ANNEX I U.K. Safety management system requirements related to railway undertakings

6. PERFORMANCE EVALUATION U.K.

6.1. Monitoring U.K.

6.1.1. The organisation shall perform monitoring in accordance with Regulation (EU) No 1078/2012: U.K.

(a)

to check the correct application and the effectiveness of all the processes and procedures in the safety management system, including the operational, organisational and technical safety measures;

(b)

to check the correct application of the safety management system as a whole, and if it achieves the expected outcomes;

(c)

to investigate whether the safety management system conforms to the requirements in this Regulation;

(d)

to identify, implement and evaluate the effectiveness of the corrective measures (see 7.2. Continual improvement), as appropriate, if any relevant instance of non-compliance to points (a), (b) and (c) is detected.

6.1.2. The organisation shall regularly monitor at all levels within the organisation the performance of safety-related tasks and intervene if these tasks are not being properly performed. U.K.

6.2. Internal auditing U.K.

6.2.1. The organisation shall conduct internal audits in an independent, impartial and transparent way to collect and analyse information for the purposes of its monitoring activities (see 6.1. Monitoring), including: U.K.

(a)

A schedule of planned internal audits which can be revised depending on the results of previous audits and monitoring of performance;

(b)

The identification and selection of competent auditors (see 4.2. Competence);

(c)

The analysis and evaluation of the results of the audits;

(d)

The identification of the need for corrective or improvement measures;

(e)

The verification of the completion and effectiveness of these measures;

(f)

The documentation pertaining to the execution and results of audits;

(g)

The communication of the results of audits to the top management.

6.3. Management review U.K.

6.3.1. Top management shall regularly review the continuing adequacy and effectiveness of the safety management system including at least consideration of: U.K.

(a)

details of progress on addressing outstanding actions from previous management reviews;

(b)

changing internal and external circumstances (see 1. Context of the organisation);

(c)

the organisation's safety performance related to:

(i)

the achievement of its safety objectives;

(ii)

the results from its monitoring activities, including the internal audit findings, and internal accident/incident investigations and status of their respective actions;

(iii)

the relevant outputs from supervisory activities conducted by the national safety authority;

(d)

recommendations for improvement.

6.3.2. Based on the outputs of its management review, the top management shall take overall responsibility for the planning and implementation of needed changes to the safety management system. U.K.