criteria for the railtrack’s railway safety - rssb iss 1.pdfin issuing this document, railway...

Railway Group Guidance NoteGA/GN6508 Issue One Date August 2001

Criteria for the Assessment by Railway Safety of Railtrack’s Railway Safety Case

This Guidance Note has been produced by Standards Project Manager

Authorised by Controller, Railway Group Standards

Synopsis This Guidance Note provides Railtrack PLC, and others, with information on the criteria to be used by Railway Safety when assessing Railtrack PLC’s Railway Safety Case.

This document is the property of Railway Safety. It shall not be reproduced in whole or in part without the written permission of the Controller, Railway Group Standards, Railway Safety. Published by: Railway Safety Evergreen House 160 Euston Road London NW1 2DX © Copyright 2001 Railway Safety

Uncontrolled When Printed

This page has been left blank intentionally



Railway Group Guidance Note GA/GN6508 Issue One Date August 2001 Page 1 of 52

R A I L W A Y S A F E T Y 1

Contents Section Description Page

Part A

Issue Record 2 Technical Content 2 Application 2 Health & Safety Responsibilities 2 Supply 2

Part B

1 Purpose 3 2 Scope 3 3 Background information 3 4 Definitions and abbreviations 4 5 Assessment of Railtrack’s Railway Safety Case 5 6 The acceptance/assessment process 6 7 Ensuring compliance with the RSC 8

Appendix A

1 General 9 2 Duty Holder 11 3 Executive summary/overview 12 4 Commitments 12 5 Description of operation 13 6 Risk assessment 14 7 Safety Management System (principles, policy and objectives) 16 8 Organisation 17 9 Management of train operations 20 10 Controlling access to the network 22 11 Arrangements at Railtrack’s operated stations 23 12 Operation of rail vehicles and vehicle maintenance 28 13 Infrastructure renewal and enhancement 29 14 Inspection and maintenance of assets 30 15 Infrastructure failure 32 16 Formulation of safety plans and objectives 32 17 Management of standards and procedures 33 18 Communications 34 19 Management of interfaces 35 20 Accident/incident reporting and investigation 36 21 Emergency planning 38 22 Contractors 39 23 Procurement 40 24 Consultation with employees 41 25 Competence 42 26 Safety inspections and safety tours 45 27 Change management 45 28 Safety related computer systems 45 29 Safety performance monitoring 46 30 Audit 46 31 Personal Protective Equipment (PPE) 48 32 Fire Safety 48 33 Management and maintenance of the Railtrack RSC 49 34 Assessment of train and station operators’ RSCs and monitoring of train and station operators 49 35 RSC development plan 50

References 51




2 R A I L W A Y S A F E T Y

Part A Issue Record

This document will be updated when necessary by distribution of a complete replacement.

Issue Date Comments One August 2001 Original Document

Technical Content

Approved by: Kevin Sutton, Railway Safety Case Assessment Manager

Enquires to be directed to Railway Safety – Tel: 020 7904 7518

Application Railway Group Guidance Notes are non-mandatory documents providing helpful information relating to the control of hazards and often set out a suggested approach, which may be appropriate for Railway Group* Members to follow.

* The Railway Group comprises Railtrack PLC, Railway Safety, and the train and station operators who hold railway safety cases for operation on or related to infrastructure controlled by Railtrack PLC.

Railtrack PLC is known as Railtrack.

Health & Safety

Responsibilities In issuing this document, Railway Safety makes no warranties, express or implied, that compliance with all or any document published by Railway Safety is sufficient on its own to ensure safe systems of work or operation. Each user is reminded of its own responsibilities to ensure health & safety at work and its individual duties under health & safety legislation.

Supply

Controlled and uncontrolled copies of this document may be obtained from the Industry Safety Liaison Dept, Railway Safety, Evergreen House, 160 Euston Road, London NW1 2DX.





Part B 1 Purpose

The purpose of this document is to provide Railtrack, and others, with information on the criteria to be used by Railway Safety when assessing Railtrack’s Railway Safety Case.

2 Scope This document applies to Railtrack who, as the duty holder of an already accepted RSC encompassing the scope of infrastructure controller and station operator, are required as part of each three-year review of their RSC, to revise the RSC in accordance with the assessment criteria published in GA/GN6508. Information and content in this document have been derived from:

a) HSE Guidance on Railways (Safety Case) Regulations 2000, which also contains the regulations

b) HSE acceptance criteria for RSCs

c) HSE Guidance on the Management of Health & Safety at Work Regulations 1999

d) experience of six years of accepting train and station operators’ RSCs by Railtrack in accordance with the Railways (Safety Case) Regulations 1994

e) experience gained from the application of Issue 1 of GA/GN6509 to the RSCs of train and station operators

f) monitoring and audit of Railtrack on compliance with its accepted RSC

g) a number of Railway Group Standards which are referenced within the assessment criteria

h) the Railway Group Safety Plan

i) recommendations from investigations into railway accidents and incidents made available since Issue 1 of GA/GN6509.

Publications and documents referred to above should be consulted for specific information and details.

3 Background Information

Under the provisions of the Railways (Safety Case) Regulations 1994, Railtrack was responsible for accepting the RSCs for train and station operators using its controlled infrastructure. In August 1999, Railtrack published Issue 1 of Railway Group Guidance Note GA/GN6509 which set down Railtrack’s acceptance criteria for train and station operators’ Railway Safety Cases. The publication of this document was the culmination of a year-long consultation with all train and station operators, the HSE, other interested stakeholders and Railtrack.

GA/GN6509 has been received extremely favourably by all new train operators who have had their Railway Safety Cases accepted since the project was launched in mid-1998. In addition, train and station operators with an already accepted Railway Safety Case have been applying the provisions of GA/GN6509 to their revised Railway Safety Cases, re-submitted for acceptance as part of the statutory three-year review requirement.

The Railways (Safety Case) Regulations 2000 which came into force on 31 December 2000, no longer provide for Railtrack to accept the RSCs of train and station operators. Acceptance is instead undertaken by the HSE. Railtrack, as the infrastructure controller, must, in order to comply with its health & safety





responsibilities, scrutinise the RSCs of train and station operators and make a recommendation to the HSE, as to whether a RSC should or should not be accepted. Additionally, the new regulations require Railtrack to procure from an assessment body, an independent assessment of a train or station operator’s RSC. Railway Safety performs the role of the assessment body in respect of Railtrack’s RSC. Railway Safety forwards its recommendation, as to whether or not the RSC should be accepted, to Railtrack, who in turn forward it to the HSE with their own recommendation.

In recognition of the introduction of the Railways (Safety Case) Regulations 2000, the revised process for RSC acceptance, Railway Group Standard changes and a review of the fitness for purpose of the existing assessment criteria, Railway Safety has published Issue 2 of GA/GN6509 dated June 2001. The criteria contained in Issue 2 are now published as Railway Safety’s assessment criteria for train and station operator Railway Safety Cases.

To complement GA/GN6509, it is appropriate that Railway Safety publishes its assessment criteria for Railtrack’s Railway Safety Case. The Railways (Safety Case) Regulations 2000 also require Railtrack to procure an independent assessment of its RSC. This assessment is carried out by Railway Safety. There is a responsibility placed upon Railway Safety to forward to Railtrack, a recommendation as to whether or not the submission should be accepted. Railtrack is required to forward this recommendation to the HSE along with its RSC submission. This document GA/GN6508 is the means by which Railway Safety publishes and updates its assessment criteria for Railtrack’s RSC. Since Railtrack’s RSC is the means by which Railtrack sets out its case for health & safety for the management of the railway infrastructure that it controls, Railway Safety has consulted with the train and station operators using Railtrack’s controlled infrastructure on the content of the criteria contained within this document.

4 Definitions and abbreviations

4.1 Definitions 4.1.1 Railway Group The Railway Group comprises Railtrack PLC, Railway Safety and the train and station operators who hold RSCs for operation on or related to infrastructure controlled by Railtrack PLC.

4.1.2 Railway Group Standard Railway Group Standards (RGSs) are technical standards with which railway assets (or equipment used on or as part of railway assets) should conform, and operating and management procedures with which all operators of railway assets, including the infrastructure controller, should comply.

4.1.3 Railtrack controlled infrastructure As detailed in Railtrack’s RSC.





4.2 Abbreviations

ALARP As Low as Reasonably Practicable ATGs Automatic Ticket Gates ATP Automatic Train Protection AWS Automatic Warning System CCBs Conformance Certification Bodies CCTV Closed Circuit Television CDM Construction (Design and Management) Regulations 1994 CIRAS Confidential Incident Reporting & Analysis System DOO Driver Only Operation ES Engineering Supervisor HMRI Her Majesty’s Railway Inspectorate HSE Health & Safety Executive HSWA Health & Safety at Work etc Act 1974 KPI Key Performance Indicator OTM On-Track Machine PICOP Person in Charge of Possession POCL Private Owner Circular Letter PPE Personal Protective Equipment PWRAs Private Wagon Registration Agreements Railtrack Railtrack PLC RACOP Railway Safety Approved Code of Practice - Produced by

Railway Safety; RGS Railway Group Standard – Produced by Railway Safety RGSP Railway Group Safety Plan RIDDOR Reporting of Injuries, Diseases and Dangerous Occurrences

Regulations 1995 ROSCO Rolling Stock Leasing Company RRV Road-Rail Vehicle RSAB Rolling Stock Acceptance Board RSC Railway Safety Case RSC Regulations 1994/2000

Railway (Safety Case) Regulations 1994/2000

SMIS Safety Management Information System SMS Safety Management System SPAD Signal Passed at Danger TOC Train Operating Company TPWS Train Protection and Warning System VAB Vehicle Acceptance Body VPF Value of Preventing a Fatality

5 Assessment of

Railtrack’s Railway Safety Case

5.1 Railways (Safety Case) Regulations 2000 – Transitional Arrangements Railtrack’s Railway Safety Case was accepted in accordance with the RSC Regulations 1994. To comply with the requirements of the RSC Regulations 2000, Railtrack was required to re-submit their RSC to the HSE for re-acceptance by 30 June 2001. This submission is referred to as the Transitional Review and was required by Regulation 16(2) of the RSC Regulations 2000.

Regulation 4(2) of the RSC Regulations 2000 required Railtrack to procure from Railway Safety, an independent assessment of the Transitional Review submission. Accordingly, Railway Safety applied the assessment criteria contained within this document to that independent assessment.





5.2 Three-Year Review Regulation 6 of the RSC Regulations 2000 requires Railtrack to undertake a thorough review of its accepted RSC at least every three years. Railway Safety understands that Railtrack intends to incorporate the commitments made in its last three-year review support submitted on 28 March 2000 within the transitional review submission detailed in 4.1 above. Railway Safety will expect Railtrack at each subsequent three-year review, to incorporate within its RSC, any changed requirements concerning Railway Safety’s assessment criteria published in future issues of this document.

5.3 Material revisions Railway Safety sets out its criteria as to the types of change in scope of operators, equipment, organisation or control measures that it considers constitute a material change to a Railway Safety Case in Railway Group Guidance Note GA/GN6510. Depending on the nature of the change, Railway Safety will apply the criteria contained within this document GA/GN6508 in its independent assessment of the proposal.

6 The acceptance/assessment

process Note: The description provided below details the process by which all changes to Railtrack’s Railway Safety Case which require an independent assessment will be assessed by Railway Safety.

6.1 Submission of the RSC or change to the RSC Railtrack should forward the submission to the Railway Safety Case Assessment Manager at Railway Safety, Floor 7, Evergreen House, 160 Euston Road, London NW1 2DX. This requirement meets Regulations 4(2) and 7(10) of the RSC Regulations 2000. Documents may be sent electronically. Railtrack will receive confirmation from Railway Safety that its submission has been received. Railway Safety will adopt the unique version number allocated by Railtrack. 6.1.1 Initial assessment by Railway Safety Railway Safety allocate a panel of RSC assessors to review the submission. These panel assessors are experienced in the relevant aspects of infrastructure control asset management and station operations. Competency criteria are set by Railway Safety for panel assessors. The Railway Safety assessment panel consists of a chairman, normally the RSC Assessment Manager, the RSC Advisor and a number of specialist assessors. If a review is being undertaken of the whole of Railtrack’s RSC, such as part of the three-year review, specialist assessors competent in all aspects of Railtrack’s activities as both infrastructure controller and station operator will be included on the assessment panel. For a material change, only specialist assessors relevant to the nature of the change(s) being proposed by Railtrack will sit on the assessment panel.

Where Railway Safety is satisfied from their initial review that the submission meets the requirements of the assessment criteria contained within this document and additionally, and in respect of a material revision, the requirements set out in Railway Group Guidance Note GA/GN6510, the arrangements described in 6.1.5 are applied. For the majority of revisions, however, the Railway Safety assessment panel will identify issues to be resolved prior to recommendation for acceptance being made. Railway Safety’s issues form the report required by Regulation 4(2)(b) of the RSC Regulations 2000 which is forwarded to Railtrack.

6.1.2 Requirement for a panel meeting It may be necessary for Railway Safety in respect of certain proposed revisions to invite Railtrack to a panel meeting. Such a panel meeting would always be held for a three-year review submission received from Railtrack. In respect of material changes, the criteria set out in GA/GN6510 would normally apply as to whether a panel meeting is necessary.





The purpose of the panel meeting is:

a) to allow Railtrack to present the submission and any additional information deemed relevant

b) to explore issues of clarification as required by the panel

c) to indicate and discuss any major issues that may affect Railway Safety in making a recommendation that the RSC should be accepted

d) to assess the ability and commitment of Railtrack to deliver the commitments and arrangements set out in the submission.

Following the panel meeting, the report identified in 6.1.1 is modified to incorporate any amendments, etc, agreed at the panel meeting and is then forwarded to Railtrack. 6.1.3 Closing of issues Railway Safety will enter into an iterative process with Railtrack on the closing out of issues. On each occasion that an updated issues log is received, Railtrack should amend the submission in accordance with the requirement(s) of each issue. When Railtrack considers that all the issues on the issues log have been addressed, a revised submission, together with the updated issues log should be sent to Railway Safety. The iterative process continues until all issues on the issues log have been closed. Railtrack should indicate clearly where in the revised proposal each issue is addressed. All documents should be dated and changes sidelined to enable the assessment panel to differentiate between the original proposal and any subsequent amendment to ensure a clear understanding between Railtrack and Railway Safety, upon which revision a recommendation to the HSE is finally made. If Railtrack fails to address all of the issues to the satisfaction of the Railway Safety assessment panel and cannot agree a way forward on the outstanding issues, Railtrack may either withdraw the proposal or indicate that the most recent submission is the final submission. Should such a situation arise, Railway Safety may make a recommendation to the HSE that the submission is not accepted, stating the reasons for that decision in the report. The HSE will either accept the revision or formally advise Railtrack in writing that the proposed revision is rejected and shall state its reasons for rejection in accordance with Regulation 4(4) or 7(7)(b) of the RSC Regulations 2000. Railtrack may then appeal to the Secretary of State in accordance with Regulation 15(1) of the RSC Regulations 2000. 6.1.4 Recommendation for acceptance On satisfactory completion of Railway Safety’s assessment process, Railway Safety forwards its recommendation to Railtrack. Railtrack should forward this recommendation to the HSE with the RSC submission as required by Regulations 4(3) and 7(1) of the RSC Regulations 2000. 6.1.5 Acceptance of the RSC by HSE Details of the HSE’s final acceptance process are described on the HSE’s internet website address (www.gov.uk/railway/rihome/htm). In accordance with regulations 4(4) of the RSC Regulations 2000, the HSE notify Railtrack when the RSC submission has been accepted. If the HSE do not accept the RSC for reasons shown in regulations 4(4) and 7(7)(b), the HSE process described on their website is instigated, including liaison with Railway Safety, as necessary. On acceptance of the RSC by the HSE, Railtrack is then required to distribute hard copies of the revised RSC to:

a) each train and station operator with a RSC which has been assessed by Railtrack (one copy)


http://www.gov.uk/railway/




b) Railway Safety (one copy)

c) HSE (two copies)

d) other affected infrastructure controllers (one copy).

An electronic copy of the revised RSC may also be sent to each of the above organisations.

6.2 Timescales for assessment/acceptance The HSE have published on the website performance standards for their RSC acceptance process. Accordingly, Railway Safety has agreed to the following timescales:

a) Railway Safety acknowledges receipt of the formal submission to Railtrack within two working days.

b) Railway Safety complete their initial assessment of the submission as follows:

i) for a material revision, within 17 working days of receipt of the submission

ii) for a three-year review submission, within 27 working days of receipt of the submission.

c) Where Railway Safety determine the need for a panel meeting, this normally takes place within 30 working days of receipt of the submission.

d) The timescales for reassessment of a submission that attempts to address issues depends on the number and nature of the issues raised by the Railway Safety assessment panel. The intention, however, is that this part of the assessment process is completed by Railway Safety within 20 working days of receipt of the revised submission. Obviously, when a submission is back with Railtrack to address issues, the matter of timescales is outside the control of Railway Safety. Where it is not possible for Railway Safety to meet the timescales identified above, Railtrack will be advised of the reasons why it has been necessary to resort to a revised timescale.

7 Ensuring compliance with the RSC

Regulation 10(1) of the RSC Regulations 2000 requires Railtrack to comply with the procedures and arrangements described in its RSC. This is a requirement of law. Railway Safety audits Railtrack for compliance with their RSC on an annual basis.





Appendix A Criteria for the Assessment of Railtrack’s Railway Safety Case by Railway Safety

1 General The following criteria apply to the whole RSC in general:

1.1 Meeting the requirements of the Railways (Safety Case) Regulations The RSC should demonstrate that Railtrack has a SMS in place that is suitable for its scope of activities. The RSC should contain all appropriate particulars required by the RSC Regulations 2000.

Schedule 1 of the RSC Regulations 2000 refers to the Management of Health & Safety at Work Regulations, 1999, in relation to assessing risks and implementing management arrangements to control risks. In producing the RSC, Railtrack should ensure that it takes account of the requirements of these regulations.

1.2 Context of RSC A RSC is only part of an overall risk management approach - production of a RSC is a requirement of the RSC Regulations 2000 but is only one element of what is required to meet the requirements of all the relevant health & safety legislation.

Railtrack cannot produce an effective RSC without assessing the risks to the health & safety of employees and other persons affected by its undertaking, and using the findings of that process to develop measures to control risks to these persons. These control measures will form part of the arrangements included in the RSC to explain how the operator manages health & safety aspects of its operation.

The elements of a successful SMS are described in the HSE publication: Successful Health & Safety Management (HS(G)65), or in BS8800.

1.3 Railway Safety’s assessment of the RSC The arrangements and procedures described in Railtrack’s RSC should when properly implemented, together with those described in the RSCs of train and station operators operating on or related to Railtrack’s controlled infrastructure, enable Railtrack to comply with its responsibility for ensuring the safety of the railway system and, in particular, its duties under the HSWA and other relevant statutory provisions. Regulation 2(4) of the RSC Regulations 2000 refers.

The HSE Guidance to the RSC Regulations 2000 states that the RSC serves two main purposes over and above that specifically required by the regulations. These are:

a) to give confidence that the duty holder has the ability, commitment and resources to properly assess and effectively control risks to the health & safety of staff and the general public

b) to provide a comprehensive working document against which management, and the assessment/acceptance bodies, can check that the accepted risk control measures and SMSs have been properly put into place and continue to operate in the way in which they are intended.

It is for the duty holder to decide on the purpose of its own RSC, and it is recommended that the purpose is stated in the RSC itself.

Railway Safety performs the role of the assessment body as defined in regulation 2(1) of the RSC Regulations 2000 in respect of the requirements placed upon Railtrack, as the infrastructure controller, shown in regulations 4(2), and 7(10). The scope of Railway Safety’s review of Railtrack’s RSC is as shown in regulation 2(4) of the RSC Regulations 2000.




1 0 R A I L W A Y S A F E T Y

1.4 RSC to be absolutely specific as to its contents It is essential to be able to identify the current RSC and trace it back to a particular acceptance certificate. The RSC should therefore be absolutely specific as to what is part of the RSC and what is a supporting document outside the RSC. Although Railway Safety or the HSE may require to review supporting documents as part of the respective assessment/acceptance processes, there should be sufficient detail within the RSC itself to enable the assessment/acceptance bodies to be satisfied that the respective assessment/acceptance criteria are met.

1.5 RSC audience The RSC should describe which posts and roles identified within the RSC are intended and expected to use the RSC.

1.6 RSC to be a controlled document The RSC should be a controlled document, with all pages dated and numbered.

Although not mandatory, it is recommended that paragraphs be individually numbered to facilitate the assessment/acceptance process.

1.7 Clarity/lack of ambiguity The description of the operation and arrangements within the RSC should be clear and unambiguous to allow all of the assessing/accepting bodies to satisfy themselves that the respective assessment/acceptance criteria are met. Language used should be appropriate to all users of the RSC. These principles also apply to the documents referred to in 1.13 below.

1.8 RSC to be statement of current state The RSC should be a statement of the intended operation and the arrangements to be applied to that operation. It should therefore be written to provide a description of the operation and arrangements which will be current and accurate from the date of implementation.

1.9 RSC to be kept up to date The RSC should be kept up to date with all changes to the description of the operation and arrangements being incorporated into the RSC prior to implementation (RSC Regulation 7).

1.10 Level of detail - general principles It is for Railway Safety to determine how much detail of particulars of arrangements requires to be included, as a minimum, in Railtrack’s RSC to enable a recommendation for acceptance to be made to the HSE. The level of detail required on specific arrangements is influenced heavily by the requirements of Schedules 1 and 2 of the RSC Regulations 2000, the assessment criteria contained within this document, the HSE’s own RSC acceptance criteria, the framework of RGS, and the extent to which these arrangements mitigate risk in relation to infrastructure control, station operation and legislative requirements.

Since the assessment carried out by Railway Safety is in accordance with the scope shown in section 1.3 of this Appendix A, the additional requirements that the RSC Regulations 2000 require Railtrack to include within its respective RSC are not included within this Appendix A. Accordingly, Railway Safety may not review these additional arrangements required by the schedule. Regulation 5(5) of the RSC Regulations 2000 requires Railtrack to advise the HSE of those arrangements and procedures contained within the RSC not assessed by Railway Safety.




R A I L W A Y S A F E T Y 1 1

Railtrack may wish to include information in its RSC for its own purposes, over and above that required by Railway Safety. As stated above, Railway Safety’s assessment of Railtrack’s RSC is based only on the responsibilities and scope shown in regulation 2(4). 1.11 Relationship between RSC and RGSs Mandatory controls are specified in RGSs to which Railtrack gives a global commitment to comply (see section 4.3). The RSC should contain those arrangements on which the RGS allows flexibility, with sufficient detail to give Railway Safety the assurance that the arrangements are adequate in relation to the scope of operation and the risks. Further details of these arrangements may be in Railtrack’s own internal documentation, which should be available to Railway Safety for scrutiny, if necessary, during compliance audit, and evaluation checks.

The overall principles are as follows:

a) The RSC should include a clear, unambiguous statement that Railtrack is committed to comply with all RGSs relevant to activities within the scope of its RSC.

b) Railtrack is not required to repeat any of the content of a RGS but simply to demonstrate understanding and how it is organised to comply. However, the description of arrangements in the RSC should be consistent with the content of relevant RGSs.

c) Where a RGS requires, or recommends, that Railtrack has certain arrangements in place, and these arrangements are significant in relation to risk mitigation for infrastructure control or station operation, the RSC should describe these arrangements, referencing the appropriate RGS.

d) Where a RGS is supported by a RACOP, the RSC should either confirm that Railtrack adopts the RACOP, or describe the alternative means by which Railtrack complies with the RGS. In the latter case, the assessment panel will judge the alternative arrangements against the RACOP.

e) The criteria listed in this document give clear guidance on what additional details are required in a RSC in relation to specific RGSs.

1.12 Contents and glossary Although not mandatory, it is recommended that a contents page and glossary of terms is included to facilitate the assessment/acceptance process and management of the RSC.

1.13 Procedures and standards referenced in the RSC The RSC should describe where any procedures, instructions or company standards that are referenced within the RSC can be found and that the status of these documents in context of the duty holder’s SMS arrangements is explained.

2 Duty Holder 2.1 Name and address of Duty Holder The Railway Safety Case (RSC) should contain the name and the full registered address of the Duty Holder.

(RSC Regulations 2000 Schedule 1, para 1)

2.2 Relationship with Holding Company The RSC should describe the relationship between Railtrack and the Railtrack Board, particularly the extent of the Board’s involvement in affecting the activities described in Railtrack’s RSC. The RSC should confirm that the Duty Holder (Railtrack) has ultimate accountability for compliance with the RSC.





2.3 Historical background The RSC should include a brief description of the historical background of Railtrack.

3 Executive summary/overview

3.1 General overview The RSC should contain a general introduction, overview or executive summary at the front of the RSC, outlining the purpose of the RSC and some of the key principles upon which it is based. There should be a commitment by Railtrack to ensuring that the RSC will be considered a ‘live’ document at all times within the organisation and that the RSC will demonstrate Railtrack’s capability, competence and commitment to diligently discharge its safety responsibilities.

3.2 Scope The RSC should include a description of the scope of Railtrack’s activities which should reflect Railtrack’s responsibilities as both infrastructure controller and station operator. The scope and extent of Railtrack’s controlled infrastructure should be referenced within the scope of the RSC. A list of operated stations should be included. Recognition of the interface with Railway Safety should be described. Additionally, incorporated within the overall scope of the RSC should be a reference to Railtrack’s responsibilities for assessing the RSCs of train and station operators in so far as ensuring Railtrack can continue to comply with its health & safety responsibilities and the commitments made in its RSC. Finally, recognition of the management of risks across identified interfaces should be made at this stage of the RSC.

3.3 Description of changes Accompanying each change to the RSC should be a description of any changes that have been made resulting from reviews and revisions to the previous edition of the RSC. This description would be helpful to those assessing and accepting the RSC, train and station operators and appointed Railtrack contractors and suppliers. Railway Safety accepts that Railtrack will need to meet the requirements of Regulations 6 and 7 of the Railways (Safety Case) Regulations in respect of reviews and revisions to the RSC and therefore, the documentation that Railtrack will need to submit to Railway Safety for assessing such reviews and revisions.

4 Commitments 4.1 Demonstrating commitment – general The RSC should demonstrate Railtrack’s commitment to ensuring safety in relation to its operations and activities. This can be demonstrated in a number of ways, including an appropriate safety policy statement and the specific commitments covered in sections 4.2 and 4.5 below. The RSC should also demonstrate how the commitments contained in the safety policy statement are linked to the activities, arrangements and procedures described within the RSC. However, Railway Safety expects to see commitment demonstrated throughout the RSC through the clear, unambiguous description of arrangements that commit Railtrack to specific, auditable actions.

4.2 Railways (Safety Case) Regulations The RSC should include a specific commitment to comply (conform) with the Railways (Safety Case) Regulations 2000 and other relevant legislation. Incorporated should be an understanding that the accepted RSC does not in anyway diminish Railtrack’s responsibilities to comply with all other relevant health & safety legislation.

(RSC Reg 10(1))





4.3 Railway Group Standards The RSC should include a specific commitment to comply with all Railway Group Standards relevant to the activities described within the scope of the Railtrack RSC.

4.4 Railway Group Safety Plan The RSC should include a specific commitment to support the objectives of the annual Railway Group Safety Plan by the creation of Railtrack’s own annual safety plan and the cascade of relevant objectives to specific posts at appropriate levels within the company.

4.5 Co-operation by train and station operators The RSC should include a commitment by Railtrack to ensuring that written agreement is obtained from train and station operators that they will comply with any reasonable request Railtrack may make with respect to health & safety within the scope of its RSC. This will include any aspect of activity, which affects, or is likely to affect, the safety of the network.

(RSC Regulation 4(1)(c)

5 Description of operation

The RSC should contain a description of the operation. It is essential that this is accurate and comprehensive to allow Railway Safety to satisfy itself that the risks are properly identified and the arrangements described in the RSC are sufficient to control these risks. (RSC Regulations, Schedule 1, paras 1(2) and 1(3))

In describing the scope of operation and technical specifications, it is not necessary to include technical details which Railway Safety already has, such as the location of signal boxes, or line speeds of particular routes. To ensure the description of operation is comprehensive, it should cover the following parameters, where relevant.

5.1 Structure of the industry The RSC should summarise Railtrack’s role within the overall structure of the rail industry in the UK. Recognition of the roles of the Office of the Rail Regulator, the Strategic Rail Authority, Railway Safety, ROSCOs, the Health & Safety Executive, as well as train and station operators should be incorporated.

5.2 Geographical extent of the infrastructure Figures concerning the extent of Railtrack’s controlled network, the number of trains operated on the network, passengers carried, and freight tonnage carried should be included within the RSC introduction.

5.3 Operation of assets The RSC should include a description of the principal assets operated and owned by Railtrack, together with relevant data on the type and quantity of assets. This includes owned vehicles that are operated by TOCs. The provision of supporting assets to enable the network to be operated safely should also be reflected within the description. A summary of what Railtrack understands, as infrastructure control in the context of the RSC Regulations should be included.

5.4 Asset responsibilities A summary of Railtrack’s responsibilities concerning the design, maintenance, renewal and enhancement of its assets and infrastructure should be included at this stage of the RSC, including the extent to which these activities are carried out by Railtrack or by contractors and suppliers.

5.5 Station operation The RSC should include a description of those stations for which Railtrack is the operator. The RSC should also summarise the process for the leasing of stations





to station operators and the purchasing of access rights to stations not operated by Railtrack to ensure safety responsibilities are clearly defined.

5.6 Control of access and co-ordination of movements The RSC should summarise the arrangements by which Railtrack plans and controls access to its network and co-ordinates the movement of trains on the network.

5.7 Operation of the network The RSC should include a summary description of the different types of signalling in use on the network, including approx. numbers of each type of signal box, approximate track miles covered by each type of signal box and the method of controlling trains by each type of signal box operation. A summary of the activities involved in supplying electricity for traction purposes should also be recognised within the RSC.

6 Risk assessment 6.1 Risk assessment 6.1.1 Overall purpose of risk assessment The purpose of the risk assessment that should be incorporated within the RSC is to identify the risks to the health & safety of any person arising out of Railtrack’s activities as both infrastructure controller and station operator. Evidence that a suitable and sufficient risk assessment has been carried out is fundamental to ensuring that an acceptable SMS consisting of appropriate preventative and protective control measures are in place to control the whole risk profile of Railtrack’s activities. The risk assessment is also an essential part of the process for determining the arrangements that are required to be in place to meet the requirements of health & safety legislation. This record of significant findings then becomes an effective statement of the hazards and risks that are present and promotes management, staff and contractors to take the relevant actions to ensure that the control measures for those risks are applied in full.

It should be understood that the output of Railtrack’s assessment of the risk from its operations will aid train and station operators in the assessment of their own risks arising from their activities. This is also a cyclical process in that risks identified by operators will feed back into the reviews of Railtrack’s risk assessment output and process.

6.1.2 Methodology for risk assessment The RSC should include a description of the risk assessment methodologies adopted by Railtrack in order to achieve a systematic approach to the identification of the significant hazards, the likelihood that harm from the hazard will occur and the consequences. This should include a summary of the key personnel involved in the hazard identification and safety review process, together with details of their competence and experience to be able to input to the process . Where consultants and advisers are used in the process, the RSC should demonstrate that there has been involvement from competent Railtrack managers and employees relevant to the risk being considered. The methodology of risk assessment applied should be proportionate to the risks being considered. Particular reference should be given to the methodology applied to infrequent catastrophic events with exceptionally high consequences. The methodology should describe the key sources of data used, such as historical and reliability data, including that provided by external sources such as Railway Safety. Details of any assumptions made, together with their validity and human factor considerations should also be referenced. Guidance is provided within paragraph 4 of Schedule 1 of the RSC Regulations 2000 on the different types of risk assessment methodology that should be considered in ensuring that a suitable and sufficient assessment of the risks is undertaken. This will ensure that the output of the risk assessment process can be used to support the decision making process on the application and the types of control or combinations of control measures required to be put in place to ensure risk is reduced to as low as reasonable practicable.





(RSC Regulations, Schedule 1, para 4(a))

6.1.3 Identification of hazards The RSC should include identification of the significant hazards associated with Railtrack’s activities as both infrastructure controller and station operator identified by the processes and methodologies used by the company.

(RSC Regulations, Schedule 1, para 4(b))

6.1.4 Identifying groups of people most at risk The RSC should include a description of the groups of people who might be particularly at risk from Railtrack’s activities as infrastructure controller and station operator. This should cover the groups of people identified in the annual Railway Group Safety Plan (ie employees, contractor personnel, other railway workers, passengers and the public). Where separate groups of people are exposed to additional risks due to location, activity or local operation, these should be identified.

(RSC Regulations. Schedule 1, para 4(c))

6.1.5 Identification of control measures For each identified significant hazard, the RSC should describe the key management preventative and protective controls (including technical systems) within Railtrack’s Safety Management System, which are implemented to mitigate and reduce the significant risks to as low as reasonably practicable. Consideration should be given to the controls already in place and the likelihood and the consequences of these controls failing, either singly or in combination. Further controls to reduce risk to as low as reasonably practicable should also be specified. This should include a description of the process or demonstration within the RSC as to how Railtrack has ensured that appropriate controls, either singly or in combination, are in place to ensure that the risk associated with each identified hazard is broadly acceptable or As Low as Reasonably Practicable (ALARP).


6.1.6 Risk ranking and classification The RSC should include a description of the rating and/or ranking methodologies applied in order to provide a comparison of likelihood and severity and hence overall risk between each of the significant hazards identified.


6.1.7 Tolerability of risk The RSC should include a summary of the risk assessment methodologies and principles that Railtrack applies to measure risk tolerability and for the application of control measures where risks are identified as being within the region of tolerable and intolerable. This should include encompassing the requirements of relevant health & safety legislation and recognition and application of the Value of Preventing a Fatality (VPF) concept used within the Railway Group Safety Plan.


6.2 On-going risk assessment process 6.2.1 Risk assessment process In addition to the description of the methodology, significant findings output and record of control measures identified in the RSC risk assessment, the RSC should include a description of Railtrack’s policy and process for systematically identifying and assessing the risk associated with the activities described in this RSC. This should include the application of risk assessment strategies and methodologies used for assessing risks associated with activities which take place on Railtrack’s controlled infrastructure, workplace risk assessments, task risk assessments, interface risk assessments and risk assessments for





temporary activities or arrangements. The principles governing the determination the type of methodology of risk assessment applied depending on the activity being considered should be reflected within the RSC.

How Railtrack makes use of historical and reliability data, human factor considerations and assumptions made within risk assessments should be referenced. The description provided should demonstrate how Railtrack uses the output of risk assessments to determine appropriate preventative and protective control measures and the incorporation of these measures into SMSs. Measuring the validity of output against benchmarks should also be recognised within the overall process. The use of risk assessment to inform management decision making within the company, particularly in relation to prioritising improvements, project design, business plans, formulating objectives and implementing control measures should be referenced. Principles governing the frequency of risk assessment reviews should be described as well as an explanation of how the overall approach to risk assessment is co-ordinated and integrated across all activities.

(RSC Regulations, Schedule 1, para 4(c))

6.2.2 Competence and involvement in risk assessments The RSC should provide assurance about the competence of those involved in undertaking risk assessments at all levels within the organisation as well as describe how personnel are made aware of their responsibilities pertaining to risk assessment. Where expertise or resources is not available from within Railtrack, the RSC should summarise the key components of the process for procuring technical expertise in risk assessment techniques. The RSC should additionally describe how the findings of risk assessments are communicated to all affected personnel as well as to appropriate train and station operators, contractors, suppliers and Railway Safety. The involvement of these other interfacing organisations in the on going risk assessment process should also be recognised, together with the input of local safety representatives and ground-level personnel. Railtrack’s RSC should also describe the arrangements by which Railtrack assesses the risk assessment policies, principles and management arrangements applied by train and station operators as well as contractors through the acceptance of Safety Assurance Cases and the assessment of train and station operators’ RSCs.


6.2.3 Validity and review of risk assessments Railtrack’s RSC should describe the arrangements the company has in place for ensuring the continuing validity of risk assessments as well as the continuing validity of the RSC risk assessment required in section 6.1 above. This should include the process for assessing the implications of changes to existing as well as new assets, the reliability of assets, workplace and task procedures, new technology, monitoring the effectiveness of controls, searching for the requirement for additional controls and for monitoring changes in safety performance. The requirements for meeting the Management of Health & Safety at Work Regulations 1999 for the review of risk assessments should be met.


7 Safety Management System (principles,

policy and objectives) 7.1 Principles of Safety Management System The RSC Regulations 2000, Schedule 1, paragraph 5 requires that a RSC includes particulars to demonstrate the adequacy of Railtrack’s management system in relation to safety of the scope of operation undertaken. The RSC Regulations 2000 supporting guidance defines ‘management system’ as ‘the organisation and arrangements established by the duty holder for managing his





undertaking’. The SMS referred to in the Guidance contained within this Appendix A refers to those elements of Railtrack’s management system that are concerned with health & safety, and in particular, controlling the hazards and risks identified in section 6 arising out of Railtrack’s activities described in section 5. Railtrack should determine which parts of the SMS should be included within the RSC for ensuring compliance with the RSC Regulations 2000 and the supporting schedules and guidance. Railway Safety also need to determine that the SMSs are suitably robust to ensure Railtrack can achieve the criteria contained within Appendix A of this document.

In formulating an effective SMS, Railtrack are, however, recommended to refer to the following:

a) The HSE publication, Successful Health & Safety Management, HS(G)65.

b) BS8800, Guidance to Occupational Health and SMSs, 1996.

c) BS EN ISO 9000-1, Quality Management and Quality Assurance Standards: Guidelines for Selection and Use, 1994.

d) The HSE’s RSC Acceptance Criteria published on the HSE web site at the address shown in section 4.2 of this document.

The RSC should describe the SMS arrangements by which Railtrack ensures the development of policy, organisation, effective planning, implementation, control, monitoring and review of the arrangements and procedures that manage Railtrack’s risks. The RSC should go on to describe how these measures are incorporated into Railtrack’s SMS. The RSC should describe the overall structure (or system architecture) of the SMS. It should describe how the SMS operates consistently throughout the organisation, including how the system is implemented, documented, distributed etc. The description provided should include the corporate strategic level policy-making process as well as for the management of safety, the management of processes or control systems, roles and responsibilities for managing safety within a particular aspect of the duty holder’s operation. (Use of organisational diagrams may be helpful.)

7.2 Company Policy Statement The RSC should include Railtrack’s current Health & Safety Policy Statement, together with a summary of the purpose of the statement. The policy should include commitment to ensuring the health & safety of persons affected by Railtrack’s activities and to achieving high standards of safety endorsed at Board level. The job title of the person signing the Policy and the date it came into operation should be clearly identified. The RSC should include the arrangements for the review of the Policy, together with the frequency of the review and the ability for all staff to contribute to the review of the Policy. The RSC should further describe the arrangements for the publishing, cascade and distribution of the Policy, the production of local Policy Statements and the process for the implementation of the Policy.

(RSC Regulations Schedule 5(a))

8 Organisation 8.1 Description of organisation The RSC should describe the overall company structure that Railtrack has in place for ensuring the company fulfils its statutory obligations and safety responsibilities as both infrastructure controller and station operator and for the strategic development of safety issues within the railway industry. Sufficient description should be provided of the HQ Directorates and Zone organisational structures to enable Railway Safety to be assured that the organisation has, through the allocation of responsibility and accountability at all levels of the organisation, the capability, resources, commitment and competence to deliver its safety policy and RSC obligations throughout all aspects of its activities. Specific attention should be given within the description of the organisation to those parts





of the company structure responsible for delivering the activities described within Railtrack’s RSC.


8.2 Railtrack Board and Executive Group The RSC should identify the senior management group with overall executive responsibility for the activities within the scope of its RSC. This should include identification of key Board Members with accountabilities for ensuring the commitments described in the RSC are delivered as well as the responsibilities that are general to the Board. In addition, the RSC should incorporate a description by post title of the key safety roles and responsibilities of the executive group. In addition to the description offered for the HQ executive group, a description of the posts, together with key safety roles and responsibilities, which form the executive group within the Zones, should also be encompassed within the organisation detail provided. The RSC should additionally describe the arrangements for ensuring members of the respective executive groups are competent to discharge these responsibilities. The RSC should also describe the process by which the Railtrack Board allocates resources, including expenditure across the risk profile of Railtrack’s activities, to ensure the RSC and development plan commitments are delivered.


8.3 Identification of safety critical workers The RSC should identify the position within the organisation of particular groups of Railtrack employees who carry out safety critical work or other key safety activities at ‘ground level’. This will include signallers, crossing keepers, controllers and other production personnel. The RSC should identify the approximate numbers of staff within each safety critical group, together with immediate Supervisors and local managers to give a broad indication of spans of control. This is to enable an assessment to be made that Railtrack has adequate numbers of immediate line managers of safety critical personnel to discharge its legal responsibilities for the training, assessment and monitoring of safety critical personnel.

For personnel who are not employees of Railtrack, the RSC should describe how Railtrack ensures that contractors and suppliers have arrangements in place for identifying personnel who carry out tasks which are classified as being safety critical. This description should go on to describe the arrangements for assuring by such organisations that compliance is achieved with the Railways (Safety Critical Works) Regulations 1994 and Railway Group Standard GO/RT3260.

The RSC should describe how personnel carrying out safety critical work are made aware of their responsibilities.

For a definition of safety critical work, see the RSCW Regulations, with further guidance in RGS GO/RT3260 and the HSE/RIAC document ‘Guidance on the Definition of Activities Regarded as Safety Critical Under the Railways (Safety Critical Work) Regulations 1994’ (RSCW Regulations). For personnel who are not employed by the operator, the RSC should describe how Railtrack ensures contractors and suppliers have arrangements and procedures in place which ensure the personnel concerned are both competent and fit to perform their associated tasks and responsibilities. Specific description of key qualification criteria should be included within the RSC, relating to formulation and review of competency criteria, recruitment, selection, training, assessment, monitoring and fitness checks. Further details on the requirements contained in this section 8.3 can be found in sections 11.4 and 25.






8.4 Line management of safety critical groups The RSC should describe the structure and reporting lines of groups of employees carrying out safety critical work, showing the control structure from executive group to ground level. Where several posts exist at a particular level of the line management structure, these may be shown within the RSC generically, but the RSC should indicate the approximate number of staff in the level directly above the ground level staff to give a broad indication of spans of control. Additionally, the process by which Railtrack determines numbers of supervisory/managerial personnel of safety critical groups should be included.

Similarly, for safety critical work undertaken by contractors and suppliers personnel, the RSC should describe how Railtrack ensures that the line management of such personnel within contractors’ and suppliers’ organisations contains sufficient resource and competence from executive level to ground level. This is to ensure the robustness of competence assessment systems that will assure compliance with the requirements of GO/RT3260.

(RSC Regulations, Schedule 1, para 5(b)) 8.5 Technical support The RSC should identify those parts of the organisation responsible for providing professional technical support in all disciplines covered by the scope of the RSC. The posts leading those parts of the organisation should be clearly identified with a description of their roles, accountabilities, responsibilities and competence requirements. Where these posts fall outside line management, their relationship with the appropriate line management should be described. The RSC should identify the criteria by which Railtrack assesses the competence of the person leading the provision of technical support. In developing competence criteria in this area, it is recommended that Railtrack consider relevant professional qualifications as well as relevant experience of the particular discipline in a railway environment.


8.6 Posts with key safety responsibilities The RSC should include a summary of the key safety responsibilities for those individual posts Railtrack has identified within the RSC as being tasked with the management of safety. In addition, for those posts not individually identified within the RSC, but which have responsibilities for ensuring delivery of safety policy and the safety management system, the RSC should include a description of the company arrangements for delegating key safety responsibilities to these post holders. Additionally, the arrangements for ensuring clear lines of accountability for health & safety performance by these post holders should be reflected. The RSC should also describe how post holders are made aware of these responsibilities and accountabilities.

(RSC Regulations, Schedule 1, para 5(b)) 8.7 Process for formal allocation of responsibilities Railtrack’s arrangements for the formal allocation of key safety responsibilities to individual post holders by means of job descriptions and safety responsibility statements should be described within the RSC. This description should go on to summarise the arrangements for briefing of these responsibilities, acceptance of accountability and where necessary, deputising arrangements or arranging competent cover. A survey of how Railtrack ensures all responsibilities are determined and no gaps are left should be provided.


8.8 Competence The RSC should describe the relevant health & safety qualifications, professional qualifications, skills, knowledge, experience for the key managerial posts identified in this section. (Competence of safety critical groups is dealt with later





on in this document.) The arrangements for recruitment and identifying and providing training for these posts and development needs should be provided. Recognition of railway industry standards and qualifications should be referenced. Where assessment of competence is required for any of the posts identified, this should be reflected within the description provided, together with the arrangements for continuous assessment and monitoring. Since competence of managerial or supervisory personnel form part of the overall competency management system, the criteria contained elsewhere in this Appendix A for planning, resourcing and reviewing the competency management system also apply.

(RSC Regulations, Schedule 1, para 5(b)(c)(d))

8.9 Attendance The RSC should provide a brief description of the arrangements for ensuring that the absence of key personnel is quickly identified and indicate how remedial measures are implemented to cover such absence.

8.10 Discipline and reward A brief summary of the arrangements Railtrack has in place for identifying, warning and formally disciplining employees who fail to comply with safety instructions, procedures, responsibilities, etc, should be provided within the RSC. This description should extend to the arrangements by which Railtrack ensures that contractor personnel would be subject to similar process, or the action Railtrack will undertake to ensure such personnel are refused access to the network. Reward and appraisal schemes that Railtrack has in place for recognition of good safety performance and measuring the extent to which objectives are achieved should be detailed within the RSC.

9 Management of train operations

9.1 Railtrack Operations Control The RSC should incorporate a description of the role of Railtrack Operations Control that should include a summary of the key safety information that is exchanged with train operating companies, including diversions, speed restrictions, late notices, infrastructure failures, etc. Operations Control will have a role in ensuring the requirements of Railway Group Standard GO/RT3411 are met concerning planning for and responding to severe weather and this role should be reflected within the RSC. In conjunction with train operators, implementing the contingency plans as required by RGS GO/RT3437 concerning defective on-train equipment should similarly be described. A brief description of the role of the National Control Centre should also be included within the RSC, particularly in respect of the exchange of urgent operational advices or high risk defects as required by RGS GO/RT3350, and GE/RT8250. The RSC should also detail how Railtrack assures Control Room personnel are competent to discharge their responsibilities. The need for the exchange of key safety information with other infrastructure controllers should also be reflected.

(RSC Regulations, Schedule 1, paras 6(b) and 10)

9.2 Conditions of low rail adhesion The RSC should include a summary of the arrangements in place for complying with RGS GO/RT3356 on the management of low adhesion risks. This should include the training and briefing of key personnel to recognise locations of potential low adhesion, application of site specific risk assessments in conjunction with train operators, anticipation of poor railhead conditions through weather forecasts and application of remedial actions. The arrangements for determining the effectiveness of remedial actions in conjunction with train operators should also be encompassed within the RSC, together with the sharing of information with train operators.

(RSC Regulations, Schedule 1, paras 6(a) and 6(b))





9.3 Non-operation of track circuits The RSC should summarise the arrangements for complying with GO/RT3208 concerning the action taken in the event of the non-operation of track circuits during the leaf fall period. Attention should be given to the interface with train operators, the competency of persons carrying out site examinations and the availability of special working arrangements. Other remedial measures should be referenced.


9.4 Information for safe train operation The RSC should describe the arrangements by which Railtrack ensures train information is made available to permit safe train operation and interworking on the network. Similarly, the availability of train information in the event of an incident or accident on the network should also be recognised. The arrangements by which Railtrack agrees the availability and format with train operators should also be incorporated, as well as how Railtrack ensures train operating companies fulfil their obligations for inputting to train information systems. RGS GO/RT3435 applies.


9.5 Checking the speed of trains The RSC should describe the arrangements for undertaking checks on the speed of trains as required by RGS GO/RT3253. These may be checks undertaken by Railtrack alone or in conjunction with TOCs. These arrangements should include details on the organisational arrangements for undertaking checks, the competency of the persons performing checks, the frequency of checks, methods or available equipment for performing checks and the criteria for determining the locations for such checks. The RSC should further go on to describe the arrangements for advising TOCs of instances of Drivers caught speeding, how Railtrack co-ordinates checks where more than one train operator runs trains over a particular route and the retention of records, together with actions on infringements. Finally, a summary of the procedures by which Railtrack will respond to a report of a Driver speeding should be included within the RSC.


9.6 Driver-Only Operation The RSC should include a description of the arrangements by which Railtrack accepts new or changed Driver Only Operation schemes as required by the provisions of RGS GO/RT3271. These arrangements will include the procedure for agreeing with train operators the division of responsibility for the provision, maintenance and replacement of DOO equipment and ensuring that all risks associated with the scheme are reduced to as low as reasonably practicable. A summary of the arrangements for dealing with failures of equipment should also be documented within the RSC. The RSC should summarise the arrangements by which Railtrack will ensure that its employees and any contractors/suppliers personnel are competent and fit to discharge any new or changed safety critical responsibilities. This will include performance monitoring following scheme implementation.


9.7 Train radio communication The RSC should describe the arrangements Railtrack has in place to ensure train radio equipment is operational in order to comply with RGS GO/RT3410. The RSC entry should go on to summarise Railtrack’s arrangements for providing and maintaining radio equipment which meets the requirements of the RGS specified above, monitoring train radio performance and sharing information with TOCs on equipment performance. Finally, the RSC should provide scope for agreeing contingency plans with TOCs on the method of working to be adopted in the





event of failure of train radio equipment and monitoring recordings as a means of ensuring system integrity and user discipline.


9.8 Train protection systems The RSC should describe in general terms, the extent to which train protection systems (AWS, TPWS, ATP and Trainstops) are fitted across the network. The different train protection systems in use should be described, together with a summary description as to how each system works as a means of mitigating the risk of a signal being passed at danger or a train over-speeding. Railtrack’s development strategies for train protection systems across the network should be described in the RSC. Special arrangements concerning the trial operation of train protection systems should be described as well as the liaison with train operators, Railway Safety, infrastructure contractors and the Health & Safety Executive on the operation of systems. The RSC should summarise the arrangements applied by Railtrack when either infrastructure based or on-train train protection system equipment becomes defective.

(RSC Regulations, Schedule 1, paras 6(a) and 6(b). Railway Safety Regulations 1999)

9.9 Defective on-train equipment The RSC should describe the arrangements Railtrack has in place for agreeing and reviewing with train operators, the contingency plans required by RGS GO/RT3437. The RSC should describe the arrangements for the implementation and application of contingency plans, particularly where train operators operate trains across more than one Railtrack Zone.

10 Controlling access to the network

10.1 Changes in service frequency and changes in the type of vehicle using a route Railtrack’s RSC should describe the organisational and procedural arrangements the company has in place for identifying changes in risk as a result of changes in the frequency of trains, mix of type of train or service and stopping patterns over a given line of route in conjunction with train operators. This should encompass the risk assessment criteria and subsequent mitigating actions applied to significant changes in the frequency of train services, modest changes in frequency over a period of time and where there is no significant change introduced at a timetable change. Particular emphasis should be included within the summary of the arrangements for considering the implications of the rate of Signals Passed at Danger, for briefing key personnel such as signallers and Operations Control personnel and for assessing the implications for monitoring the condition of assets such as track and structures. The arrangements for advising train operators and contractors should also be detailed because of the subsequent actions that need to be carried out by these interfacing organisations. How Railtrack monitors train operators and contractors on their respective responses to the notification of timetable change data should also be summarised.

10.2 Changes in train regulation policy The RSC should describe the process for determining the risk implications of changes in train regulation policy at both local and national level. Emphasis should be given to the application of risk assessment to consider the potential for any increase in the number of Signals Passed at Danger, briefing of signallers, human factor risks associated with changes in the actions required by signallers and the advice of information to train operators. For instances of where increased potential risk is identified, the RSC should describe the types of mitigating measure that will applied and for monitoring the effectiveness of additional control measures.





10.3 Effect upon the infrastructure of service changes and changes in the type of vehicle using a route Railtrack’s RSC should describe the arrangements for infrastructure examination and the re-categorisation of infrastructure, as necessary, prior to introduction of new rolling stock, changes in permissible speed, increased tonnage or increased train frequencies being introduced over a route, changes in signal spacing and altered or new permissive working arrangements. Such processes are required by a number of Railway Group Standards including GC/RT5022, GC/RT5023, GC/RT5100, GK/RT0007, GK/RT0011, GK/RT0034, GK/RT0044, GI/RT7004 GI/RT7006, GE/RT8006, and GE/RT8029.

10.4 Possession planning The RSC should describe the arrangements Railtrack has in place for ensuring that engineering work is planned in accordance with the requirements of RGS GO/RT3093. This should include the process for ensuring sufficient time to enable possessions to be safely planned, the possession planning meeting process, determining and allocating roles and responsibilities and allocating a train operator for each train (OTM, RRV, etc.) The summary of the process should also incorporate contractor interfaces, advising train operators of possessions that will affect train services, short term emergency possession planning arrangements and late changes to possession plans. The RSC should also explain the arrangements by which Railtrack will ensure that its appointed contractors have similar processes in place that ensure the requirements of RGS GO/RT3093 are being met.

10.5 Possession monitoring Railtrack’s RSC should describe the arrangements in place to monitor both the possession planning process and compliance with Rule Book and associated publication requirements governing possessions. This description should include monitoring to ensure adherence to RGS GO/RT3093 and monitoring of train operators to ensure compliance with their respective RSCs. The checks carried out should also encompass protection arrangements, correct authorisation of movements and compliance with Rule Book procedures by PICOPs, engineering supervisors and signallers for the taking and giving up of possessions. The description should provide an indication as to the frequency of possession checks undertaken and the process for ensuring that possession audit forms encompass all required criteria and that non-compliances with standards and procedures are followed up with appropriate Railtrack departments and contractors. Finally, the RSC should briefly describe the process by which Railtrack ensures that its contractors have similar arrangements for audits on possession activities.

11 Arrangements at Railtrack’s operated

stations 11.1 Scope The RSC should include a comprehensive list of those stations operated by the Duty Holder. It should also summarise the scope of station activities covered by the RSC and provide a general profile of each station. Specific risks associated with each station operated should also be described within the RSC. The RSC should include a summary as to what Railtrack considers to be the criteria and scope covered by station operation, as well as its general policy on station operation.


11.2 Organisation The RSC should include a description of the organisational arrangements for the management of the stations operated by the Duty Holder. Sufficient detail should be included of these organisational arrangements to provide Railway Safety with the assurance that Railtrack has the commitment, capability and resources to implement the arrangements described in the RSC. This should include the individual or group with overall executive responsibility for the safe operation of





the stations operated, together with the executive reporting lines and those responsible for making policy and strategic decisions. The responsibilities of the key line management posts responsible for station management and operation should be summarised, including those line managers responsible for persons carrying out safety critical work. Organisation Charts of the line management arrangements described above should also be incorporated within the RSC, together with a description of those posts within or outside the station management organisation responsible for the provision of technical support (for definition of technical support, see 8.8). Where these technical support posts or departments fall outside the line management structure, their relationship with the appropriate line manager should be described.


11.3 Responsibilities and accountabilities for station operation The RSC should provide a summary description of the management responsibilities and accountabilities pertaining to station operation at Railtrack’s operated stations, together with any support activities. This should include key safety-related accountabilities and day-to-day management and supervisory tasks. The process and responsibility for the formulation, authorisation and review of station operation standards, codes of practice, procedures, work instructions should be incorporated within the RSC. Some of the criteria for determining enhanced staffing requirements should be detailed, for instance as a response to train service disruption or to manage additional passenger numbers promulgated by special events.


11.4 Train despatch and shunting The RSC should detail those operated stations at which train despatch duties are carried out by platform staff. The RSC should then go on to describe the arrangements by which Railtrack ensures that these safety critical tasks are performed competently by the persons concerned. This will include a description of how Railtrack ensures that personnel supplied by train operators are competent and fit to undertake this activity. This will require an assessment of the recruitment, selection, training, assessment and monitoring of performance arrangements that the supplying operator has in place for the personnel concerned. The RSC should also describe the arrangements the infrastructure controller has in place for the monitoring of train operators’ personnel performing train despatch or shunting duties. The criteria for determining the frequency of monitoring should also be described. Where the infrastructure controller also employs personnel performing train despatch or shunting duties, the RSC should describe its own arrangements for the recruitment, selection, training, assessment and monitoring of the personnel concerned.

Other arrangements to be incorporated in the RSC are variations on train despatch from the procedures described in RGS GO/RT3000 and the interface arrangements with train operators whose trains are despatched by Railtrack. Since competence of personnel performing the task of train despatch will form part of the overall SMS, the criteria contained elsewhere in this Appendix A for planning, resourcing and reviewing the competency management system will also apply.

(RSC Regulations, Schedule 1, paras 5(b) and 6(b))

11.5 Station control room staff The RSC should describe the responsibilities for ensuring personnel staffing station control rooms at Railtrack’s operated stations are competent to perform their duties and responsibilities, including the implementation of emergency plans, evacuation procedures, station security measures and liaison with Railtrack’s own and train operators controls on train and station operations matters. Other competencies will relate to the interface with other train operators and other infrastructure controllers, the provision of information, public address





communication protocol, fire control panel testing, staff deployment, maintaining logs and managing personnel belonging to other companies who work at the station. Since competence of personnel performing the task of train despatch will form part of the overall SMS, the criteria contained elsewhere in this Appendix A for planning, resourcing and reviewing the competency management system will also apply.


11.6 Automatic Ticket Gates (ATGs) The RSC should identify those stations operated by Railtrack at which ATGs are installed together and the methods of ensuring that the ATGs are continuously monitored at the stations concerned. The RSC should further describe the generic controls that are in place to ensure personnel monitoring the operation of the ATGs are competent to do so, including the monitoring of their performance in carrying out these duties. The RSC should also describe the controls that are in place to ensure disabled passengers and passengers with heavy luggage, etc, can pass through the gatelines, for ensuring passenger flows through the gatelines are not inhibited and the maintenance arrangements of the gates. Commitments should be included within the RSC for ensuring station emergency and crowd control plans recognise the installation of ATGs at the stations concerned and for the train operators to undertake an annual count to ensure gate capacity remains sufficient. Finally, the RSC should describe the validation process by which Railtrack accepts ATG schemes at its operated stations through material changes to its RSC.


11.7 Trespass, vandalism and station security The RSC should describe the arrangements in place as required by RGSs GC/RT5201 and GC/RT5203 for preventing trespass and vandalism from occurring both at stations operated by Railtrack and via these stations for access to railway lines operated by Railtrack. This will include liaison arrangements with the British Transport Police, the facility offered by Automatic Ticket Gates, provision of CCTV, visibility of staff, station security patrols, station lighting, public address announcements and the arrangements at times when increased vigilance is necessary such as enhanced station surveillance measures. The RSC should indicate those with responsibilities for addressing trespass and vandalism. The RSC should also describe the arrangements for sharing information on the reported instances of trespass and vandalism as well as on strategies for reducing trespass, particularly at ‘hot spots’ and monitoring the effectiveness of these strategies.


11.8 Fire safety The RSC should describe the arrangements for fire safety at stations operated by Railtrack, including compliance with all relevant legislation and RGS GH/RT4002. This should include the provision of fire protection, detection and suppression systems, maintenance of this equipment, fire certification, liaison with the emergency services, fire precautions checks carried out by staff and records retention. The RSC should also reflect the requirements of RGS GE/RT8005 and its associated Code of Practice GE/RC8505 concerning the correct use of materials at station premises, particularly the need for risk assessments when undertaking modifications or refurbishment of existing buildings. The RSC should further describe the training arrangements provided to station personnel, including personnel employed by train operators, retailers, tenants, the Post Office and contractors. These training arrangements should include training in the operation of fire suppression equipment.






11.9 Fire Precautions (Sub-Surface Railway Stations) Regulations 1989 – Section 12 The RSC should identify those stations operated by Railtrack to which the above regulations apply. The RSC should describe how minimum staffing levels are determined and how Railtrack ensures all personnel working at the station are trained in the operation of fire fighting equipment and on their role in the event of a need to evacuate the station because of the outbreak or detection of fire. This will include training, assessment and on-going monitoring. Incorporated within the RSC should be a description of the arrangements for controlling the risk of fire including the provision of fire suppression systems and fire fighting equipment, fire doors, communication facilities, call points, public address systems, automatic public address announcements, emergency signing, evacuation routes and the use only of fire resistant materials. A commitment to routine checks of the station should be incorporated into the RSC as well as general ‘housekeeping’ arrangements, particularly in relation to the storage of equipment and materials and rubbish clearance.

The RSC should describe the additional arrangements in place for contractors undertaking activities such as cleaning, asset maintenance or renewals at stations classified as being sub-surface. These arrangements should include how contractors are familiarised with evacuation procedures and on compliance with arrangements operated at the station to prevent the outbreak of fire, such as the safe storage of equipment and materials. Finally, the RSC should detail the additional arrangements applied at these stations for the testing of emergency procedures, including emergency exercises, debriefings and liaison with the local Fire Authority.


11.10 Operation of platform vehicles The RSC should describe the arrangements for ensuring the safe condition and operation of station concourse and platform vehicles at Railtrack’s operated stations. This will include the training of personnel (including third party personnel) in the operation of these vehicles, together with their assessment and monitoring of performance. The arrangements for ensuring that only authorised personnel drive these vehicles and that vehicles are only used at designated times over specified routes/areas and are properly secured when not in use should also be detailed. Maintenance arrangements should also be summarised, together with the process for ensuring vehicle loading does not overstress platforms.


11.11 Customer flow and congestion control The RSC should describe the general arrangements for customer flow and congestion control in stations, both during normal and abnormal conditions. This should include the production, issue, review and testing of crowd control plans both during planned (eg sport events, concerts, displays) and unplanned (eg train service disruption) events and the allocation of responsibilities to ensure each of these requirements is undertaken. Criteria should be in place to identify when overcrowding is becoming a problem necessitating the execution of plans. The arrangements for ensuring all personnel working at the station, including staff, train operator’s staff and tenants are trained and assessed in the execution of the plan should be detailed in the RSC. A commitment to undertake exercises to test the effectiveness of the plan should also be written into the RSC, together with the criteria for determining the frequency at which these exercises are undertaken. Coupled with these arrangements will be the requirement to debrief personnel and review the effectiveness of the plans following their application during either an instance of overcrowding or an exercise.

The RSC should identify typical control measures used to control overcrowding and to minimise its effects, such as the use of automatic ticket gates, special stop orders, reviewing train service patterns, etc. Finally, the RSC should describe the





arrangements for liaison with train operators, other infrastructure controllers, regulatory authorities and the emergency services on customer flow and congestion control arrangements.

(RSC Regulations, Schedule 1, paras 6(b) and 15(a))

11.12 Emergency planning at stations The RSC should describe the arrangements for emergency planning at stations in relation to incidents and accidents at stations, such as terrorist threats, buffer stop collisions, train collision, lighting or communications failure and damage to the station infrastructure. Criteria are detailed elsewhere in this section in relation to emergency planning and preparedness response to fire and congestion. These arrangements will include the production, issue, review and testing of emergency plans and the allocation of responsibilities to ensure each of these processes is actioned. The arrangements for ensuring all personnel working at the station, including staff, other companies personnel and tenants are trained and assessed in the execution of the plan should be detailed in the RSC. A commitment to undertake exercises to test the effectiveness of the plan should also be written into the RSC, together with the criteria for determining the frequency at which these exercises are undertaken. Coupled with these arrangements will be the requirement to debrief personnel and review the effectiveness of the plans following their application during either a real exercise or as an exercise. A summary of some of the generic emergency response measures incorporated within plans should be identified within the RSC. Finally, the RSC should describe the arrangements for liaison with train operators, other infrastructure controllers, Regulatory Authorities and the emergency services on emergency planning.

(RSC Regulations, Schedule 1, paras 6(b) and 15(b))

11.13 Maintenance and planned works The RSC should describe the arrangements for the execution of planned and emergency works at stations operated by Railtrack. The description provided should encompass determining frequencies for maintenance, maintenance records, replacement of damaged or missing equipment and facilities, passenger safety, etc. Arrangements for liaising with train operators regarding passenger safety when maintenance or planned risks are due to take place should be in included.

11.14 Access for contractors at stations The RSC should describe the arrangements for controlling the access of contractors to stations operated by Railtrack. This should include the pre-planning of works, production of method statements which mitigate safety, quality and environmental risks, access to work on the station, briefings of contractor’s personnel including on emergency procedures and notices to passengers and staff. The RSC should then go on to describe the generic arrangements for the monitoring of contractors, storage of contractor’s equipment and materials, completion of works, interface meetings with contractors, ensuring the safety of passengers and station staff and emergency contact numbers.


11.15 Driver Only Operated (DOO) The RSC should describe the arrangements for agreeing with train operators the division of responsibility for the provision, maintenance and replacement of DOO equipment at Railtrack’s operated stations. A summary of the arrangements for dealing with failures of equipment should also be documented within the RSC.

11.16 Management of the platform-train interface The RSC should identify control measures in place to mitigate the significant risks associated with the platform-train interface and any initiatives in place to reduce the number and severity of incidents involving the platform-train interface. This





will include the provision of personnel on platforms, safe train despatch, platform markings, warning signs and barriers on platforms.

(RSC Regulations, Schedule 1, paras 6(b) and 15(a))

11.17 Planned inspections The RSC should describe the arrangements for planned inspections at Railtrack operated stations, including the allocation of responsibilities, determining the frequency of checks, formulation of check lists, competency of persons performing checks, agreeing and closing out actions.

11.18 Interfaces with external organisations The RSC should include a description of the management of interfaces at stations operated by Railtrack. This should include the identification of interfaces (train operators, other infrastructure controllers, PTEs, Emergency Services, local authorities, Regulatory Authorities, tenants, etc), controlling the risks associated with the identified interfaces, liaison.

(RSC Regulations, Schedule 1, para 11)

12 Operation of rail vehicles and vehicle

maintenance 12.1 Rail vehicles owned by Railtrack The RSC should describe the arrangements by which Railtrack will ensure vehicles that it has procured or leased are operated on its controlled network only by a train operator with an accepted RSC. This should include a commitment to ensuring that the respective train operators fully understand their responsibilities for the operation for such vehicles, which will include complying with all of the arrangements described in the train operator’s RSC for the operation of vehicles on Railtrack’s controlled infrastructure. These arrangements will include ensuring that the vehicles concerned are subject to the engineering and route acceptance procedures. The RSC should further go on to describe the arrangements for ensuring the train operators concerned fully understand their responsibilities with regard to the maintenance of such vehicles, especially where Railtrack has determined the contractor(s) responsible for performing maintenance and overhaul. Finally, Railtrack should describe the arrangements by which it will ensure that such train operators are provided with all relevant documentation and information to ensure the safe operation of these vehicles.


12.2 Private Wagon Registration Agreements (PWRAs) The RSC should include a summary of the types of vehicle that operate on Railtrack’s controlled infrastructure that are subject to PWRAs. The RSC should also summarise the requirements and mandatory data of Private Owner Circular Letter’s (POCLs) to which vehicles registered under PWRAs are required to conform. The requirements and mandatory data of POCLs should meet the minimum requirements of appropriate Railway Group Standards. This includes vehicle design and modification procedures, engineering and route acceptance, vehicle maintenance arrangements, competence of persons performing vehicle maintenance and the qualification of suppliers by contractors carrying out maintenance. Where POCLs are not used, the RSC should describe the mechanisms by which Private Wagon Owners are advised of technical standard requirements and operating and management standards. The RSC should further describe the arrangements by which Railtrack ensures that Private Wagon Owners are complying with the arrangements and requirements of POCLs and PWRAs through an appointed contractor(s). The arrangements by which Railtrack ensures that POCLs are kept current as a result of changing Railway Group Standards, UIC recommendations and legislative changes as well as technological developments and recommendations arising out of accidents should also be summarised within the RSC. The arrangements Railtrack has in





place for ensuring that its appointed contractor(s) has the competence and resources to perform the activities described above should also be incorporated within the RSC. Detailed within the RSC should also include a summary of the arrangements for reviewing audits, determining and closing out corrective actions (including the sharing of results with freight train operators) and the achievement of Key Performance Indicators by Private Wagon Owners on the safe operation of their vehicles.


12.3 Engineering and route acceptance The RSC should include a summary of the arrangements by which Railtrack ensures that trains and vehicles have certification to operate on its controlled infrastructure, both outside and within possessions. These arrangements will encompass the scope of the engineering and route acceptance processes. Railtrack’s arrangements for complying with its responsibilities detailed in RGSs GE/RT8006, GM/RT2000/1, GM/RT1300, GM/RT2400, GM/RT2402 and GO/RT3270 should be summarised. Also requiring detailing are the roles and responsibilities of the Vehicle Acceptance Bodies (VABs), Conformance Certification Bodies (CCBs) and the Rolling Stock Acceptance Board (RSAB), together with the process by which Railtrack is assured through Railway Safety (except in the case of RSAB) that these bodies are competent to discharge these responsibilities. The arrangements by which Railtrack ensures that all train operators are made aware of any restrictions that accompany engineering and route acceptance should also be summarised. With regard to route acceptance, Railtrack’s RSC should summarise that process for the certification of new trains and vehicles operating on its controlled infrastructure. The application of risk assessment and ensuring risks are reduced to as low as reasonably practicable to each of these processes should also be summarised.


13 Infrastructure renewal and

enhancement 13.1 Criteria for determining infrastructure projects Railtrack’s RSC should summarise the criteria for determining requirements for the renewal and enhancement of assets on Railtrack’s controlled infrastructure. The RSC should describe the organisational arrangements by which Railtrack determines these requirements. This will include the interface arrangements with train and station operators and with contractors responsible for monitoring and evaluating the status of the infrastructure and associated assets.

13.2 Approval requirements for changes to the infrastructure Railtrack’s RSC should describe the arrangements for assessing the effect upon safety and safe working of changes to the infrastructure in accordance with the requirements of RGS GC/RT5101. These arrangements should encompass the project and technical approval phases by competent persons, including feasibility and suitability of design, staging of works, applicable RGSs and internal standards, approving materials, equipment or systems and the effect upon safety. Documentation arrangements should also be summarised.

13.3 Planning and organisation of projects Once agreement for a project has been authorised, the RSC should describe the organisational arrangements for the development and management of the project. The RSC should describe how Railtrack assures safety throughout the life cycle of the project, right from the development stages through to commissioning and handover of the assets(s) back from the principal contractor to Railtrack. This should include the arrangements for the formulation and approval of Project Safety Cases, Health & Safety Plans and Method Statements. The RSC should summarise the principal criteria for inclusion within each of these documents. This should include a safety policy for the project, suitable and sufficient safety risk assessments, allocation of responsibilities, safety and





technical audit arrangements, emergency arrangements, design specifications and drawings, requirements for compliance with Health & Safety legislation, compliance with Railway Group Standard requirements and qualification of suppliers (which encompasses contractors). Reference to available risk assessment tools such as the layout Risk Model and the Platform Starting Signal risk assessment tool referred to in GK/RT0064 should be included within the RSC, together with a commitment to apply them as appropriate during project design works.

13.4 Assessment of disruption to the network caused by infrastructure projects Encompassed within the description of the arrangements for planning the implementation of the project should be a reference to the process by which Railtrack ensures disruption to the network is minimised and the associated processes by which Railtrack assesses the risks caused by disruption. For example, methods of working concerning the operation of trains may increase risk necessitating the identification of additional control measures. The numbers and types of train passing over diversionary routes may introduce additional risks that should be identified and reduced to As Low as Reasonably Practicable.

13.5 Compliance with Railway Group Standards Railtrack will recognise that there is a large suite of Railway Group Standards, which set out design requirements for the design, construction, renewal, and enhancement of assets. Railtrack’s RSC should describe how all Railway Group Standard requirements for a particular infrastructure project are determined and then incorporated within the design requirements. This will include GC/RT5161 concerning station design requirements, GC/RT5110, ‘Design Requirements for Structures’, GC/RT5112 ‘Loading Requirements for the Design of Bridges’ and GC/RT5171 concerning the provision of underground services. Additionally, the suite of Railway Group Standards encompassing the design, principles and requirements, installation and testing of new or altered signalling and operational telecommunications equipment as described in GK/RM0501, ‘Manual of Signalling Principles Standards’, together with GK/RT0206, GK/RT0207, GK/RT0208, GK/RT0209 should also be complied with, together with GI/RT7004 concerning the design and operation of points. Finally, ensuring all design specifications will achieve compliance with gauging requirements as demanded by GE/RT8029 should be incorporated within project approval processes. As well as identifying Railway Group Standard requirements, the RSC should describe how Railtrack will ensure that all RGS requirements are met or non-compliances derogations granted in accordance with GA/RT6001, GA/RT6004 or GA/RT6006, as appropriate, are achieved. The RSC should also describe the arrangements by which Railtrack assesses any changes in the risk profile of its infrastructure controller responsibilities, as a result of new projects.

13.6 Project monitoring Finally, the RSC should describe the arrangements for the safety performance monitoring of infrastructure projects. This will include ensuring adherence by both Railtrack and contractors to the Project Safety Case, Project Plan and Method Statements and how measuring adherence will be achieved. The arrangements for ensuring approval of the Project from HMRI should be encompassed.

14 Inspection and maintenance of assets

14.1 Identification of assets The RSC should describe the process by which Railtrack ensures assets that require to be subjected to a maintenance and inspection routine are identified and recorded and the organisational process which will ensure that all asset registers are kept current. The RSC should describe how this asset information is made available throughout the organisation to persons who have the responsibility for ensuring assets are inspected and maintained in accordance with legal and Railway Group Standard requirements. In particular, RGS GI/RT7001 applies.





Additionally, the RSC should summarise how asset information is made available to contractors and other suppliers charged with the responsibility for undertaking inspection and maintenance. A number of Railway Group Standards detail the requirements placed upon Railtrack for identifying all assets and hence the description of the arrangements for recording assets to ensure compliance with GC/RT5100, GC/RT5151, GC/RT5180, GC/RT5123, GK/RT0009 and GK/RT0210 should be incorporated within the RSC.

14.2 Frequencies for inspections The RSC should describe how Railtrack ensures that the frequencies specified within Railway Group Standards for the inspection and routine maintenance of assets are complied with. Where Railway Group Standards permit for frequencies to be determined by risk assessment such as required by GC/RT5151, ‘Safe Asset Management – Embankments and Cuttings’, the RSC should detail the arrangements for undertaking, validating and approving the output of suitable and sufficient risk assessments. Criteria that will govern requirements for increasing the frequency of inspections, including the exchange of asset safety performance between Railtrack and contractors necessitating increased frequencies, should be referenced within the RSC. The RSC should describe the arrangements for recording all inspections and maintenance work undertaken, including the formulation and efficacy of working methods and procedures and checklists used during the inspection. A number of Railway Group Standards detail frequencies for inspections and maintenance and therefore the RSC description provided should give adequate assurance that compliance with the requirements of GC/RT5100, GC/RT5151, GC/RT5161, GC/RT5180, GC/RT5201,GC/RT5202, GE/RT8029, GK/RT0210 and GI/RT7004 will be achieved.

14.3 Asset evaluations Railtrack’s RSC should describe the arrangements by which it will ensure that Railway Group Standard requirements pertaining to asset evaluations to be carried out will be achieved. Specific reference to the evaluation of structures as required by GC/RT5100, coastal and estuarial defences as required by GC/RT5123, structures subject to flooding or scouring as required by GC/RT5143, embankments and cuttings as required by GC/RT5151, and tunnels as required by GC/RT5180 should be incorporated within the RSC. Additionally, the arrangements for asset evaluations of escalators and conveyors as required by GM/RT1201, GM/TT0136 in respect of lifts and signalling and telecommunications equipment as required by GK/RT0210 should be described.

14.4 Deferred maintenance Railtrack’s RSC should describe the criteria that are applied to deferring routine maintenance and inspections or work identified during maintenance and inspections as requiring to be carried out, including the undertaking of risk assessments, the division of responsibility between Railtrack and its contractors, the competence of persons making decisions, authority to defer recording of decisions and the need to carry out enhanced monitoring.

14.5 Allocation of responsibilities and competence Key to the process description will be how Railtrack will ensure that responsibilities are clearly allocated to designated individuals, both within Railtrack and within contractors’ organisations. Additionally, the arrangements for ensuring competence of persons both planning for and undertaking maintenance, inspections and defect rectification should be encompassed within the RSC. Key Railway Group Standards set down strict competence requirements and competence assessment regimes for certain inspection and maintenance activities. In particular, Railtrack’s RSC should describe how the company will ensure all personnel carrying out signalling and telecommunications work are competent in order to meet the requirements of GK/RT0101. Additionally, ensuring personnel are competent to examine structures as required by Railway Group Standards GC/RT5100 and GC/RT5122 should be detailed within the RSC. The RSC should go on to describe how asset defects and renewal requirements identified during inspections and routine maintenance are





undertaken, including allocating timescales and responsibilities for the work and monitoring to ensure work is completed.

14.6 Review of maintenance and inspection records Railtrack’s RSC should describe how Railtrack monitors to ensure designated planned frequencies for inspection and maintenance are achieved. This will incorporate the commitments placed upon contractors for the forwarding of reports to Railtrack and the management and technical checks and audits undertaken on contractor records as well as end product checks to ensure Railway Group Standard compliance. Action taken by Railtrack where checks, inspections and audits indicate failings by contractors to comply with maintenance regimes and procedures should be encompassed within the RSC to ensure there is no opportunity allowed to develop for increase in residual risk from these management and systems failings.

15 Infrastructure failure 15.1 Responding to failures The RSC should describe the arrangements for the management of safety related asset failures. This should include a summary of the arrangements for responding to failures, particularly with regards to the criteria drawn up with contractors on the speed of response to failures and for ensuring that contractors have sufficient resources to respond accordingly. Specific attention should be given to the attendance and managing the risks associated with bridge strikes as required by GC/RT5122, GC/RT5022 in respect of broken and defective rails, GK/RT0106 in respect of signalling equipment.

15.2 Recording and investigation of failures The RSC should describe the arrangements for the capturing of asset failure data, classification of failure data, application of defect management systems and for the investigation of failures. The RSC should confirm how the depth of investigation and investigation timescales are appropriate to the level of potential risk exposed by each category of failure. Incorporated within the RSC should additionally be a description of the arrangements for ensuring compliance with Railway Group Standards GK/RT0106 concerning failed signalling equipment and GC/RT5022 in respect of broken rails should be described. Where there is a requirement within Railway Group Standards for the exchange of asset failure data and investigation outcomes between Railtrack, train operators, Railway Safety contractors, suppliers and HMRI, these interface arrangements should be reflected within the RSC.

15.3 Performance monitoring The RSC should summarise the arrangements for the setting of Key Performance Indicators in relation to asset failure and for monitoring progress against these indicators. The arrangements described should encompass the failure of safety related signalling and operational telecommunications equipment as required by GK/RT0106, broken rails as required by GC/RT5022 and other technical track systems that form the permanent way. Where progress is identifying trends that indicate a failure to meet targets, the RSC should summarise the typical responses Railtrack would make to attempt to bring the rate of asset failure in line with the performance targets. The RSC should also summarise the initiatives being taken by Railtrack to reduce the number of occurrences of asset failure, which have the potential to lead to events with the potential to cause multiple casualties, such as broken rails, AWS failures and wrongside signalling equipment failures.

15.4 Reporting and data collection Railtrack’s RSC should confirm that there are arrangements in place to ensure that failures of infrastructure reportable to SMIS are entered onto the system by Railtrack or its contractors as required by RGS GH/RT4005.





16 Formulation of safety plans and objectives

16.1 Production of an annual safety plan The RSC should include a description of the process for the production of an annual safety plan, which incorporates measurable (SMART) long, medium and short term objectives, performance indicators and targets to deliver reductions in health & safety risks, as well reductions in accidents and dangerous occurrence’s. Incorporated within the safety plan should be a suite of objectives that support the annual Railway Group Safety Plan (RGSP) which is published by Railway Safety. How objectives link into Railtrack’s safety policy statement should be reflected within the description provided. There should be a description of who has the responsibility for the production of the plan, together with its authorisation. As well as the objectives contained in the RGSP, the RSC should summarise the sources of other safety performance data used to formulate measurable objectives and targets. A commitment to participation in Railway Group forums on safety planning should also be incorporated. The arrangements for any independent review of the annual safety plan should also be described.

16.2 Cascade of plans and objectives Within the RSC should be a summary of the arrangements by which Railtrack cascades the objectives within its annual safety plan to departments or individuals within the company, as well as contractors and suppliers (where appropriate), together with associated individual accountabilities. Where contractors and suppliers are responsible for the formulation of safety plans to support Railtrack’s safety plan, the RSC should describe the organisational arrangements by which Railtrack reviews the robustness and effectiveness of the plans.

16.3 Performance against objectives The RSC should describe the process for monitoring progress against objectives and reviewing objectives as well as ensuring sufficient resources to achieve objectives are continually available. This should include details of those posts/departments within Railtrack responsible for the collation of safety performance and incident data to enable performance against objectives to be measured. The means by which performance data is published and circulated to key individuals, Railway Safety regulatory authorities and other organisations should be described, together with an overview of the forums at which performance against objectives is reviewed. The annual safety plan published by Railtrack should include or reference a report on the previous year’s safety performance. The process for departmental or individual’s review against objectives should also be summarised.

(RSC Regulations, Schedule 1, para 5(c)) 17 Management of

standards and procedures

17.1 Setting of internal standards The RSC should describe the arrangements for the setting of internal operational safety, occupational health & safety, risk, technical, contract and procurement standards as well as procedures, specifications, codes of practice, guidance notes and instructions appropriate to Railtrack’s scope of activities. These arrangements should encompass the drafting, formulation, consultation, approval, implementation, briefing and distribution arrangements. The distribution arrangements should describe how all of these documents are brought to the attention of all affected personnel and organisations. Where internal standards, procedures, codes of practice, etc, affect train operators, contractors or suppliers, the arrangements for consultation, briefing and distribution should be described within the RSC.





17.2 Role of committees The arrangements required to comply with the above requirements should include a reference to the role of the technical specialists/professional heads, together with a summary of any internal approval/review committees and the roles and scope of such committees. Where such committees exist, the RSC should describe the process for determining membership of such committees. Additionally, there will be criteria for the formulation of drafting groups, which should also be recognised in the RSC.

17.3 Review of standards Linked to the above arrangements should be a summary of the arrangements by which new or revised Railway Group Standards (RGSs) and Health & Safety Legislation are received by Railtrack, reviewed and actions determined on any changes to the documents referred to above. The arrangements by which Railtrack obtains derogations, temporary non-compliances and concessions to Railway Group Standards in accordance with RGS’s GA/RT6004 and GA/RT6006 should be described as well as summarising the arrangements for the granting of derogations and non-compliances to its own standards. Where temporary non-compliances (TNCs) are granted, the RSC should explain how Railtrack ensures that the numbers of TNCs are managed to ensure risk remains ALARP. Railtrack’s RSC should also include a commitment to support the RGS review process, including participation in drafting groups and subject committees. Confirmation that stakeholders are included in the consultation process should be reflected within the description provided.

18 Communications 18.1 Document Control The RSC should describe the organisational arrangements for the control of safety related documentation, including standards, procedures, instructions, guidance, briefing material, risk assessment output and safety plans. These arrangements should include a summary of the processes for the identification of those posts with responsibilities for the categorisation, development, compilation, consultation, authorisation, review and distribution of controlled documents. How personnel are made aware of these responsibilities should also be reflected. The particular roles and responsibilities of document control points should be reflected within the RSC as well as the process for determining and maintaining current controlled distribution lists that includes train and station operators, contractors, suppliers, other interfacing organisations and regulatory authorities, all as appropriate. The RSC should confirm that processes exist for the issue of amendments to documents, together with the cancellation and withdrawal arrangements and supporting document advice with suitable briefing material. 18.2 Publications required by safety critical workers Specific reference to the compilation and production of controlled distribution documents required by workers undertaking safety critical tasks throughout the industry as well as other ‘front line’ workers should be incorporated within the RSC, together with the arrangements for ensuring compliance with RGSs GO/RT3206, GO/RT3209 and GO/RT3210. How controlled distribution of these documents is achieved to all required interfacing companies should also be summarised. 18.3 Interfacing organisations and controllers Railtrack’s RSC should summarise how Railtrack ensures through the assessment and acceptance of Safety Cases, as appropriate, that train and station operators, as well as contractors and suppliers have similar document control arrangements in place to ensure that Railtrack and the organisations concerned can fully discharge health & safety responsibilities. 18.4 Formal meeting structure The RSC should summarise the formal structure both internally within Railtrack and with interfacing organisations. The key safety related meetings that take place on a regular basis should be identified, together with a description of the





purpose of the meeting, required attendees, and the approximate frequency of the meeting. The RSC should summarise the linkages between the different meetings, particularly with regards to forums held within the HQ Organisation and those held within business units throughout the company. Specific reference to the principal forums that take place between Railtrack and train and station operators, as well as contractors should be included within the RSC.


18.5 Briefings Linked into the description of the formal meeting structure should be a description of both formal and informal briefing arrangements within the company. Specific attention should be given to the formal briefing of those carrying out safety critical work such as signallers and crossing keepers as well as controllers. The RSC should also summarise how it ensures those personnel undertaking safety critical work within contracting and supplying organisations are formally briefed. Key to the effectiveness of briefings should be the production of briefing material, the frequency of briefings, monitoring attendance as well as the competence of personnel delivering briefings. Summarised should also be a description of how Railtrack ensures that these quality criteria are both achieved and monitored. Details of how feedback and suggestions for improvement in health & safety are captured, reviewed and cascaded upwards should be detailed, together with feedback to the person or group putting forward the suggestion and how such feedback is achieved.


18.6 Information flows A summary of the key flows of safety related information, both within the company as well as to and from interfacing organisations. Some of these descriptions may well be dealt with elsewhere in the RSC such as within organisation charts or on the role of Operations Control. Specific reference to the sources for the display and availability of information should be included such as information and safety boards, company newspapers and magazines, safety performance data, regular bulletins, safety libraries, safety videos and general health & safety material. A summary of the organisational arrangements and responsibilities for ensuring information flows are identified, delivered and monitored for effectiveness should be encompassed within the RSC.


18.7 Communication at ‘front line’ Railtrack’s RSC should detail how the company ensures and monitors that employees of the company, its contractors, its suppliers and train and station operators comply with the communications protocol demanded by GO/RT3000 (The ‘Rule Book’). Action as a result of failing to comply with these requirements should also be summarised, together with how Railtrack ensures in conjunction with interfacing organisations that the protocol, are adhered to by the personnel concerned. 18.8 CIRAS The RSC should include a specific commitment by Railtrack and its contractors to CIRAS.

19 Management of interfaces

19.1 Identification of interfaces Railtrack’s RSC should identify and list all key safety external and internal interfaces. This should include the interfaces with train and station operators, other infrastructure controllers, internal company interfaces, interfaces with contractors, government, regulatory authorities, local authorities, emergency services and the Environment Agency.






19.2 Management of interfaces For each interface identified, the RSC should describe which post(s) within the organisation are responsible for the lead management of the interface concerned, together with the arrangements for communication and liaison across the interface. The RSC should indicate the means by which all interfaces are identified and described and detail how post holders are made aware of their responsibilities concerning the management of all interfaces. Where there are regular forums between Railtrack and the interfacing organisation, these should be identified within the RSC, together with the frequency of the forum and the key person(s) within Railtrack and the interfacing organisation responsible for attending that forum. The RSC should confirm that the procedures for the management of interfaces encompass consideration of whether charges to Railtrack’s arrangements may have implications for train and station operators’ RSCs. A summary of the interface arrangements between Railtrack’s Account Executives and train operators for the sharing of safety related information or intelligence should be incorporated.

The RSC should also summarise the means by which Railtrack ensures how the key groups of organisations it has identified interfaces with in its own RSC, similarly identify and safely manage the interfaces with their own organisations, where they may affect Railtrack in discharging its own health & safety responsibilities.


19.3 Management of interfaces at stations Railtrack’s RSC should describe the process by which divisions of responsibility for maintenance, renewals and enhancements are established at those stations which Railtrack leases to other station operators (ie stations not operated by Railtrack). The RSC should describe the on-going arrangements for ensuring that Railtrack complies with these responsibilities as set out in GE/GN8518. Sections 13 and 14 of this Appendix A in GA/GN6508 apply as appropriate. The description provided should encompass the adherence to RGS requirements on station and platform design, supply of design records to station operators, the use of competent persons in design work, agreeing risk control measures with station operators, carrying out of inspections at required intervals, supply of fixtures and fittings, testing of equipment, etc.

19.4 Review of interfaces To complete the description on the management of interfaces, the RSC should describe Railtrack’s arrangements for the regular review of interfaces, together with the identification of which posts have the responsibility for ensuring that the interface management arrangements shown in the RSC and throughout the organisation are kept current.


19.5 Railway Safety The RSC should incorporate a description of Railway Safety’s activities so far as those activities affect Railtrack in discharging its responsibilities as a station operator, infrastructure controller and its health & safety duties under the relevant statutory provisions. This description should be provided within the RSC in such a way so as to demonstrate Railway Safety’s independence from Railtrack. In addition, a description should be provided of the interface arrangements between Railtrack and Railway Safety on the development of strategic safety policy within the railway industry.





20 Accident/incident reporting and investigation

20.1 General arrangements for reporting and investigation Railtrack’s RSC should describe the company’s arrangements for reporting and investigating accidents, incidents, dangerous occurrences, ill health and near misses in accordance with the requirements of the Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1995 (RIDDOR) and RGS GO/RM3434. Effective reporting of such occurrences will only be achieved if staff and contractors are encouraged to report all such incidents. The RSC should identify which posts within the Organisation have responsibility for ensuring incidents/accidents are fully investigated and how post holders are advised of their responsibilities in managing this activity. These arrangements should include a reference to the key criteria for determining whether the nature of the incident/accident warrants a company formal investigation or a formal inquiry and the organisational arrangements for determining who should lead the inquiry and produce the inquiry remit. Scope should also be provided for the appointment of an Independent Chairman of a Formal Inquiry in conjunction with Railway Safety. The RSC should go on to describe the arrangements Railtrack has in place for involving train and station operators, contractors, suppliers and other affected state holders within the investigative process


20.2 Investigative process The RSC should describe how the investigation process will determine basic and underlying occurrences and causes and to make recommendations in order to prevent reoccurrence or reduce the likelihood. The description should include a summary of the methodology that will be applied to investigations to ensure their accuracy, impartiality and objectivity, including consideration of any human factor issues, managerial or organisational matters and the setting of terms of reference. Confirmation should be provided that Railtrack (in conjunction with train operators and Railway Safety, if necessary) will ensure suitable administrative support is provided to inquiries.

The RSC should then go on to describe the process for reviewing and implementing recommendations depending on priority and available resources, including determining timescales for implementation and for advising train and station operating companies and contractors of recommendations. Recognition of the need to feedback to staff and contractors on the results of investigations should be included. These reviews should also include scope for recommendations contained in Public Inquiry reports into railway accidents. The arrangements by which Railtrack (in conjunction with the activities of Railway Safety) ensures recommendations are being reviewed and implemented by Railway Group members, suppliers and contractors should also be summarised. Railtrack’s RSC should also describe the arrangements the company provides for the training of Managers who have responsibility to investigate incidents/accidents. This should include the examination and interpretation of evidence at the site of an incident or accident as well as conducting investigations and formal inquiries and considering human factor issues.


20.3 Signals Passed at Danger Railtrack’s RSC should include a summary of the arrangements by which it complies with RGS GO/RT3252 on investigating SPADs. This will include gathering evidence, the investigative process, root cause analysis, arranging for tests of signalling equipment, appointing signal sighting committees and prioritising and implementing recommendations and monitoring the application of recommendations. A summary of the arrangements for the provision of information to TOCs and contractors following investigations should also be included, together with a reference to the hazard ranking process and associated





risk assessment process. The RSC should also describe Railtrack’s on-going process for monitoring SPADs, determining criteria for SPAD mitigation measures in conjunction with train operators, SPAD briefing, considering human factor issues, and the collection and provision of SPAD information. The RSC should confirm Railtrack’s arrangements for the provision of competent signal sighting personnel to undertake surveys in conjunction with train operators and Railtrack’s contractors.

Railtrack’s RSC should in addition to the investigation of Category ‘A’ SPADs describe the arrangements, in conjunction with train operators and contractors as appropriate, for the investigation of Category ‘B’, ‘C’ and ‘D’ SPADs.


20.4 Reporting and data collation The RSC should describe the organisational arrangements for the statutory reporting of accidents and incidents as well as the reporting into SMIS as required by RGS GH/RT4005. The provision and sharing of data and other relevant information with train operators and Railway Safety relating to accidents/ incidents, in accordance with GH/RT4005 should be reflected within the RSC. Additionally, the RSC should briefly describe how all staff and contractors are advised of accident and reporting responsibilities and procedures and on the designated reporting points.

Further, the document should detail how Railtrack organisationally collates data from incidents and accidents and produces summary reports supplemented with an explanation of the process for reviewing the output of such material. The production of remedial plans and timescales and finally, consequent action plans with regard to Key Performance Indicators and an input to safety objective setting should also be recognised within the RSC

(RSC Regulations, Schedule 1, para 13).

21 Emergency planning 21.1 General Railtrack’s RSC should describe the arrangements for emergency planning, including which posts at HQ and within the zones has overall responsibility for the production and review of emergency plans as required by RGS GO/RT3434/1. The details should include a summary of the arrangements for liaison with train and station operators, contractors, the emergency services and other interfacing organisations. A summary of the arrangements by which local emergency information is made available to personnel on action to be taken in the event of an emergency should additionally be included within the RSC. The Plans should also recognise incidents involving other infrastructure controllers.

(RSC Regulations, Schedule 1, paras 10 and 14)

21.2 Responsibilities and training The RSC should describe how the responsibilities for emergency planning are communicated to post holders, together with the arrangements Railtrack has in place for the training of persons responsible for the formulation and upkeep of emergency plans. Additionally, the competency criteria and training arrangements in emergency preparedness should encompass all those persons in posts with the potential responsibility for both managing the site of an accident or incident or initially attending the site before formal site management arrangements are put in place. Confirmation should be provided that records of all training are retained in accordance with the competency management policy described elsewhere within the RSC.






21.3 Criteria for plans and document control The RSC should contain a summary of the key criteria that Railtrack applies to the formulation of its emergency plans and confirmation that the emergency plans take account of all foreseeable significant events that have been identified in the risk assessment process described in section 6. Railtrack’s RSC should also reference the document control arrangements for emergency plans as well as the arrangements by which Railtrack Operations Control is advised of telephone numbers, addresses of interfacing organisations and the emergency services. Receipt of the emergency plans of train and station operators as well as contractors by Railtrack should also be referenced.


21.4 Provision of resources Railtrack’s RSC should describe how suitable and sufficient resources, including technical support, are available to Railtrack to manage and control emergencies and that such resources are made available within acceptable timescales. This should include the provision of human resources with the appropriate technical expertise and training as well as hardware such as emergency lighting, emergency equipment, emergency transport and sheltered facilities. Considerations pertaining to the compatibility of equipment, especially with that made available by the emergency services should be reflected within the description provided. Confirmation should be provided that emergency plans encompass the provision of specialist resources for responding to emergencies involving trains carrying dangerous goods.


21.5 Site management The RSC should describe the generic arrangements that Railtrack has in place for managing an emergency or incident. This should include site management arrangements, assessment of site risks, communication and interface arrangements, preservation of evidence, issue of public statements, the welfare of persons involved and the return of the railway to normal operations etc. Also applicable under this heading is a reference to the emergency equipment resources and facilities that Railtrack can call upon in the event of an emergency.

In addition, the RSC should summarise the emergency planning arrangements for maintaining and inspecting structures and assets which may be damaged by adverse conditions, and so affecting the safe operation of the railway. In particular, RGS GC/RT5123 and GC/RT5143 apply concerning the effects of flood water, high tides and storm conditions.


21.6 Emergency exercises Railtrack’s RSC should describe the procedures the company has in place for undertaking full scale emergency and table top exercises. This should include the allocation of responsibility for ensuring such exercises are carried out. This will include criteria for the frequency of such exercises, organisational responsibilities for arranging exercises, participation by train operators, the emergency services and other interfacing organisations, debrief and formulating and implementing recommendations. Sharing recommendations with the emergency services and other affected stakeholders should be recognised.


21.7 Review of emergency plans The RSC should summarise the process for the review of emergency plans, including following implementation and actual application of the plan.






22 Contractors 22.1 General Railtrack’s RSC should detail the arrangements by which company ensures that risks associated with the employment of contractors are controlled and reduced to as low as reasonably practicable.


22.2 Selection of contractors Railtrack’s RSC should summarise the key components of the procedures the company has in place for the selection of contractors. This should include the organisational arrangements for the selection of contractors (including roles of the Professional Heads), the formulation and review of selection criteria, a summary of the key selection criteria (particularly in relation to safety management) and the competence of those procuring the services of contractors. The key requirements contained in tender documents pertinent to health & safety should be referenced within the RSC, together with how Railtrack ensures potential contractors are advised of all health & safety requirements. RGS GH/RT4001 also applies with regards to the information that should be provided to contractors or requirements that contractors should comply with. The latter will include how Railtrack will ensure that its contractors are advised of which Railway Group and Railtrack Standards that they are required to comply with and any other guidance and information that they should be provided with.

The description provided should also summarise how Railtrack will ensure that its contractors fully understand why it is so important that standards are complied with and the potential implications to the health & safety of their staff, other railway workers, passengers and the public if they do not. Advice on hazards associated with Railtrack infrastructure and risk assessment and organisation requirements should also be communicated to contractors. Finally, the RSC should describe the mechanism by which Railtrack obtains records of potential contractors’ past performance.


22.3 Assurance Case Where Railtrack’s selection procedure of a contractor requires the acceptance of an Assurance Case (eg for contractors undertaking maintenance, renewals and new works of the infrastructure), the RSC should summarise the allocation of responsibilities and process for the acceptance of Assurance Cases. This should include the formulation, consultation and review of acceptance criteria, the composition and composition of validation panels, the raising and closing of Issues and the final acceptance arrangements. These procedures should recognise the requirements of the CDM Regulations.

22.4 Management of contractors The RSC should summarise the key components of the procedures by which Railtrack manages and monitors contractors. This should include clear definitions and limits on the scope of projects and the requirement for the contractor to produce and for Railtrack to review the content of method statements and risk assessments that have identified the significant hazards associated with the work. Some of the principal criteria demanded in method statements should be reflected within the RSC, such as communication arrangements, emergency arrangements, site access and egress, liaison arrangements, site protection and health & safety arrangements. Again, the competence of those performing these tasks, together with how Railtrack advises post holders of these responsibilities should be referenced. The RSC should further explain the key components of the arrangements for nominating post holders to manage contracts, including contractor liaison, briefing, exchange of information, performance monitoring, audit (including criteria for scope and frequency of audit) and the closing out of action items identified during monitoring or audit. The RSC should include a reference to the setting of Key Performance Indicators to measure the performance of contractors. Finally, the RSC should





include a commitment to advise contractors and train and station operators when contractor activities are being undertaken at leased premises, including a requirement to comply with the station operator’s RSC.


23 Procurement 23.1 General This section deals with general criteria concerning procurement. There are a number of entries, particularly within sections 8, 12 and 13 which deal with more specific criteria governing Railtrack’s procedures for the procurement of plant, assets, equipment and services.

23.2 Control of imported risk The RSC should describe the arrangements and documented procedures by which Railtrack ensures risks are eliminated or minimised to as low as reasonably practicable as a result of the procurement of premises, plant, systems equipment, materials, substances or services in accordance with the requirements of the RGS GI/RT7002 and GM/RT2450. This should include the arrangements for the design, implementation and review of the procurement policy and the formulation of qualification criteria, including an assessment of the product’s safety performance and an assessment of the safety requirements to which the product is to be applied. Some of the key generic qualification criteria such as the robustness, fitness for purpose, application of safety management systems and accreditation should be identified within the RSC. Recognition of the application of risk assessment methodologies to procurement policy and process should be similarly encompassed within the RSC. The arrangements for product acceptance should also be summarised.

23.3 Organisational arrangements Railtrack’s RSC should summarise the company’s organisational arrangements for procurement. This should include the identification of those key personnel with specific responsibilities for ensuring the production of procurement procedures for application within the company as well as by contractors and suppliers. The specific responsibilities of the professional heads with regard to procurement policy and standards should be summarised, together with how personnel throughout the company are advised of their procurement authorities, roles and responsibilities and suppliers that are currently qualified. Of particular relevance to Railtrack’s RSC will be a description of how the company ensures that its appointed contractors and suppliers adhere to Railway Group Standard and company standards on procurement, especially concerning the procurement of materials used in the renewal, maintenance and replacement of assets.

23.4 Monitoring and re-qualification The RSC should describe the arrangements that Railtrack applies as well as demands its contractors and suppliers also adhere to on the on-going qualification of previously qualified suppliers and products. This should include ensuring that an appropriate level of re-assessment is carried out if an existing product acceptance is no longer valid. It should also describe the arrangements by which adherence to contracts, quality control, safety performance, changes in the supplier’s organisation, design, production or delivery processes are advised to Railtrack or its contractors.


24 Consultation with employees

24.1 Arrangements and matters for consultation The RSC should describe the arrangements for consultation with staff and where appropriate, contractors and suppliers on matters of health & safety relevant to the activities described within the scope of this RSC. These matters should include development and changes to the RSC, formulation and review of safety





policy and associated policy statements, standard setting, risk assessments, safety performance, devising and reviewing emergency arrangements, accident and near miss investigations, human factor considerations, particularly in relation to the procurement of new equipment, assets and premises and task analysis should be included in the RSC. These arrangements should include consultation with Health & Safety Representatives and Safety Committees (SR&SC Regulations 1977) and with all other employees not represented by a trades union (The Health & Safety (Consultation with Employees) Regulations 1996). The RSC should summarise the arrangements by which Railtrack ensures that designated post holders are aware of their responsibilities concerning staff consultation.

24.2 Frequency of safety meetings and addressing action items The RSC should further identify the key criteria for determining the frequency of meetings with Safety Committees and local Safety Representatives, together with the recording of these specified frequencies. The RSC should summarise the arrangements for the recording and distribution of the minutes of meetings and ensuring that action items arising from meetings are allocated to designated personnel for action. The RSC should also indicate how personnel responsible for actioning items arising out of these safety management forums are made aware of these responsibilities. Finally, the RSC should describe the arrangements Railtrack has in place for monitoring the effectiveness of safety meetings and for ensuring that such meetings take place at the specified frequencies.

The RSC should summarise the roles and responsibilities of trades union appointed safety representatives and staff representatives of employee safety including the provision of training and participation encouragement.

(RSC Reg 14(8), RSC Regulations Schedule 1, para 8)

25 Competence (Note : See also section 8.8 for Management and Supervisory Personnel and sections 11.4 and 11.5 for Station Personnel.)

25.1 General The RSC should describe the arrangements by which Railtrack ensures that persons, whether an employee of Railtrack or an appointed contractor or supplier, are competent to discharge the responsibilities of:

a) Signaller or Crossing Keeper as required by RGS GO/RT3259.

b) Person in Charge of Possession (PICOP) or Engineering Supervisor (ES) as required by RGS GO/RT3261.

c) Those roles defined as auxiliary operating duties in RGS GO/RT3263.

d) Controller within Operations Control and Electrical Control Rooms or Signal Box Manager/Supervisor.

Additionally, the RSC should describe how Railtrack ensures persons who are required to be in possession of personal track safety certification in order to perform their duties are competent in accordance with the requirements of RGS GO/RT3353.

25.2 Resources and planning The RSC should provide an overall summary of the arrangements by which Railtrack ensures that the competency management systems that it and its accredited suppliers have in place will deliver suitably trained and competent personnel to carry out the tasks and roles described in section 25.1. The description provided should demonstrate that an adequate organisation exists for delivering this competence management policy which will ensure adequate





provision of resources as well as continuous succession planning to mitigate risks associated with non-availability of personnel, transfer and turnover.

25.3 Competency criteria The RSC should summarise the arrangements for determining and reviewing the competency criteria for each of the posts and roles described in section 25.1. This description should encompass the allocation or roles and responsibilities and the methods by which it is undertaken, such as task and error analysis, risk assessment, task observation and staff consultation. For roles such as signaller and crossing keeper, this will include determining performance criteria applicable for each location. The description of the arrangements provided should incorporate how Railtrack ensures that other Railway Group Members, its contractors and any persons or organisations undertaking assessments comply with these criteria.

25.4 Recruitment and selection The RSC should describe Railtrack’s arrangements and the criteria that will be applied to the processes of recruitment and selection for persons who will be the filling the post of signaller or crossing keeper or controller. In addition, the RSC should go on to describe the recruitment and selection arrangements that will apply to persons who will be required to perform the roles of PICOP, engineering supervisor, any of the auxiliary operating duties defined in RGS GO/RT3263 and persons who’s roles and responsibilities will necessitate being in possession of personal track safety certification. Suitability criteria should recognise RGS requirements in respect of previous experience. Incorporated within the description provided should be recognition of physical and psychological ability standards that require to be achieved as part of the selection process. The RSC should go on to describe the arrangements by which Railtrack ensures that other Railway Group Members, its contractors and any persons or organisations undertaking recruitment and selection for persons carrying out any of the roles described in this section 25.4.

25.5 Training, competency assessment and certification The RSC should describe the arrangements Railtrack has in place for the training, initial assessment, continuous assessment and monitoring of persons carrying out the responsibilities of signaller, crossing keeper, controller, PICOP, engineering supervisor as well as any of the roles defined as auxiliary operating duties in RGS GO/RT3263. Additionally, the RSC should describe how these arrangements for training, assessment and monitoring apply to those persons requiring being in possession of personal track safety certification. Where other Railway Group Members, Railtrack’s contractors or other accredited persons/organisations undertake selection, training, assessment and monitoring, the RSC should describe how Railtrack assures itself that all Railway Group Standard requirements are being met. This should include specific attention being given to the effectiveness, fitness for purpose and validity of the competency management systems as demanded by RGS GO/RT3260, the requirement for assessment cycles to be adopted and any interim monitoring assessments.

The RSC should demonstrate that the competency management systems that Railtrack, or its accredited suppliers have in place, incorporate procedures for identifying training and development needs for either groups of persons or individuals performing any of the activities covered by this section 25. Such procedures should encompass induction criteria that will inevitably vary between locations. Reviews of the effectiveness of the training being provided should also be carried out.

The arrangements Railtrack has in place for post initial assessment monitoring of newly qualified signallers, crossing keepers, controllers, PICOPs and engineering supervisors should be summarised in the RSC together. Where persons such as signallers and crossing keepers are qualified to perform duties at more than one location, the RSC should summarise the arrangements by which such knowledge is acquired and retained, together with ‘refresher’ requirements. Identical





provisions will also apply to any person who is absent from performing duties for a period of time determined by Railtrack.

25.6 Competency of those performing training and assessments The RSC should describe the arrangements by which Railtrack ensures that persons undertaking the recruitment, selection, training, assessment and monitoring of any of the persons within posts or performing roles described in this section 25 are competent to perform these tasks and responsibilities and assessed against performance standards. This includes the setting of competency requirements for such personnel. Additionally, the arrangements Railtrack has in place for monitoring the effectiveness of the competency management systems applied should be summarised, including the setting of Key Performance Indicators. Identical criteria apply as to how Railtrack ensures that the persons employed by contractors, suppliers and other accredited organisations licensed to undertake the recruitment, selection, training and assessment of any of the roles described in this section 25.6 are competent to perform these responsibilities and are assessed against performance standards.

25.7 Specially monitored signallers or crossing keepers The RSC should summarise the additional control measures applied to those signallers or crossing keepers whose manager considers that their performance should be subject to additional monitoring because of possible increased risk of causing incidents or accidents.

25.8 Certification and retention of records The RSC should summarise the arrangements Railtrack has in place for the issue, update and withdrawal of competency certificates as well as maintaining adequate records of aptitude, training and assessment for the posts and roles covered by this section 25.8. The RSC should go on to describe how Railtrack ensures through the assessment and acceptance of Safety Cases, as appropriate, Railway Group Members, contractors and other accredited persons/organisations comply with the Railway Group Standard requirements on certification issue, withdrawal and retention of records.

25.9 Competency management system review The RSC should summarise the procedures for the on-going review of the competency management systems described in this section 25.9. The description provided should conform that roles and responsibilities pertaining to review of the competency management system are clearly allocated, that frequencies for formal reviews are determined and documented and that Key Performance Indicators and standards are both determined and reviewed. The RSC should confirm how recommendations to enhance the performance and effectiveness of the competency management system are considered and instigated.

25.10 Fitness of signallers and crossing keepers The RSC should include a description of the arrangements by which Railtrack ensures signallers and crossing keepers are fit to perform their duties. It is permissible for these arrangements, encompassing booking-on arrangements and fitness for duty checks to vary depending on the staffing and supervisory requirements at each location. Where signallers or crossing keepers book on remotely, the RSC should detail the procedure Railtrack applies for the frequency of managerial and supervisory fitness for duty checks of such personnel.

The RSC should include a statement on the normal rostering working time limits for signallers and crossing keepers, together with a summary of the procedures for ensuring compliance with these standards and authorising any exceedences to these parameters.

25.11 Fitness for duty of PICOPS, engineering supervisor, persons performing auxiliary operating duties The RSC should describe the arrangements by which it ensures that checks are carried out on the fitness of PICOPs, ESs and persons performing auxiliary





operating duties as required by RGSs GO/RT3261/3263 and GH/RT4000. This should include qualification of its contractors and accredited suppliers’ arrangements for the carrying out of fitness for duty checks. Where remote booking-on arrangements are operated, the RSC should detail Railtrack’s requirements for the monitoring of the fitness of such personnel.

The RSC should include a description of the arrangements by which the working hours of PICOPs, ESs and persons performing auxiliary operating duties are controlled and monitored, as required by GH/RT4004. This will include qualifying its contractors and other accredited suppliers’ in their arrangements for controlling working hours as well as the acceptance of Assurance Cases. Where defined and agreed working time limits require to be exceeded, the RSC should describe the arrangements by which authorisation is provided. The RSC should also describe the requirements Railtrack places on itself, its contractors and other accredited suppliers for determining working time limits, monitoring working hours, setting Key Performance Indicators and reviewing instances of breaches of limits.

25.12 Alcohol & Drugs Policy RGS GH/RT4000 sets out the requirements for controlling risks caused by the effects of alcohol and drugs. The RSC should describe Railtrack’s policy for ensuring compliance with these requirements. This should include the arrangements for screening, both on recruitment, promotion or for-cause/post incident reasons. The arrangements for random drug screening should also be described, together with the setting of Key Performance Indicators to measure compliance with the policy. The arrangements by which Railtrack ensures that its contractors and suppliers (where applicable) comply with the policy should also be described. Confirmation on the procedures adopted by Railtrack in the event of breaches of the policy should also be incorporated.

26 Safety inspections and safety tours

26.1 General inspections and tours The RSC should describe the arrangements that Railtrack has in place for undertaking safety tours and safety inspections by managers at all levels within the organisation. This should encompass the arrangements for ensuring how the personnel concerned are made aware of their responsibilities pertaining to undertaking visits and for the provision of training. The explanation provided should detail the arrangements for the availability and efficacy of check sheets, the criteria for determining the frequency of inspections and the process for closing out corrective actions and for corrective unsafe acts observed at the work place.

26.2 Signal boxes and level crossings Specific detail should be included within the RSC on the arrangements for the inspection and check of signal boxes and level crossings. The description should encompass the criteria for determining the frequency of checks and inspections, the availability and fitness for purpose of check forms and the closing out of corrective actions.

27 Change management 27.1 Types of change Railtrack’s RSC should describe the arrangements the company has in place for the safety validation of change. Change will include organisational change in accordance with the requirements of GH/RT4003, changes to elements of the safety management system, operational change, asset change, technological change, interface changes, the introduction of new traction and rolling stock, new routings for classes of rolling stock and changes to the Railtrack RSC. The need to safety validate any transitional arrangements should also be reflected.





27.2 Validation of change The arrangements should describe the process for safety validation, including the process for ensuring all safety risks associated with the change are identified and reduced to as low as reasonably practicable by means of the application of controls. Additionally, the arrangements described in the RSC should include the process for how changes are identified, the criteria for independent validation of the change proposals, approval and authorisation of the change proposals. Additionally, the description should incorporate the procedures for the allocation of responsibilities for change management, the role of professional heads, consultation and briefing with affected parties or individuals and contractors, consequential changes to SMS arrangements and post-implementation review. Recognition that the change procedures Railtrack has in place encompass permanent, temporary and urgent changes should be reflected within the overall description provide in the RSC.

(RSC Regulations, Schedule 1, paras 6 and 7(i))

28 Safety related computer systems

28.1 Management of systems The RSC should describe the arrangements Railtrack has in place for ensuring it complies with RGS GO/RT3435 for the provision of safety related computer/information systems. This should include the organisational responsibilities for the design, maintenance, ownership and management of the systems, all of which should be described in system safety cases. The RSC should similarly describe the organisational responsibilities for the production, upkeep and review of system safety cases, together with training and assessment for system users and the provision of information and procedures concerning the system.

29 Safety performance monitoring

29.1 Monitoring process and collection of data The RSC should describe the arrangements for on-going monitoring of safety performance within Railtrack. This should include the arrangements for generating data throughout the company, the systems and procedures used for generating and analysing pro-active and reactive data and producing reports to identify trends and represent progress against Key Performance Indicators (KPIs). Since the process for formulating KPIs is covered in section 16 and many of the KPIs will be set against safety performance of a number of elements of the SMS, it may be necessary to cross refer to other parts of the RSC in the summary description of the arrangements. Either way, the RSC should summarise the key criteria against which safety performance is measured, for determining the type of monitoring and for determining the amount of data that is generated and assimilated.


29.2 Collection and exchange of data with interfacing organisations The procedures that Railtrack applies to the safety performance monitoring of train and station operators, contractors and suppliers should also be detailed encompassing how Railtrack assures itself that these interfacing organisations have similarly robust procedures for monitoring their own safety performance. The RSC should identify how the general safety performance of Railtrack and interfacing organisations is made available to the whole industry, including the interface that Railtrack has with Railway Safety on the assimilation and exchange of safety performance data.

29.3 Reviewing performance The RSC should further go on to describe the arrangements within the organisation for the production and distribution of safety performance reports as well as the arrangements for reviewing safety performance, determining





corrective and remedial actions and then monitoring these actions through to conclusion.


30 Audit 30.1 Scope of audit The RSC should describe the arrangements by which Railtrack audits compliance with its own RSC, compliance with its own safety management system and compliance with statutory, internal and external safety and technical standards. The RSC should also describe the means by which the company measures compliance by train and station operators’ with their respective RSCs and compliance by contractors with Assurance and Project Safety Cases.

(RSC Regulations, Schedule 1, para 5(d))

30.2 Principles of the assurance regime The RSC should summarise the key principles of Railtrack’s audit processes. This should include the formulation and acceptance of audit plans, the integration of audit plans across Railtrack and of the principles for the organisational scope for audit throughout the company and with contractors and suppliers. It should include the processes for determining the scope of audit, the principal criteria determining a requirement for audit above that detailed in the audit plan, the systems and methods of audit, audit protocol and ensuring the purpose and process for audits is understood by all concerned. Any procedures pertaining to systems for accreditation should also be summarised. Finally, the key principles of the mechanism for addressing and closing out corrective actions should be summarised, together with the principles and scope for procuring external audit other than that provided by Railway Safety.


30.3 Independent safety and technical audit The RSC should describe the respective division of scope between the independent safety and technical audit regimes, together with how these responsibilities are documented and reviewed. Additionally, the RSC should describe how by means of independent and technical audit, train and station operators, contractors and suppliers and other relevant interfacing organisations are complying with their obligations for self-assurance to ensure Railtrack meets its own statutory and internal obligations.

30.4 Organisation and competence Railtrack’s RSC should describe the organisational arrangements for audit within the company including the respective roles and responsibilities of the HQ and zone assurance functions and those departments which are responsible for undertaking technical audit depending on asset type. It should also summarise the arrangements by which all personnel that have self-check and audit responsibilities are made aware of their accountabilities and how the company ensures that there are sufficient competent resources to comply with the audit plan. The RSC should further go on to describe how the company ensures the competence of auditors generally and how all other personnel are trained and briefed to ensure they are competent to discharge their audit responsibilities.

30.5 Process of audit and corrective actions The RSC should describe the key elements of the audit process including determining the scope of each audit, audit preparation, interviews with key personnel, review of documentation and computer held records, review of assets and the monitoring of the application of procedures and standards. The RSC should further go on to describe the arrangements for the preparation and agreement of parties concerned with audit findings and reports, the formulation and agreement of the content of action plans and for closing out all corrective actions identified in action plans. This description should include a commitment to act upon recommendations and actions agreed following the annual Railway





Safety RSC compliance audit. (RSC Regulations, Schedule 1, para 5(d)) 30.6 Railway Safety Railtrack’s RSC should describe the criteria and arrangements for procuring audit from Railway Safety for the purposes of auditing train and station operators on compliance with their respective RSC. The RSC should include a commitment to co-operate, participate and facilitate the annual RSC compliance audit undertaken by Railway Safety on Railtrack’s activities. Scope for efficacy and special topic audits undertaken by Railway Safety should also be encompassed.

(RSC Regulations, Schedule 1, para 9(i))

30.7 Audit review The RSC should describe the arrangements by which the results of audits, general normalised audit data, trends in compliance and non-compliance and identified best practices are collated and circulated. This will include circulation to designated internal forum groups for discussion, review and analysis as well as to other parts of Railtrack, identified interfacing organisations, including regulatory authorities and train and station operators, as appropriate. Finally, the arrangements by which Railtrack monitors the robustness, effectiveness and suitability as well as compliance with its independent and technical audit regime should also be summarised.


30.8 Provision of audit reports The RSC should describe the arrangements for the provision of audit reports to organisations affected by Railtrack’s activities as required by the Railways (Safety Case) Regulations 2000. The RSC should go on to describe the arrangements for the making available of audit reports and associated action plans as required by Regulation 14(1) of the RSC Regulations 2000.

(RSC Regulations 14(1) and 14(2) and Schedule 1, para 5(d))

31 Personal Protective Equipment (PPE)

31.1 Assessing the requirements for PPE and training and supply Railtrack’s RSC should describe the arrangements for assessing the requirements for PPE for its employees and contractors. These arrangements should include scope for task risk assessment and considering any Railway Group Standard requirements, such as GO/RT3279 concerning the wearing of high visibility clothing. The RSC should further describe the arrangements for ensuring all employees and contractors are briefed and trained on PPE requirements, together with how employees and contractors are made aware of PPE requirements required by the post or task to be undertaken. Finally, the RSC should summarise the arrangements for ensuring the use and wearing of PPE, the arrangements for supply and storage of PPE and action that should be taken when PPE becomes damaged or replacement is required.

31.2 Monitoring and review The RSC should describe what procedures the company has in place for monitoring both employees and contractors in the correct use of PPE. In addition, the RSC summarise the arrangements by which the company ensures PPE requirements are reviewed as a result of new working methods and the availability of new equipment and technology.

32 Fire safety 32.1 Assessment of risk The RSC should describe the arrangements for assessing the risks associated with fire within buildings and on stations where Railtrack has the legal





responsibility to do so or where indicated in RGSs, including the provision of fire fighting equipment, fire detection systems and fire protection systems in accordance with the requirements of GH/RT4002. Specific reference should be given to contingency arrangements as a result of fire detection within key installations such as signal boxes and electrical control rooms where disruption may introduce additional risk to railway operations. The RSC should additionally reflect the requirements of RGS GE/RT8005 and its associated Code of Practice GE/RC8505 concerning the use of materials in operational premises and the need to undertake risk assessments when carrying out works at existing operational premises. (See also sections 11.8 and 11.9 of the document.)

32.2 Organisational arrangements The RSC should additionally summarise the organisational arrangements for the setting of fire safety policy and associated standards within the company and how technical support on fire safety is made available to all personnel with fire safety responsibilities. These arrangements should extend to the allocation of responsibilities for the management of fire safety, particularly with regards to the roles and responsibilities of fire precautions managers. The procedures for carrying out fire safety inspections should be summarised, together with the processes for ensuring action items are addressed as quickly as possible.

The RSC should further describe how the company ensures all personnel are trained, assessed (where appropriate) and briefed in fire safety as well as ensuring contractors and suppliers comply with all legislative, Railway Group and Company Standards concerning the management of fire safety. Retention of records should similarly be referenced.

33 Management and maintenance of the

Railtrack RSC 33.1 Management of the RSC The RSC should identify who has accountability and the responsibility within Railtrack for the management, upkeep, review and control of the Railtrack RSC.

33.2 Liaison and consultation The RSC should briefly describe the liaison meetings that take place between Railtrack, Railway Safety, the HSE and train and station operators concerning the assessment/acceptance process, RSC change proposals and RSC compliance. Additionally, the RSC should describe the arrangements for consultation on changes to RT’s RSC as covered by sections 33.3 and 33.4 below.

33.3 Review of the RSC The RSC should describe the arrangements for the review of the Railtrack RSC. Specific mention should be made of the Three Year statutory review of the RSC and the need to forward a report of the review to the HSE and a copy to Railway Safety and train and station operators. As part of the Three Year Review, there should include a commitment to reviewing any changes in the HSE’s and Railway Safety’s Acceptance/Assessment criteria over the previous three year period. Additional criteria that may constitute the need for further review should also be summarised.

(RSC Regulation 6)

33.4 Material revisions to the RSC The RSC should describe the arrangements for determining whether a proposed change is constituted as material and for making material revisions to the RSC. Cognisance of Guidance Note GA/GN6510 and the HSE’s published guidance should be reflected. Additionally, the RSC should summarise the procedure for ensuring changes that materially affect the RSC are not implemented until all of the change documentation and revised RSC have been assessed by Railway Safety and accepted by the HSE. Finally, the RSC should detail how Railtrack ensures that Directors and senior managers are advised of the requirement to





notify the HSE and Railway Safety of any material changes to organisation or activities that affect the accuracy of the Railtrack RSC.

(RSC Regulation 7(1)(2)(3))

33.5 Non-material revisions to the RSC The RSC should describe the process for managing non-material revisions to the RSC.

33.6 Document control of the RSC Railtrack’s RSC should summarise the arrangements for the document control of its own RSC, which should include the HSE, Railway Safety, train and station operators, contractors, relevant suppliers and other infrastructure controllers. Additionally, the RSC should summarise the internal distribution arrangements within Railtrack of train and station operators’ RSCs.

34 Assessment of train and station operators’

RSCs and monitoring of train and station

operators 34.1 Assessment of train and station operator’s RSCs Railtrack’s RSC should describe the arrangements the company has in place for assessing train and station operators’ RSCs, including revisions, in accordance with the Railways (Safety Case) Regulations 2000. This should include the formulation and review of assessment criteria, the scope of the assessment criteria and publishing of the assessment criteria. The arrangements should then summarise the process for the setting up and constitution of safety validation panels, competency of panel members, (in conjunction with Railway Safety where necessary), the role of lead zones and professional heads and the raising and closing out of Issues. The RSC description should further include a commitment to seeking an independent assessment from Railway Safety and finally, recommendations to the HSE as to whether the RSC should be accepted. Recognition of the requirement to forward to the HSE supporting documentation arising out of the assessment process should be included. This same process for assessment of RSCs will also apply to material revisions of said RSCs. Finally, the description provided should demonstrate to Railway Safety that the process applied by Railtrack will ensure that it has considered all of the health & safety activities of the operator that might affect Railtrack in discharging its statutory responsibilities.

(RSC Regulations 5, 6 and 7 and RSC Regulations, Schedule 2, paras 1 and 2)

34.2 Audit and monitoring of train and station operators The RSC should describe the arrangements that Railtrack has in place for auditing, active and reactive monitoring and ad hoc checking of train and station operator’s compliance with its RSC and on overall safety performance. The description provided should reflect the monitoring of trains and station operators done at both HQ and Zone level including the allocation of responsibilities for such monitoring. Scope for more intrusive monitoring for compliance should also be encompassed within this RSC entry, together with how Railtrack ensures that it has access or right of entry to premises, equipment, vehicles, etc, whether owned, leased, managed or controlled by the operator. The RSC should describe the arrangements Railtrack will take to secure improved compliance with an operator’s RSC and improved overall safety performance, including escalating sanctions through to denying access to the network. A summary of the escalation policy in relation to repeated, serious or systematic non-compliance should be described, including advising the HSE of non-compliance in accordance with the RSC Regulations 2000.






35 RSC Development Plan

35.1 Development plan Paragraph 16 of Schedule 1 of the RSC Regulations 2000 requires Railtrack to include within the RSC, details of Railtrack’s proposals for improving the RSC, as well as the safety management arrangements described within the RSC. Timescales for achieving objectives should also be incorporated within the RSC. Railtrack is referred to the guidance provided within the RSC Regulations 2000.





References Railway Group Standards

GA/RT6001 Railway Group Standards Change Procedures GA/RT6004 Temporary Non-Compliance with Railway Group Standards GA/RT6006 Derogations from Railway Group Standards GA/GN6509 Guidance on Train and Station Operators Railway Safety Cases for Assessment

by Railway Safety GA/GN6510 Guidance on Submiting Material Revisions to Railway Safety Cases GC/RT5021 Track System Requirements GC/RT5022 Rail and Rail Joints GC/RT5023 Categorisation of Track GC/RT5100 Safe Management of Structures GC/RT5101 Technical Approval Requirements for Changes to the Infrastructure GC/RT5110 Design Requirements for Structures GC/RT5112 Loading Requirements for the Design of Bridges GC/RT5122 Bridge Strikes – Managing the Risks GC/RT5123 Safe Asset Management – Coastal and Estuarial Defences GC/RT5143 Scour and Flooding – Managing the Risk GC/RT5151 Safe Asset Management – Embankments and Cuttings GC/RT5161 Station Design and Mainenance Requirements GC/RT5171 Undertrack Crossing and Pressure Pipelines GC/RT5180 Safe Asset Management of Infrastructure - Tunnels GC/RT5201 Lineside Security GC/RT5202 Vegetation – Managing the Risks GC/RT5203 Infrastructure Requirements for Personal Safety in Respect of Clearances and Access GE/GN8518 Identification of Responsibilities at Stations GE/RC8505 Recommendation of Fire Safety of Materials at Operational Premises GE/RT8005 Fire Safety of Materials at Operational Premises GE/RT8006 Interface between Rail Vehicle Weights and Underline Bridges GE/RT8029 Management of Clearances and Gauging GM/RT1300 Engineering Acceptance of Road-Rail Vehicles GM/RT2400 Design of On-Track Machines GM/RT2402 Engineering Acceptance of Rail-Mounted Maintenance Vehicles GH/RT4001 Core Safety Clauses for Working on Railtrack Controlled Infrastructure GH/RT4002 Fire Safety GH/RT4004 Changes in Working Hours Safety-Critical Work GH/RT4005 Reporting of Safety-Related Information to Railtrack GI/RT7001 Management of Safety Related Records of Elements of the Infrastructure GI/RT7002 Acceptance of Systems, Equipment and Materials for use on Railtrack Controlled Infrastructure GI/RT7004 Requirements for the Design, Operation and Maintenance of Points GI/RT7006 Prevention and Mitigation of Overruns – Risk Assessment GK/RM0501 Manual of Signalling Principles Standards GK/RT0007 Alterations to Permissible Speeds GK/RT0009 Identification of Signalling and Related Equipment GK/RT0011 Train Detection GK/RT0034 Lineside Signal Spacing





GK/RT0044 Controls for Signalling a Train onto an Occupied Line GK/RT0101 Competence Standards for Signalling and Telecommunications Staff GK/RT0106 Management of Safety Related Failures of Signalling and Operational Telecommunications Systems GK/RT0206 Signalling and Operational Telecommunications Design: Safety Requirements GK/RT0207 Signalling Design GK/RT0208 Installation of Signalling and Operational Telecomms Equipment GK/RT0209 Testing and Commissioning of Signalling and Operational Telecommunictions Systems GK/RT0210 Asset Management for the Safety of Signalling and Operational Telecommuniction Systems and Equipment GM/RT1201 Escalators and Passenger Conveyors on Railway Stations GM/RT2000 Engineering Acceptance of Rail Vehicles GM/RT2001 Design Scrutiny for the Engineering Acceptance of Rail Vehicles GO/RM3434 Accident and Emergency Planning, Management and Investigation Manual GO/RT3000 Master Rule Book GO/RT3206 Format and Content of the Sectional Appendix GO/RT3208 Arrangements Concerning the Non-Operation of Track Circuits During Leaf Fall Contamination Period GO/RT3209 Format and Content of the Weekly Operating Notice GO/RT3210 Format and Content of the Periodical Operating Notice GO/RT3252 Signals Passed at Danger (SPADs) GO/RT3253 Checking the Speed of Trains GO/RT3259 Safety Requirements for Signallers and Crossing Keepers GO/RT3260 Competence Management for Safety-Critical Work GO/RT3261 Person in Charge of Possession (PICOP) and Engineering Supervisors (ES) GO/RT3263 Auxiliary Operating Duties GO/RT3270 Route Acceptance of Rail Vehicles GO/RT3271 Driver Only Operations GO/RT3279 High Visibility Clothing GO/RT3356 Identification, Reporting and Rectification of Conditions of Low Rail Adhesion GO/RT3410 Train Radio Communication GO/RT3411 Exceptional Weather – Managing the Risks GO/RT3434/1 Accident and Emergency Planning GO/RT3435 Management and Development of Railway Group Safety Related Computer Information Systems. GO/RT3437 Defective On-Train Equipment

Other References

The Catalogue of Railway Group Standards and the Railway Group Standards CD-ROM give the current issue number and status of documents published by Railway Safety
