Office of Public Sector Information

Annex 1 SAFETY MANAGEMENT SYSTEMS

Requirements on the safety management system

1.  The safety management system must be documented in all relevant parts and shall in particular describe the distribution of responsibilities within the organisation of the infrastructure manager or the railway undertaking. It shall show how control by the management on different levels is secured, how staff and their representatives on all levels are involved and how continuous improvement of the safety management system is ensured.

Basic elements of the safety management system

2.  The basic elements of the safety management system are:

(a) a safety policy approved by the organisation’s chief executive and communicated to all staff;

(b) qualitative and quantitative targets of the organisation for the maintenance and enhancement of safety, and plans and procedures for reaching these targets;

(c) procedures to meet existing, new and altered technical and operational standards or other prescriptive conditions as laid down:

• in TSIs,

• or

• in the unified safety rules referred to in Article 1 xxvi,

• or

• in other relevant rules,

• or

• in authority decisions;

or where necessary to achieve common safety targets or adherence to common safety methods, when these are adopted; and procedures to assure compliance with the standards and other prescriptive conditions throughout the life-cycle of equipment and operations;

(d) procedures and methods for carrying out risk evaluation and implementing risk control measures whenever a change of the operating conditions or new material imposes new risks on the infrastructure or on operations;

(e) provision of programmes for training of staff and systems to ensure that the staff’s competence is maintained and tasks carried out accordingly;

(f) arrangements for the provision of sufficient information within the organisation and, where appropriate, between organisations operating on the same infrastructure;

(g) procedures and formats for how safety information is to be documented and designation of procedure for configuration control of vital safety information;

(h) procedures to ensure that accidents, incidents, near misses and other dangerous occurrences are reported, investigated and analysed and that necessary preventive measures are taken;

(i) provision of plans for action and alerts and information in case of emergency, agreed upon with the appropriate public authorities; and

(j) provisions for recurrent internal auditing of the safety management system.

Annex 2 COMMON SAFETY INDICATORS

If new facts or errors are discovered after the submission of an Annual Safety Report, the indicators for one particular year shall be amended or corrected by the infrastructure manager, railway undertaking or the Intergovernmental Commission as the case may be, at the first convenient opportunity and at the latest in the next annual report.

For indicators relating to accidents under heading 1 below, Regulation (EC) No. 91/2003 of the European Parliament and of the Council of 16th December 2002(31) on rail transport statistics shall be applied as far as the information is available.

Indicators relating to accidents

1.—(1) Total and relative (to train kilometres) number of accidents and a break-down on the following types of accidents:

(a) collisions of trains, including collisions with obstacles within the clearance gauge;

(b) derailments of trains;

(c) level-crossing accidents, including accidents involving pedestrians at level-crossings;

(d) accidents to persons caused by rolling stock in motion, with the exception of suicides;

(e) suicides;

(f) fires in rolling stock; and

(g) others.

Each accident shall be reported under the type of the primary accident, even if the consequences of the secondary accident are more severe, eg a fire following a derailment.

(2) Total and relative (to train kilometres) number of persons seriously injured and killed by type of accident divided into the following categories:

(a) passengers (also in relation to total number of passenger-kilometres);

(b) employees including the staff of contractors;

(c) level-crossing users;

(d) unauthorised persons on railway premises; and

(e) others.

Indicators relating to incidents and near-misses

2.—(1) Total and relative (to train kilometres) number of broken rails, track buckles and wrong-side signalling failures.

(2) Total and relative (to train kilometres) number of signals passed at danger.

(3) Total and relative (to train kilometres) number of broken wheels and axles on rolling stock in service.

Indicators relating to consequences of accidents

3.—(1) Total and relative (to train kilometres) costs in euro of all accidents where, if possible, the following costs should be calculated and included:

(a) deaths and injuries;

(b) compensation for loss of or damage to property of passengers, staff or third parties —including damage caused to the environment;

(c) replacement or repair of damaged rolling stock and railway installations; and

(d) delays, disturbances and re-routing of traffic, including extra costs for staff and loss of future revenue.

• From the above costs shall be deducted indemnity or compensation recovered or estimated to be recovered from third parties such as motor vehicle owners involved in level crossing accidents. Compensation recovered by insurance policies held by railway undertakings or infrastructure managers shall not be deducted.

(2) Total and relative (to number of hours worked) number of working hours of staff and contractors lost as a consequence of accidents.

Indicators relating to technical safety of infrastructure and its implementation

4.—(1) Percentage of tracks with Automatic Train Protection (ATP) in operation, percentage of train kilometres using operational ATP systems.

(2) Number of level crossings (total and per line kilometre). Percentage of level crossings with automatic or manual protection.

Indicators relating to the management of safety

5.  Internal audits accomplished by infrastructure managers and railway undertakings as set out in the documentation of the safety management system. Total number of accomplished audits and the number as a percentage of audits required (and/or planned).

Additional indicators.

6.  The above listed indicators in this Annex are derived from Annex 1 of the Railway Safety Directive 2004/49/EC. Additional indicators may be required by the Intergovernmental Commission specifically for the risks in the tunnel.