Commission Regulation (EU) No 1077/2012Show full title

ANNEX U.K. Supervision activities

1. Setting up the supervision strategy and plan(s) U.K.

The national safety authority shall:

(a)

identify areas for targeted supervision activities;

(b)

develop a supervision plan or plans showing how it will give effect to the supervision strategy during the lifecycle of a valid safety certificate/safety authorisation;

(c)

produce an initial estimate of resources required to give effect to the plan or plans, based on the target areas identified;

(d)

allocate resources to give effect to the plan or plans;

(e)

use data/information from a variety of sources as an input to the strategy and the plan or plans. Sources could include information gathered during the assessment of safety management systems, outcomes of previous supervision activities, information from authorisations to bring subsystems or vehicles into service, national investigation bodies accident reports/recommendations, other accident/incident reports or data, a railway undertaking’s or an infrastructure manager’s annual reports to the national safety authority, annual maintenance reports from entities in charge of maintenance, complaints from members of the public and other relevant sources.

2. Communicating the supervision strategy and plan(s) U.K.

The national safety authority shall:

(a)

communicate the overall objectives of the supervision strategy and overall explanation of the plan or plans to relevant railway undertakings or infrastructure managers and, where appropriate, more widely to other stakeholders;

(b)

provide relevant railway undertakings or infrastructure managers with an overall explanation on how the supervision plan or plans will be undertaken.

3. Carrying out the supervision strategy and plan(s) U.K.

The national safety authority shall:

(a)

execute the plan or plans as foreseen;

(b)

take proportionate action to deal with failure to comply, including issuing any urgent safety alerts when necessary;

(c)

evaluate how adequately a railway undertaking or an infrastructure manager has developed and implemented an action plan or plans to remedy any non-compliance identified by the national safety authority within a specified time period.

4. Outcomes of supervision plan(s) U.K.

The national safety authority shall:

(a)

share results with the relevant railway undertaking or infrastructure manager of the effectiveness of their safety management system in delivering safe performance, including identifying areas of non-compliance on the part of the infrastructure manager or railway undertaking;

(b)

have an overview of the safety performance of the individual railway undertakings or infrastructure managers operating in its Member State;

(c)

publish and communicate to relevant stakeholders its views on the overall safety performance in the Member State;

(d)

publish and communicate to relevant stakeholders its views on the effectiveness of the safety regulatory framework.

5. Reviewing supervision activities U.K.

On the basis of experience gathered during supervision activities, the national safety authority shall at regular intervals:

(a)

conduct a review of the plan or plans to check that the original targeted activity, use of data/information from a variety of sources, supervision outcomes and resource allocation are appropriate, changing priorities as necessary;

(b)

make any necessary changes to the plan or plans if they are to be revised and consider the impact of the changes on the supervision strategy;

(c)

contribute when necessary with its views and any proposals to its Member State to overcome any deficiencies in the safety regulatory framework.