2019 No. 825
The Railways (Safety Management) (Amendment) (EU Exit) Regulations (Northern Ireland) 2019
Made
Laid before Parliament
Coming into force in accordance with regulation 1(2)
The Secretary of State makes these Regulations in exercise of the powers conferred by section 8(1) of, and paragraph 21 of Schedule 7 to, the European Union (Withdrawal) Act 2018 M1.
The Secretary of State is of the opinion that, by reason of urgency, it is necessary to make these Regulations without a draft of the instrument being laid before, and approved by a resolution of, each House of Parliament.
Citation, commencement and extentI21
1
These Regulations may be cited as the Railways (Safety Management) (Amendment) (EU Exit) Regulations (Northern Ireland) 2019.
2
These Regulations come into force on exit day.
3
These Regulations extend to Northern Ireland only.
Amendment to the Railways (Safety Management) Regulations (Northern Ireland) 2006I12
1
The Railways (Safety Management) Regulations (Northern Ireland) 2006 M2 are amended as follows.
2
In regulation 2 (interpretation), paragraph (1)—
a
for the definition of “common safety targets” (“CSTs”)”, substitute—
“common safety targets” (“CSTs”) means the minimum safety levels as set out in paragraph 17 of Schedule 7, that must be reached by the railway system, or parts of the railway system, expressed in risk categories as defined in paragraph 2 of Schedule 7;
b
c
omit the definition of “European Railway Agency”;
d
e
for the definition of “safety authority”, substitute—
“safety authority” means—
a
as regards a member State of the European Union, the authority established in that State in accordance with article 16.1 of the Directive;
b
as regards Great Britain, the Office of Rail and Road;
c
as regards Northern Ireland, the Department;
3
After regulation 7 (further safety certificate), insert—
Format for safety certificates and applications7A
Schedule 6 (format for safety certificates and applications) has effect.
4
In regulation 13(5)(b), for “another Member State”, substitute “
a member State of the European Union
”
.
5
In regulation 16 (notification to the European Railway Agency regarding safety certificates and safety authorisations relating to the railway system) and in the heading that precedes it, for “European Railway Agency” substitute “
Office of Rail and Road
”
.
6
In regulation 18—
a
in paragraph (3), for “European Railway Agency”, substitute “
Office of Rail and Road
”
;
b
for paragraph (4) substitute—
4
Annual reports for each calendar year must be sent to the Office of Rail and Road by 30th September in the year following the calendar year to which the report refers.
c
in paragraph (5), for “European Railway Agency”, substitute “
Office of Rail and Road
”
.
7
After regulation 18 (annual safety reports) insert—
Common safety targets18A
The Department must assess the achievement of common safety targets in accordance with Schedule 7 (common safety targets).
8
In Schedule 2 (application for a safety certificate), in paragraph 1(b)(i), for “in another member State or in Great Britain under provisions giving effect to article 10(2)(a) of the Directive” substitute “
in a member State of the European Union or in Great Britain
”
.
9
The Schedule has effect.
Signed by authority of the Secretary of State for Transport
SCHEDULESchedules to be inserted in the Railways (Safety Management) Regulations (Northern Ireland) 2006
I31
After Schedule 5 to the Railways (Safety Management) Regulations (Northern Ireland) 2006, insert—
SCHEDULE 6Format for safety certificates and applications
(This Schedule substantially reproduces the provisions of Commission Regulation (EC) No 653/2007 on the use of a common European format for safety certificates and application documents in accordance with Article 10 of Directive 2004/49/EC of the European Parliament and of the Council and on the validity of safety certificates delivered under Directive 2001/14/E, with amendments for the purposes of addressing deficiencies arising out of the UK's withdrawal from the EU.)
PART 1
1
Where Part A of a safety certificate is to be issued, renewed, updated, amended or revoked, the Department must use the form provided in Part 2.
2
Where Part B of a safety certificate is to be issued, renewed, updated, amended or revoked, the Department must use the form provided in Part 3.
3
An application for a new, updated, amended or renewed—
a
Part A of a safety certificate;
b
Part B of a safety certificate; or
c
Parts A and Part B of a safety certificate where a combined application is made,
must be made in the form provided in Part 4.
PART 2Part A of a safety certificate
4
The form referred to in paragraph 1 follows.
PART 3Part B of a safety certificate
5
The form referred to in paragraph 2 follows.
PART 4Application form for a safety certificate
6
The form referred to in paragraph 3 follows.
SCHEDULE 7Common safety targets
Application1
This Schedule applies to the railway system M7.
Interpretation2
In this Schedule—
“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;
“fatalities and weighted serious injuries” (“FWSIs”) means a measurement of the consequences of significant accidents combining fatalities and serious injuries, where 1 serious injury is considered statistically equivalent to 0.1 fatalities;
“level crossing users” means all persons using a level crossing to cross a railway line by any means of transportation or by foot;
“national reference value” (“NRV”) means a reference measure indicating the maximum tolerable level for a railway risk category;
“others” means all persons who are not passengers, staff or employees including the staff of contractors, level crossing users, or unauthorised persons on railway premises;
“passenger-km” means the unit of measure representing the transport of one passenger by rail over a distance of one kilometre;
“passenger train-km” means the unit of measure representing the movement of a passenger train over one kilometre;
“risk category” means one of the railway risk categories specified by Article 7(4)(a) and (b) of the Directive;
F1“risk to society as a whole” means the collective risk to all categories of persons listed in Article 7(4)(a) of the Directive;
“safety enhancement plan” means a plan to implement the organisational structure, responsibilities, procedures, activities, capabilities and resources required to reduce the risk for one or more risk categories;
“staff” or “employees including the staff of contractors” means any persons whose employment is in connection with a railway and is at work at the moment of the accident; it includes the crew of the train and persons handling rolling stock and infrastructure installations;
“track-km” means the length measured in kilometres of the railway network where each track of a multiple track railway line is to be counted;
“train-km” means the unit of measure representing the movement of a train over one kilometre; the distance used is the distance actually run, if available, otherwise the standard network distance between the origin and destination must be used;
“unauthorised persons on railway premises” means any persons present on railway premises where such presence is forbidden, with the exception of level crossing users.
Measurement units for NRVs and CSTs3
The measurement units for NRVs must be expressed in compliance with the mathematical definition of risk. The consequences of accidents which must be considered for each of the risk categories are the FWSIs.
4
For the purpose of assessment of achievement of the NRVs for the passenger and level crossing user risk categories, compliance with one or both of these NRVs must be considered sufficient.
Principles for the assessment of achievement of NRVs and CSTs5
The following principles apply for assessing achievement of NRVs and CSTs—
a
for each risk category for which the NRV is equal to or lower than the corresponding CST, the achievement of the NRV also implies the achievement of the CST;
b
the assessment of achievement of the NRV must be carried out according to the procedure described in paragraph 8 and the NRV represents the maximum tolerable level of the risk to which it refers, without prejudice to provisions of the range of tolerance laid down in paragraph 10;
c
for each risk category for which the NRV is higher than the corresponding CST, the CST represents the maximum tolerable level of the risk to which it refers;
d
the assessment of achievement is to be carried out in compliance with the requirements deriving from the impact assessment.
6
The assessment of achievement of the NRVs and CSTs must be carried out annually by the Department for Infrastructure, taking into consideration the most recent four preceding reporting years, including those years in which the assessment of achievement of the NRVs and CSTs in the United Kingdom was conducted by the European Railway Agency.
7
The outcome of the assessment of achievement referred to in paragraph 5 is to be classified as follows—
a
acceptable safety performance;
b
possible deterioration of safety performance; or
c
probable deterioration of safety performance,
and published by the Department for Infrastructure.
Procedure for assessment of achievement of NRVs and CSTs8
The procedure for the assessment of achievement of NRVs is composed of four different steps as described in the following paragraphs. The overall decisional flowchart of the procedure is shown in paragraph 15, where positive and negative decisional arrows correspond respectively to a ‘passed’ and a ‘failed’ result of the different assessment steps.
9
1
The first assessment step must verify whether the observed safety performance is complying with the NRV or not.
2
The observed safety performance must be measured by using the measurement units listed in paragraph 14 and data gathered by the Department for Infrastructure in respect of railway accidents and related consequences, with time series which must include the most recent years of observations as specified in paragraph 6.
3
The observed safety performance must be expressed in terms of:
a
safety performance in the single most recent reported year; and
b
moving weighted average (MWA), as specified in paragraph 13.
4
The values returned must be compared with the NRV, and if one of these values does not exceed the NRV the safety performance must be considered acceptable. If this is not the case, the procedure must continue with the second assessment step.
10
1
The second assessment step shall deem the safety performance acceptable if the MWA does not exceed the NRV plus a 20% range of tolerance.
2
If this condition is not satisfied, the Department for Infrastructure must obtain the specifics of the single highest-consequence accident, in terms of FWSIs, in the most recent years of observation as referred to in paragraph 6, excluding the years used to set the NRV.
3
If this single accident is more severe, in terms of consequences, than the most severe single accident included in the data used for setting the NRV, it must be excluded from the statistics.
4
The MWA is then recalculated to check whether it lies within the above-mentioned range of tolerance. If this is the case, the safety performance must be considered acceptable. If this is not the case, the procedure must continue with the third assessment step.
11
The third assessment step must verify whether it is the first time in the last 3 years that the second assessment step did not return evidence of acceptable safety performance. If this is the case, the outcome of the third assessment step must be classified as ‘passed’. The procedure must continue with the fourth step, whatever the outcome of the third step may be.
12
1
The fourth assessment step must verify whether the number of significant accidents per train-km, with respect to the previous years, remained stable (or decreased). The criteria for this appraisal are whether there has been a statistically significant increase in the number of relevant significant accidents per train-km. This must be evaluated by using an upper Poisson tolerance band which will determine the acceptable variability based on the number of accidents that occurred in the member States of the European Union.
2
If the number of significant accidents per train-km does not exceed the abovementioned tolerance band, it is assumed that there has not been a statistically significant increase, and the outcome of this assessment step shall be classified as passed.
3
Depending on the risk category to which the different NRVs under assessment of achievement refer, the significant accidents to be considered for carrying out this assessment step are as follows—
a
risks to passengers: all relevant significant accidents;
b
risks to staff or employees, including the staff of contractors: all relevant significant accidents;
c
risks to level crossing users: all relevant significant accidents included in the risk category of level crossing accidents;
d
risks to unauthorised persons on railway premises: all relevant significant accidents included in the risk category of accidents to persons caused by rolling stock in motion;
e
risks to others: all relevant significant accidents;
f
risk to society as a whole: all significant accidents.
Moving weighted averaging process for the annual assessment of achievement of NRVs13
For each of the risk categories to which the MWA is applied for carrying out in each year Y (starting from Y = 2010), the assessment steps described in paragraphs 9 to 12, the following phases must be applied for calculating the MWAY
a
calculation of the annual observations OBSi returned by the corresponding indicators in paragraph 14 after providing as input the relevant data for the relevant years;the index i takes the values as defined in the formula in sub paragraph (e);
b
calculation of the 5-year average (AV) of annual observation OBSi;
c
calculation of the absolute value of the difference ABSDIFFi between each annual observation OBSi and the AV. If ABSDIFFi < * 0.01 AV, the ABSDIFFi is attributed a constant value equal to 0.01* AV; M8
d
calculation of the weight Wi by taking the inverse of ABSDIFFi;
e
calculation of the MWAY as follows—
where i is a natural number and x = Y – 6; N = Y – 2.
Measurement units for NRVs and CSTs14
The following table sets out the measurement units for NRVs and CSTs.
Risk category
Measurement units
Scaling bases
1. F2Risks to passengers
1.1 Number of passenger FWSIs per year arising from significant accidents/Number of passenger train-km per year
Passenger train-km per year
1.2 Number of passenger FWSIs arising from significant accidents/Number of passenger-km per year
Passenger-km per year
2. F3Risks to staff or employees, including the staff of contractors
2. Number of employee FWSIs per year arising from significant accidents/Number of train-km per year
Train-km per year
3. F4Risks to level crossing users
3.1 Number of level-crossing user FWSIs per year arising from significant accidents/Number of train-km per year
Train-km per year
3.2 Number of level-crossing user FWSIs per year arising from significant accidents/[(Number of Train-km per year x Number of level crossings)/Track-km)]
(Train-km per year x Number of level crossings)/Track-km
4. F5Risks to others
4. Yearly number of FWSIs to persons belonging to the category ‘others’ arising from significant accidents/Number of train-km per year
Train-km per year
5. F6Risks to unauthorised persons on railway premises
5. Number of FWSIs to unauthorised persons on railway premises per year arising from significant accidents/Number of train-km per year
Train-km per year
6. F7Risk to society as a whole
6. Total number of FWSIs per year arising from significant accidents/Number of train-km per year
Train-km per year
Decision flowchart15
The flowchart referred to in paragraph 8 is as follows—
Values for NRVs16
The following table sets out the values of the NRVs for the purposes of this Schedule.
NRV
Risk category
Value
1.1 (x 10-9)
Risk to passengers
2.73
1.2 (x 10-9)
0.028
2 (x 10-9)
F8Risks to staff or employees, including the staff of contractors
5.17
3.1 (x 10-9)
Risk to level crossing users
23.5
3.2
n/a
4 (x 10-9)
F9Risks to others
7.00
5 (x 10-9)
Risk to unauthorised persons on railway premises
84.5
6 (x 10-9)
F10Risk to society as a whole
120.0
Values for CSTs17
The following table sets out the values for the CSTs.
Risk category
CST value (x 10-6)
Measurement units
Risk to passengers
CST. 1.1
0.17
Number of passenger FWSIs per year arising from significant accidents/Number of passenger train-km per year
CST 1.2
0.00165
Number of passenger FWSIs arising from significant accidents/Number of passenger-km per year
F11Risks to staff or employees, including the staff of contractors
CST 2
0.0779
Number of employee FWSIs per year arising from significant accidents/Number of train-km per year
Risk to level crossing users
CST 3.1
0.710
Number of level-crossing user FWSIs per year arising from significant accidents/Number of train-km per year
CST 3.2
n/a
Number of level-crossing user FWSIs per year arising from significant accidents/[(Number of Train-km per year x Number of level crossings)/Track-km)]
Risk to others
CST 4
0.0145
Yearly number of FWSIs to persons belonging to the category ‘others’ arising from significant accidents/Number of train-km per year
Risk to unauthorised persons on railway premises
CST 5
2.05
Number of FWSIs to unauthorised persons on railway premises per year arising from significant accidents/Number of train-km per year
Risk to society as a whole
CST 6
2.59
Total number of FWSIs per year arising from significant accidents/Number of train-km per year
2018 c.16.