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Safety Management Systems

​​​​​​​​​​​​​​​​​​​​​​​​​​​If you build, operate, or maintain rolling stock or other railway vehicles, you are required by law to have a Safety Management System (SMS).

RSSB's SMS guidance supports and facilitates the efficient implementation of GB and European legislation in the field of safety management systems. The objective of the programme is to track and influence future national and European safety developments, and then provide solutions for efficient implementation amongst our members.

The programme has already delivered the ROGS Duty of Cooperation Guide, a variety of ROGS SMS support publications, a database to identify and manage shared risks; and has represented industry across a range of EU safety management forums and policy groups.

Safety management systems programme

During 2013-14, RSSB will deliver:

  • An updated Duty of Cooperation Guide. This will reflect the work of the modernisation of safety cooperation project (see end of page for more information).
  • Improved management of shared risks through use of the Industry Shared Risk Database (ISRD), involving a planned stakeholder engagement programme.
  • Increased staff competency and management actions related to accident investigations, including the development of a digital interactive learning resource for investigators, to supplement our 2011 accident investigation guidance.
  • Guidance on model SMSs, processes for co-operation, and system safety guidance. This builds on our 2011 guidance Safety Management Principles – moving beyond compliance.
  • Safety Assurance guidance to support requirements under new EU legislation (Common Safety Method for Monitoring External link), in addition to follow up workshops and pilot events to embed assurance principles.
  • Road driving risk management strategies and best practice to implement within an SMS.
  • The programme also aims to run a 2014 SMS event for industry to facilitate knowledge sharing. For more information contact Ian Moreton.

Other on-going activities include:

  • Coordinated GB rail input to key European developments such as the proposed amendments to the Railway Safety Directive [need to find link. Are these later than the 2008 version?] [out] and other safety elements of the Fourth Railway Package External link.
  • Interactive support for the industry in the various UIC External link and ERA SMS programmes External link in Europe.
  • Management of the Infrastructure Safety Leadership Group (ISLG), which exists to enable contractors to meet and share best practice with regard to operational safety issues.
  • Provision of suitable tools, guidance, publications and events.

The Railways and Other Guided Transport Systems (Safety) Regulations (as amended) 2006

The Railways and Other Guided Transport Systems (Safety) Regulations 2006 External link (ROGS) transpose the European Railway Safety Directive into UK law. ROGS came into force on 01 October 2006 and place a duty on railway undertakings (RUs) and infrastructure managers (IMs) to:

  • Develop safety management systems that must meet certain requirements.
  • Have a safety certificate (for RUs) or a safety authorisation (for IMs).
  • Show that they have procedures in place to introduce new or altered vehicles or infrastructure safely.
  • Carry out risk assessments and put in place the measures they have identified as necessary to make sure that the transport system is run safely.
  • Work together to make sure the transport system is run safely (ROGS regulation 22).

The ROGS (Miscellaneous Amendments) Regulations 2013 External link came into force on 21 May 2013. The 2013 amendments include:

  • The requirement for entities in charge of maintenance (ECMs) of freight wagons to have an ECM certificate.
  • The removal of the requirement for mainline operators to carry out safety verification under ROGS (this requirement has been superseded by the equivalent requirement in the common safety method for risk evaluation and assessment Commission Regulation (EC) 352/2009).
  • The requirement for controllers of safety critical work to have suitable and sufficient monitoring arrangements in place.

The ORR has published an unofficial consolidated version of ROGS External link, showing the amendments from 2006 to 2013.

The ORR has also issued a guide to ROGS External link.

The Railways (Interoperability) Regulations 2011 External link (RIR 2011) transpose the European Railways (Interoperability) Directive into UK law. The RIR 2011 came into force on 16 January 2012.

Modernisation of safety cooperation project

Over the years, a variety of groups, forums and arrangements have been established between passenger train operators, freight operators, Network Rail, infrastructure contractors, and RSSB to help understand system safety risk, review performance, and sponsor improvements. These are all part of the obligation on transport operators to discharge their legal duty of cooperation. Recent developments, and a review of existing arrangements, provide an opportunity to improve the approach to the cooperative management of system safety.

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