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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).

Safety management systems should help you to manage risk and mitigations in terms of both safety and health. As such they should take into consideration the requirements of:

  • the Railways and Other Guided Transport Systems (Safety) Regulations (Miscellaneous Amendments) 2013
  • the Health and Safety at Work etc Act 1974
  • the ORR's Risk Management Maturity Model (RM3)
  • the recently published ISO 45001 - Occupational health and safety

As well as looking at your own company's performance, you should also be collaborating with others in the industry. The areas for, and potential benefits from, collaboration are described in the industry's health and safety strategy document Leading Health and Safety on Britain's Railway (LHSBR).

The programme has recently delivered Guidance on the Common Safety Method for Risk Evaluation and Assessmention Guide, and LHSBR Progress Report No4 (an update on implementation of the industry strategy). During 2018-19 the programme will be reviewing its whole range of safety management guidance products and services. A new Railway Industry Standard on accident investigation (RIS3119) will be published in September 2018. A project to update Taking Safe Decisions is already underway; this will include information about Common Safety Methods and other recent safety legislation.

Safety management systems programme 2018-19

During 2018-19, RSSB aims to deliver:

  • Deliver enhanced safety reporting systems and tools
  • Provide full SMIS reporting capability
  • Establish a collaborative delivery programme to prioritise further system functionality in SMIS
  • Establish a collaborative delivery programme to prioritise further system functionality in SMIS
  • Introduce new data quality assurance processes
  • Redesign the Safety Risk Model
  • Enhance use of the Risk Management Maturity Model
    • Drive efficient collaboration
  • Report regularly on how members are implementing the strategy in Leading Health and Safety on Britain's Railway strategy
  • Improve regular safety performance reporting
  • Undertake deep-dive analysis of emerging risks and opportunities
    • Improve guidance on safety decision making
    • Update Taking Safe Decisions
    • Revise and extend our worked examples of its principles
    • Operational safety risk improvement

  • Create a new SPAD risk pre-cursor tool - the Red Aspects Approach Tool
  • Station safety improvements: an improved, easier to use PTI risk assessment tool; a new safety information campaign for passengers; improved data and intelligence gathering
  • Freight train safety improvement: we will continue to provide risk analysis and insight around safety risk, and provide technical expertise to improve understanding and control of each company's top risks
  • Expand the CIRAS network: enabling more staff to have access to confidentail reporting
    • Road safety risk: we will provide support to the proactive identification and mitigation of all types or rail-related road risk; introduce a road risk scorecard; introduce road risk requirements into RISQS; and launch a new road driving risk resource centre on our website

  • We will provide regular training courses in human factors awareness, and non-technical skills
    • Improved accident investigation

  • We will deliver an improved statndard with a more proportionate and efficient approach to root cause investigation
  • Create an accident investigator's training course
  • 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.

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