Commission Regulation (EU) No 1078/2012Show full title

Article 1 E+W+S Subject matter and scope

1. This Regulation establishes a common safety method (CSM) for monitoring, enabling the effective management of safety in the railway system during its operation and maintenance activities and, where appropriate, improving the management system.

2. This Regulation shall be used for the following:

(a) to check the correct application and the effectiveness of all the processes and procedures in the management system, including the technical, operational and organisational risk control measures. In case of railway undertakings and infrastructure managers, checking will include the technical, operational and organisational elements that are necessary for the issue of the certification/authorisation specified in [F1 regulations 7(4) and 10(3) of the Railways and Other Guided Transport Systems (Safety) Regulations 2006 or Chapter 3 of the Schedule to the Channel Tunnel (Safety) (Amendment) Order 2013];

(b) to check the correct application of the management system as a whole, and if the management system achieves the expected outcomes; and

(c) to identify and implement appropriate preventive, corrective or both types of measures if any relevant instance of non-compliance to points (a) and (b) is detected.

3. This Regulation shall apply to railway undertakings, infrastructure managers after receiving a safety certificate or safety authorisation and entities in charge of maintenance.

Extent Information

E1 This version of this provision extends to England and Wales and Scotland only; a separate version has been created for Northern Ireland only

Textual Amendments

F1 Words in Art. 1(2)(a) substituted (E.W.S.) (31.12.2020) by The Rail Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/837), regs. 1, 15(2); 2020 c. 1, Sch. 5 para. 1(1)

Article 1 N.I. Subject matter and scope

1. This Regulation establishes a common safety method (CSM) for monitoring, enabling the effective management of safety in the railway system during its operation and maintenance activities and, where appropriate, improving the management system.

2. This Regulation shall be used for the following:

(a) to check the correct application and the effectiveness of all the processes and procedures in the management system, including the technical, operational and organisational risk control measures. In case of railway undertakings and infrastructure managers, checking will include the technical, operational and organisational elements that are necessary for the issue of the certification/authorisation specified in [F9 regulations 5(4) and 8(3) of the Railways (Safety Management) Regulations (Northern Ireland) 2006];

(b) to check the correct application of the management system as a whole, and if the management system achieves the expected outcomes; and

(c) to identify and implement appropriate preventive, corrective or both types of measures if any relevant instance of non-compliance to points (a) and (b) is detected.

3. This Regulation shall apply to railway undertakings, infrastructure managers after receiving a safety certificate or safety authorisation and entities in charge of maintenance.

Extent Information

E4 This version of this provision extends to Northern Ireland only; a separate version has been created for England and Wales and Scotland only

Textual Amendments

F9 Words in Art. 1(2)(a) substituted (N.I.) (31.12.2020) by The Rail Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/837), regs. 1, 20(2); 2020 c. 1, Sch. 5 para. 1(1)

[F2 Article 2 E+W+S Definitions

For the purposes of this Regulation the following definitions apply.

• ‘accident’ means an unwanted or unintended sudden event or a specific chain of such events which have harmful consequences; accidents are divided into the following categories: collisions, derailments, level-crossing accidents, accidents to persons caused by rolling stock in motion, fires and others;

• ‘entity in charge of maintenance’ means an entity in charge of maintenance of a vehicle, and registered as such in the National Vehicle Register;

• ‘incident’ means any occurrence, other than an accident, associated with the operation of trains and affecting the safety of operation;

• ‘infrastructure manager’ means any body or undertaking that is responsible in particular for establishing and maintaining railway infrastructure, or a part thereof, as defined in Article 3 of Directive 91/440/EEC, which may also include the management of infrastructure control and safety systems. The functions of the infrastructure manager on a network or part of a network may be allocated to different bodies or undertakings.

• ‘interfaces’ means all points of interaction during a system or subsystem life-cycle, including operation and maintenance where different actors of the rail sector will work together in order to manage the risks;

• ‘management system’ means either a safety management system as defined in the Railways and Other Guided Transport Systems (Safety) Regulations 2006, or the system of maintenance of entities in charge of maintenance complying with requirements laid down in paragraph 3 of Regulation 18A of the Railways and Other Guided Transport Systems (Safety) Regulations 2006 or paragraph 55B of the Schedule to the Channel Tunnel (Safety) (Amendment) Order 2013;

• ‘monitoring’ means the arrangements put in place by railway undertakings, infrastructure managers or entities in charge of maintenance to check their management system is correctly applied and effective;

• ‘national safety authority’ means one or both of—

  (a)

  a safety authority; and

  (b)

  the safety authority for the tunnel system

  as defined in the Railways and Other Guided Transport Systems (Safety) Regulations 2006;

• ‘railway system’ means the totality of the subsystems in Great Britain for structural and operational areas, as defined in paragraph 2(1) to 2(7) of Annex II to Directive 2008/57/EC, as well as the management and operation of the system as a whole;

• ‘railway undertaking’ means a public or private undertaking, licensed according to applicable legislation, the activity of which is to provide transport of goods and/or passengers by rail on the basis that the undertaking must ensure traction; this also includes undertakings which provide traction only.]

Extent Information

E2 This version of this provision extends to England and Wales and Scotland only; a separate version has been created for Northern Ireland only

Textual Amendments

F2 Art. 2 substituted (E.W.S.) (31.12.2020) by The Rail Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/837), regs. 1, 15(3); 2020 c. 1, Sch. 5 para. 1(1)

[F10 Article 2 N.I. Definitions

For the purposes of this Regulation the following definitions shall apply.

• ‘accident’ means an unwanted or unintended sudden event or a specific chain of such events which have harmful consequences; accidents are divided into the following categories: collisions, derailments, level-crossing accidents, accidents to persons caused by rolling stock in motion, fires and others;

• ‘entity in charge of maintenance’ means an entity in charge of maintenance of a vehicle, and registered as such in the National Vehicle Register;

• ‘incident’ means any occurrence, other than an accident, associated with the operation of trains and affecting the safety of operation;

• ‘infrastructure manager’ means any body or undertaking that is responsible in particular for establishing and maintaining railway infrastructure, or a part thereof, as defined in Article 3 of Directive 91/440/EEC, which may also include the management of infrastructure control and safety systems. The functions of the infrastructure manager on a network or part of a network may be allocated to different bodies or undertakings;

• ‘interfaces’ means all points of interaction during a system or subsystem life-cycle, including operation and maintenance where different actors of the rail sector will work together in order to manage the risks;

• ‘management system’ means either a safety management system as defined in the Railways (Safety Management) Regulations (Northern Ireland) 2006, or the system of maintenance of entities in charge of maintenance complying with requirements laid down in paragraph 3 of Regulation 16AA of the Railways (Safety Management) Regulations (Northern Ireland) 2006;

• ‘monitoring’ means the arrangements put in place by railway undertakings, infrastructure managers or entities in charge of maintenance to check their management system is correctly applied and effective;

• ‘national safety authority’ has the meaning provided for “safety authority” in the Railways (Safety Management) Regulations (Northern Ireland) 2006;

• ‘railway system’ means the totality of the subsystems in Northern Ireland for structural and operational areas, as defined in paragraph 2(1) to 2(7) of Annex II to Directive 2008/57/EC, as well as the management and operation of the system as a whole;

• ‘railway undertaking’ means a public or private undertaking, licensed according to applicable legislation, the activity of which is to provide transport of goods and/or passengers by rail on the basis that the undertaking must ensure traction; this also includes undertakings which provide traction only.]

Extent Information

E5 This version of this provision extends to Northern Ireland only; a separate version has been created for England and Wales and Scotland only

Textual Amendments

F10 Art. 2 substituted (N.I.) (31.12.2020) by The Rail Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/837), regs. 1, 20(3); 2020 c. 1, Sch. 5 para. 1(1)

Article 3 U.K. Monitoring process

1. Each railway undertaking, infrastructure manager and entity in charge of maintenance:

(a) shall be responsible for conducting the monitoring process set out in the Annex;

(b) shall ensure that risk control measures implemented by their contractors are also monitored in compliance with this Regulation. To this end, they shall apply the monitoring process set out in the Annex or require their contractors to apply this process through contractual arrangements.

2. The monitoring process shall contain the following activities:

(a) the definition of a strategy, priorities and plan(s) for monitoring;

(b) the collection and analysis of information;

(c) the drawing up of an action plan for instances of unacceptable non-compliance with requirements laid down in the management system;

(d) the implementation of the action plan, if such a plan is drawn up;

(e) the evaluation of the effectiveness of action plan measures, if such a plan is drawn up.

Article 4 U.K. Exchange of information between the involved actors

1. Railway undertakings, infrastructure managers and entities in charge of maintenance, including their contractors, shall ensure through contractual arrangements that any relevant safety-related information resulting from applying the monitoring process set out in the Annex is exchanged between them, to enable the other party to take any necessary corrective actions to ensure continuous achievement of the safety performance of the railway system.

2. If, through the application of the monitoring process, railway undertakings, infrastructure managers and entities in charge of maintenance identify any relevant safety risk as regards defects and construction non-conformities or malfunctions of technical equipment, including those of structural sub-systems, they shall report those risks to the other parties involved to enable them to take any necessary corrective actions to ensure continuous achievement of the safety performance of the railway system.

Article 5 E+W+S Reporting

1. The infrastructure managers and railway undertakings shall report to the national safety authority on the application of this Regulation through their annual safety reports F3 ....

F4 2. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

3. The annual maintenance report of entities in charge of maintenance of freight wagons set out in [F5 paragraph 27(4)(k) of Schedule 10 to the Railways and Other Guided Systems (Safety) Regulations 2006], shall include information about the experience of entities in charge of maintenance in applying this Regulation. F6 ...

F7 4. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F7 5. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F7 6. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F7 7. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Extent Information

E3 This version of this provision extends to England and Wales and Scotland only; a separate version has been created for Northern Ireland only

Textual Amendments

F3 Words in Art. 5(1) omitted (E.W.S.) (31.12.2020) by virtue of The Rail Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/837), regs. 1, 15(4)(a); 2020 c. 1, Sch. 5 para. 1(1)

F4 Art. 5(2) omitted (E.W.S.) (31.12.2020) by virtue of The Rail Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/837), regs. 1, 15(4)(b); 2020 c. 1, Sch. 5 para. 1(1)

F5 Words in Art. 5(3) substituted (E.W.S.) (31.12.2020) by The Rail Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/837), regs. 1, 15(4)(c)(i); 2020 c. 1, Sch. 5 para. 1(1)

F6 Words in Art. 5(3) omitted (E.W.S.) (31.12.2020) by virtue of The Rail Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/837), regs. 1, 15(4)(c)(ii); 2020 c. 1, Sch. 5 para. 1(1)

F7 Art. 5(4)-(7) omitted (E.W.S.) (31.12.2020) by virtue of The Rail Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/837), regs. 1, 15(4)(d); 2020 c. 1, Sch. 5 para. 1(1)

Article 5 N.I. Reporting

1. The infrastructure managers and railway undertakings shall report to the national safety authority on the application of this Regulation through their annual safety reports F11 ....

F12 2. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F12 3. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F12 4. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F12 5. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F12 6. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F12 7. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Extent Information

E6 This version of this provision extends to Northern Ireland only; a separate version has been created for England and Wales and Scotland only

Textual Amendments

F11 Words in Art. 5(1) omitted (N.I.) (31.12.2020) by virtue of The Rail Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/837), regs. 1, 20(4)(a); 2020 c. 1, Sch. 5 para. 1(1)

F12 Art. 5(2)-(7) omitted (N.I.) (31.12.2020) by virtue of The Rail Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/837), regs. 1, 20(4)(b); 2020 c. 1, Sch. 5 para. 1(1)

Article 6 U.K. Entry into force and application

This Regulation shall enter into force on the twentieth day following that of its publication in the Official Journal of the European Union.

This Regulation shall apply from 7 June 2013.

F8 ...

Done at Brussels, 16 November 2012.

For the Commission

The President

José Manuel Barroso

Textual Amendments

F8 Words in Signature omitted (31.12.2020) by virtue of The Rail Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/837), regs. 1, 15(5), 20(5); 2020 c. 1, Sch. 5 para. 1(1)