The Railways (Safety Case) Regulations 2000

Regulations 4 and 5

SCHEDULE 1 PARTICULARS TO BE INCLUDED IN A SAFETY CASE

1.  The name and address of the person who has prepared the safety case (in this Schedule referred to as “the duty holder”).

2.  A description of the operation undertaken by the duty holder.

3.  A general description of the railway infrastructure, premises or plant intended to be used by the duty holder for the operation undertaken by him.

4.  Particulars of risk assessments carried out by the duty holder in relation to railway operations undertaken by him including—

(a) a statement of the assessment process undertaken, the methods of any calculation used and any assumptions made;

(b) a statement of the significant findings of the risk assessment including the measures in place and any further measures the duty holder intends to take to comply with the relevant statutory provisions; and

(c) particulars of the arrangements the duty holder has made for the effective planning, organisation, control, monitoring and review of the measures identified in sub-paragraph (b) above.

5.  Particulars to demonstrate that the management system of the duty holder is adequate to ensure that the relevant statutory provisions will be complied with by him in relation to the operation he undertakes, including—

(a) a statement of the duty holder’s general policy with respect to the health and safety of persons affected by the operation he undertakes and of the health and safety objectives he intends to achieve in relation to it;

(b) particulars to demonstrate that the duty holder has an adequate organisation for carrying out the policy referred to in sub-paragraph (a) above and adequate arrangements for ensuring the competence of his employees as respects health and safety;

(c) particulars of the arrangements that the duty holder has established for implementing the policy referred to in sub-paragraph (a) above, for setting health and safety objectives and for measuring health and safety performance; and

(d) particulars of the arrangements that the duty holder has established for the carrying out of audits, for the making of audit reports and for the review of health and safety performance.

6.  Particulars of the—

(a) technical specifications; and

(b) procedures or arrangements relating to operations or maintenance, which the duty holder intends to follow in connection with the operation undertaken by him, in so far as they affect the health and safety of persons.

7.  Particulars of the arrangements relating to health and safety that the duty holder has established for the design and procurement of premises and plant to be used by him or under his control.

8.  Particulars of the arrangements that the duty holder has established for consulting his employees on matters of health and safety including the arrangements for complying with regulation 14(8).

9.  Particulars of the arrangements that the duty holder has established for the making and keeping of records relating to the training and competence of his employees as respects health and safety.

10.  Particulars to demonstrate that the duty holder has established adequate arrangements for the passing and receiving of information relevant to health and safety to and from—

(a) persons within his undertaking;

(b) railway operators whose operations affect or are affected by the operation undertaken by the duty holder; and

(c) railway operators who may require the information in order to comply with their health and safety duties.

11.  Particulars of the arrangements that the duty holder has established for securing the health and safety of persons and for managing work carried out by persons who are not his employees on or in relation to premises or plant which he owns or controls.

12.  Particulars of the arrangements that the duty holder has established to enable him to comply with regulation 11, including particulars to demonstrate that the duty holder has established adequate arrangements for enabling the infrastructure controller to follow with respect to that safety case the arrangements described in his own safety case pursuant to paragraphs 3 and 4 of Schedule 2.

13.  Particulars to demonstrate that the duty holder has established adequate arrangements—

(a) for investigating accidents and other incidents which could endanger persons;

(b) for identifying the causes of such accidents or incidents;

(c) for co-ordinating such investigations with the investigations carried out by other railway operators; and

(d) for participating in investigations carried out by other railway operators.

14.  Particulars of the arrangements that the duty holder has established for dealing with accidents and with emergencies or other incidents which could endanger persons.

15.  Particulars of the arrangements the duty holder has established—

(a) to prevent risks to the health and safety of persons arising from the movement or overcrowding of persons at stations operated by the duty holder;

(b) for the evacuation of persons in an emergency from stations operated by the duty holder; and

(c) for the provision of equipment and arrangements for the evacuation of persons in an emergency from trains operated by the duty holder.

16.  The duty holder’s proposals for improvements to his safety case and to the health and safety measures referred to in it, together with his proposed time-scales for the making of such improvements.

17.  In this Schedule—

(a) “audit” means systematic assessment of the adequacy of the management system to achieve the purpose referred to in paragraph 5(d) carried out by persons who are sufficiently independent of the system (but who may be employed by the duty holder) to ensure that such assessment is objective;

(b) “management system” means the organisation and arrangements established by the duty holder for managing his undertaking;

(c) any reference to an operation undertaken by a duty holder is—

(i) where the safety case is prepared pursuant to these Regulations by an infrastructure controller, a reference to the operations he carries out in relation to the railway infrastructure concerned; and

(ii) where the safety case is prepared pursuant to these Regulations by a person who operates trains or a station, a reference to the train or station operations concerned; and

(d) any reference to operations undertaken includes operations which are intended to be undertaken.