other stations on an ad hoc basis (eg perturbed working or one-off charters.) 5.7 Other Operational Premises The RSC must identify all depots, maintenance locations, and stabling points used on a regular basis, on or connected to Railtrack Controlled Infrastructure. 14 RAILTRACK

17 Guidance on Railway Safety Cases for Page 15 of 31 6 Risk Assessment The RSC Regs (Schedule 1(6)) require a statement of the significant findings of the (suitable and sufficient) risk assessment the duty holder has made under Reg 3 of the Management of Health & Safety at Work Regulations, 1992 (RSCW Regs). Further guidance on what constitutes significant findings and suitable and sufficient is provided in the Approved Code of Practice to the MHSW Regs and in RSC Guidance Notes 136 to 149. Railtrack S&SD will publish a consultation Green Paper for the Railway Group on safety decision criteria. The following RSC acceptance criteria will be updated when the results of that consultation are known. 6.1 Overall Purpose of Risk Assessment Evidence that a suitable and sufficient risk assessment has been carried out is fundamental to the process of determining whether an acceptable system is in place to control risks. The risk assessment itself is the process by which Operators must determine what they need to do to meet the requirements of health and safety legislation. The requirement of the legislation is to undertake an assessment of risks and it must be emphasised that a risk assessment is not simply a written record of the risks that exist. The purpose of recording the significant findings is to demonstrate that a suitable and sufficient assessment has been made - both for the acceptance process, and to ensure that the RSC is an accurate and comprehensive working document against which compliance is measured. This record then becomes an effective statement of the hazards and the risks that are present and promotes management and staff to take the relevant actions so that the control measures for those risks are followed. Ensuring all significant hazards are recorded also assists in the review of assessments and safety cases. The relationship between the information produced as a result of Railtrack s assessment of risks should inform the operators assessment process. This is a cyclical process in that risks identified by operators should feed back into the Railtrack risk assessment process. 6.2 Methodology for Risk Assessment The RSC must include a brief description of the methodology adopted by the Operator for this risk assessment. 6.3 Identification of Hazards The RSC must include a list of the significant hazards relevant to the Operator s activities within the scope of the RSC. 6.4 Identification of Control Measures For each identified risk, the RSC must describe, or reference, the major control measures. However, Railtrack accepts that there is not always a simple relationship between specific risks and control measures. One risk can have several control measures and one control measure can mitigate several risks. Some controls are generic across many risks (eg competence arrangements). 6.5 Identifying Groups of People Most at Risk The RSC must identify groups of persons who might be particularly at risk from the Operator s activities. This must cover the groups identified in the Railway Group Safety Plan (Operator s employees, other railway workforce, passengers and public). Where separate groups of people are exposed to additional risks due to location, activity or local operation, these should be identified. 6.6 Risk Ranking The different hazards identified in the significant findings must be ranked in relation to the risks. There are many ways of doing this and Railtrack does not seek to prescribe or recommend any particular method. Guidance is provided in the Approved Code of Practice to the MHSW Regs. RAILTRACK 15

18 Page 16 of 31 Guidance On Railway Safety Cases for 6.7 Quantified Risk Assessment In most cases it is not necessary for Operators to include quantified measures of risk in the RSC. However, it may be appropriate for certain very high risk activities (eg particular flows of dangerous goods with exceptional risks) or for operations based on novel methods. It may also be appropriate for certain material changes to existing Operator RSCs (see GA/RC6510). 6.8 Review of Risk Assessment The RSC must describe the arrangements for review of the risk assessment. These must meet the minimum requirements of the RSC Reg 6 and the MHSW Regs. 7 Train Operation Arrangements 7.1 General Train Operations Arrangements The RSC must include a general description of the train operating arrangements. This must include the role of the Operator s Control Office and traincrew depots. RSC Regs Sch 1(4)(b) 7.2 General Traincrew Management Arrangements The RSC must describe the general arrangements for the management of traincrew, including a description of the responsibilities of key traincrew management personnel. 7.3 Competence of Traincrew The RSC must describe the arrangements for setting competency standards for traincrew and the criteria that will be applied to the processes of selection, medical fitness, training and initial assessment to ensure achievement of required competence. A description must be given where outside services are used in any part of the process of achieving desired competence and how the procurement systems are applied to ensure the qualification of suppliers. A description of the records maintained to monitor initial selection, training and continuous assessment must be included as well as certification, verification and the monitoring of the quality of the systems used, together with performance indicators. Special requirements in connection with sub-surface railway stations/underground sections of line must also be described. RGS GO/RT Route & Traction Knowledge of Drivers The RSC must describe the arrangements in place to ensure Drivers acquire and retain the knowledge of routes and traction necessary for competent driving of the Train Operator s services over scheduled and diversionary routes (or arrangements for providing competent route conductors when required). Where other traincrew are required to have route knowledge for train operating purposes, the relevant arrangements must be described. RGS GO/RT Fitness of Traincrew The RSC must describe the arrangements for booking-on of traincrew, listing those depots which are supervised and those at which remote booking-on arrangements apply. Where remote booking-on arrangements apply, a description of the method by which this is undertaken must be incorporated together with a summary of the arrangements for monitoring the fitness of duty of those staff who remotely book on. Where lodging turns apply, the Company must demonstrate that the staff concerned are checked for fitness for duty before working a train. The RSC must describe the arrangements for monitoring adherence to these controls. RGSs GO/RT3251; GO/RT RAILTRACK

19 Guidance on Railway Safety Cases for Page 17 of 31 At supervised booking on points it is generally considered to be reasonably practicable to include a basic fitness for duty check as part of the booking on procedure for all traincrew. At unsupervised booking on points it is generally considered to be reasonably practicable to carry out a basic fitness for duty check during the shift such that each traincrew member experiences a check on 40% of shifts worked, over a specified period of time. 7.6 Working Time Limits for Traincrew The RSC must identify the working time limits for traincrew and the arrangements in place for monitoring adherence to these. RGS GH/RT Monitoring of Traincrew Performance The RSC must describe the arrangements in place for the monitoring of traincrew performance including keeping records of such monitoring. This must include monitoring of practical driving skills and communication of safety & operating information (RGS GO/RT3251; GO/RT3255). It must also include the arrangements for undertaking speed checks (RGS GO/RT3253), including minimum frequencies of checks, and arrangements for prioritising locations and co-operation with Railtrack and other Train Operators. The RSC must describe the extent to which the operator s fleet is fitted with train data recorders, and the extent to which the output of this equipment is used to monitor individual driver performance (RGS GO/RT3272). The Train Operator s policies for identifying and resolving individual driver performance problems must be described, together with the processes for managing such problems to a conclusion. A description of measures relating to train handling techniques ( defensive driving ) intended to prevent signals being passed at danger must be included, together with arrangements to comply with RGS GO/RT3252 Signals Passed At Danger. 7.8 Management of Hired in Traincrew If the Operator hires in traincrew from external suppliers, the RSC must describe the arrangements for ensuring the supplier will comply with all Railway Group Standards relevant to traincrew management. The RSC must clearly indicate the division of responsibilities between the supplier and the Operator in terms of who will undertake fitness for duty checks, monitoring of performance and working hours, etc. It must also describe the arrangements for monitoring compliance and liaising with the supplier on non-compliance issues. 7.9 Train Preparation The RSC must include a description of the arrangements the Company has in place to ensure trains are prepared before entering service on Railtrack s controlled infrastructure. This must include arrangements for ensuring the competence, fitness and performance of staff carrying out this work and the provision of information to these staff. This requirement applies to all types of train operated (eg passenger, freight, ECS, etc). The RSC must include the arrangements for ensuring adequate train preparation where this is carried out by persons not employed by the Operator (eg private terminals staff), including the processes by which these staff are managed in accordance with the relevant RGSs Freight Train Loading The RSC must describe the arrangements for ensuring the safe loading, securing and load verification of freight trains to ensure compliance with RGS GO/RM3053 and GO/RM3056. This must include arrangements for ensuring the competence of persons responsible for securing loads, or signing off for the safety of a load following inspection, in compliance with RGS GO/RT3406. RAILTRACK 17

20 Page 18 of 31 Guidance On Railway Safety Cases for The RSC must describe the arrangements for checking and certifying the loading of trains leaving possessions, and for communicating with Railtrack in relation to trains with out of gauge loads or which may require special conditions of travel. The arrangements for the carriage of dangerous goods should also be described, particularly with regard to dealing with emergencies. The RSC must describe the arrangements by which the Operator assesses new types of freight traffic to determine safe loading methods which meet the general conditions identified in RGS GO/RT3053. The RSC must include the arrangements for ensuring safe train loading where this is carried out by persons not employed by the Operator Site Management For the operation of Engineer s Trains, On-Track Machines, Road Rail Vehicles and Rail Mounted Maintenance Machines within possessions, the RSC must describe the arrangements for:- attendance at pre-planning meetings and site visits; planning and the actual task of off/on tracking of RRVs & RMMMs; site management of train operations - this is additional to the Rule Book requirements with regard to PICOP/Engineering Supervisor responsibilities; the arrangements for booking on of drivers and fitness for duty checks monitoring of Driver performance; arrangements for site communications; inclusion in method statements of train operation arrangements (eg on/offtracking, etc); liaison with PICOP and Engineering Supervisor concerning authorisation of movements, including taking into cognisance of RED and GREEN Zone working; arrangements for protection of adjacent lines which may be obstructed; monitoring of working hours of Drivers; arrangements for dealing with vehicle failure & recovery or incidents/accidents. RGS GM/RT Train Breakdown and Recovery The RSC must describe the arrangements for management of train breakdown and recovery, including arrangements for providing competent staff on site when required. The RSC must demonstrate that the Company has procedures in place as to how its Control Office will take safety related decisions in this area. The RSC must define which Operator undertakes the role of Train Operator when a traction unit of one Operator assists a failed train of another Operator. Alternatively, the RSC can describe the process by which this decision is made in different circumstances Control of Access to Driving Cabs The RSC must describe the arrangements it has in place to control access to the driving cabs of the trains which it operates. This must include the arrangements it has with Railtrack concerning access of Railtrack employees to driving cabs. This must include a description of the arrangements for monitoring compliance with these arrangements Radio Communication to/from Trains The RSC must describe the arrangements the Company has in place to ensure the requirements of RGS GO/RT3410 are complied with and in particular, the arrangements for ensuring that all trains have working radio when operating on Railtrack s controlled infrastructure. A description of the liaison arrangements with Railtrack to monitor radio performance is also necessary including the availability of the facility to make Emergency, Priority and General Broadcast calls and what action will be taken if any of these facilities are not available. The 18 RAILTRACK