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Requirements of railway undertakings’ safety management systems and for their implementation

Passed 25.01.2008 No. 9
RTL 2008, 11, 135
Entry into force 08.02.2008

Amended by the following legal instruments (show)

This Regulation is established on the basis of Section 34¹ (4) of the Railways Act.

§ 1.  Scope of this Regulation

 (1) The Regulation establishes requirements for railway undertakings’ safety management systems ('safety management system') and for their implementation.

 (2) This Regulation applies to infrastructure managers operating public railways, and to rail transport undertakings engaged in the carriage of passengers or goods. This Regulation does not apply to undertakings organising rail transport on non-public railways or engaged in the carriage of goods under a safety certificate for operating on non-public railways, or those engaged in the carriage of passengers on non-public railways not connected to the public railway network.
[RT I, 04.07.2011, 1 – entered into force 06.04.2014

§ 2.  Safety management system

 (1) When establishing safety management systems, railway undertakings shall pursue the objective of ensuring the management of risks linked to their rail activities, taking into account risks relating to maintenance, the supply of materials and the use of sub-contractors and, in the absence of relevant national or international rules and where appropriate and reasonable, risks arising from the activities of other parties. Railway undertakings shall implement safety management systems with adequate efficiency in order to manage, as far as possible, the risk arising from the areas of activity set out in Section 1(2) of this Regulation and to alleviate any potential consequences.
[RT I, 28.09.2013, 11 – entered into force 01.10.2013

 (2) Railway undertakings shall establish a safety management system within the undertaking and ensure the implementation thereof. The safety management system shall be established in writing and implementation of the safety management system shall be documented in all relevant parts.

 (2¹) The safety management system shall show how, at all levels:

 (1) control by management is ensured;

 (2) staff and their representatives are involved, and

 (3) continuous improvement of the safety management system is ensured.
[RT I, 28.09.2013, 11 - entered into force 01.10.2013]

 (3) The safety management system shall comprise:
 1) a railway safety policy, including railway safety targets, established by the directing body of the railway undertaking;
 2) measures to implement the railway safety policy and reach railway safety targets;
 3) measures to be taken to meet railway safety requirements and other requirements established in the field of railways by laws or regulations;
 4) the internal division of responsibility within the undertaking for ensuring safety;
 5) the undertaking's arrangements for evaluating risks related to ensuring safety;
 6) the organisation of training related to ensuring safety within the undertaking;
 7) procedures for how safety information is to be documented and provided within the undertaking as well as for exchanging information with competent authorities and other railway undertakings;
 8) the designation of the positions within the undertaking that are responsible for immediately reporting accidents, serious accidents ('accidents') or incidents to the competent authorities;
[RT I, 03.04.2014, 1 – entered into force 06.04.2014]
 9) the undertaking’s plan of action in the case of accidents and incidents, which also ensures appropriate cooperation with the Estonian Rescue Service, other competent authorities and other railway undertakings;
[RT I, 03.04.2014, 1 – entered into force 06.04.2014]
 10) methods for assessing the safety management system and its implementation, and measures to improve the system following the assessment.

 (4) The safety management system shall include circumstances caused by the railway undertaking as well as by third parties that have a direct or indirect impact on railway safety.

 (5) Documentation on the safety management system shall be compiled in a comprehensible manner and ensure the traceability of processes in the safety management system.

§ 3.  Methods for assessing safety management systems and their implementation, and measures to improve the systems

  Safety management systems shall set out:
 1) how, on what bases and how often the safety management system is assessed and the reasons for a railway accident or incident, as identified by the relevant investigation;
[RT I, 03.04.2014, 1 – entered into force 06.04.2014]
 2) information on the organisation of internal safety auditing, including on the auditors assessing implementation of the safety management system and other assessing parties as well as their independence from the railway undertaking;
[RT I, 03.04.2014, 1 – entered into force 06.04.2014]
 3) how the results of the assessment of implementation of the safety management system and data obtained when investigating a railway accident or incident are used to improve the safety management system, implement the railway undertaking's railway safety policy and achieve railway safety targets.
[RT I, 03.04.2014, 1 – entered into force 06.04.2014]

§ 4.  Railway safety policy and railway safety targets of railway undertakings

 (1) The railway safety policy ('railway safety policy') and railway safety targets established by the directing body of the railway undertaking shall confirm the ability of the railway undertaking to ensure railway safety, taking into account the field and scope of activity of the railway undertaking.

 (2) The railway safety policy shall set out the railway undertaking's railway safety targets and the principles on which they were established, including the organisation's qualitative and quantitative targets for the maintenance and enhancement of safety, and plans and procedures for reaching these targets.
[RT I, 28.09.2013, 11 – entered into force 01.10.2013]

§ 5.  Measures to implement railway safety policy and reach railway safety targets

 (1) Measures to implement the railway safety policy and reach the railway safety targets must be proportional to the potential risks arising from the activities of the railway undertaking and include cooperation between the railway undertaking and other parties to ensure railway safety.

 (2) To implement the railway safety policy and reach the railway safety targets, the following measures shall be included in the safety management system:
 1) communication of the railway safety policy to staff, and how staff are involved in its implementation and in reaching railway safety targets;
 2) how the information required to set and reach railway safety targets is gathered, assessed and documented;
 3) how the need for resources required to reach railway safety targets is assessed, and how resources are allocated;
 4) steps to be taken to eliminate shortcomings identified in the measures applied.

§ 6.  Measures to ensure compliance with railway safety requirements

  To ensure compliance with railway safety requirements, safety management systems shall include the following:
 1) the structural unit or position in the railway undertaking in which a member of staff is responsible for reporting railway safety requirements and other requirements laid down in laws or regulations in the field of railway safety ('railway safety requirements') within the organisation, keeping the relevant information up-to-date and for ensuring that the railway undertaking's documentation remains in line with railway safety requirements;
 2) how and how often the activities of the railway undertaking and documentation concerning these activities are assessed with respect to their compliance with railway safety requirements;
 3) how the documentation concerning the activities of the railway undertaking is updated to ensure it complies with railway safety requirements.

§ 7.  Internal division of responsibility within the undertaking for ensuring safety

 (1) The safety management systems of railway undertakings shall include the following as regards the internal division of responsibility for ensuring safety:
 1) the structural units or positions directly involved in ensuring safety within the organisation, and a detailed description of their areas of responsibility;
 2) the job descriptions of heads of the structural units directly involved in ensuring safety or of people in the positions directly involved in ensuring safety, as well as educational and experience-related requirements;
 3) how and how often it is analysed whether the areas of responsibility of the structural units or positions directly involved in ensuring safety are adequate to implement the railway safety policy of the railway undertaking and to reach railway safety targets.

 (2) The safety management systems of railway undertakings which provide rail transport services and manage railway infrastructure shall describe the division of railway safety responsibilities between the railway infrastructure operator and the rail transport operator.
[RT I, 03.04.2014, 1 – entered into force 06.04.2014]

§ 8.  The undertaking’s procedure for assessing safety-related risks

 (1) The safety management system shall cover all the railway undertaking's current and planned operational areas, the scope of its activities and changes to its operating conditions, as well as the procedure for assessing the risks to human life, health, property or the environment ('risk assessment procedure').
[RT I, 03.04.2014, 1 – entered into force 06.04.2014]

 (2) The risk assessment procedure shall include the following:
 1) the structural unit or position in the railway undertaking in which a member of staff is responsible for compliance with the risk assessment procedure;
 2) the principles for and frequency of gathering the information required for risk assessment;
 3) the principles for identifying potential risks;
 4) the principles for identifying the probability of potential risks;
 5) the principles for assessing the consequences of potential risks;
 6) the principles for designating risk classes and for risk classification;
 7) the principles for planning risk-prevention measures.

 (3) When establishing the risk assessment procedure the following shall be taken into account:
 1) the population concentration and frequency of level crossings and pedestrian crossings that the railway infrastructure or train passes;
 2) substances transported on the railway infrastructure by train and the danger they pose to human life, health, property and the surrounding environment;
 3) natural conditions (forest areas, mires and bogs, nature reserves, water intakes and catchment areas, etc.);
 3¹) new technologies and materials used by the undertaking;
[RT I, 03.04.2014, 1 – entered into force 06.04.2014]
 4) technology-related irregularities and any breach of requirements committed by the undertaking;
 5) human-related risks within the undertaking (incorrect decisions, incompetence, negligence, overestimation of abilities, fatigue, working with overload, management errors, wrong work organisation, etc.);
 6) machinery-related risks within the undertaking (errors and disorders in equipment, wear and tear of equipment, etc.);
 7) statistics of accidents within the undertaking;
 8) expert opinions and risk studies drawn up for the undertaking;
 9) risk factors arising from other persons (pedestrians and vehicle drivers on level crossings, etc.).

§ 9.  Safety training arrangements within the undertaking

 (1) The safety management system shall set out the principles for arranging the training necessary to ensure the safety of the railway undertaking’s operations.

 (2) The safety management system shall include:
 1) the educational, experience, training and further training requirements of the railway undertaking's locomotive drivers, assistant locomotive drivers and drivers of special rolling stock, as well as of the infrastructure manager's employees responsible for railway safety or railway traffic control, i.e. station operators, train dispatchers, shunting dispatchers, railway traffic operators, mechanics and assemblers of protection and communications equipment, switch operators, shunting foremen, wagon inspectors, track fitters, track masters, freight train guards, brakemen and signalmen (collectively 'railway workers'), by areas of specialisation;
 2) how, on what bases and how often it is assessed that railway workers’ education, experience, training and further training is in line with requirements;
 3) the principles for and frequency of training and further training of railway workers, by areas of specialisation;
 3¹) the procedure for contesting the results of a locomotive driver's exam, driving test and regular interim checks;
[RT I, 13.03.2013, 1 – entered into force 01.07.2013]
 3²) the procedure for the regular further training and interim checks needed for the locomotive driver's certificate to remain valid;
[RT I, 13.03.2013, 1 – entered into force 01.07.2013]
 3³) the conditions for issuing and amending a locomotive driver's certificate; the procedure for suspending and revoking a certificate; the procedure for appealing decisions to issue, not issue, amend, suspend or revoke a certificate;
[RT I, 13.03.2013, 1 – entered into force 01.07.2013]
 4) the principles for selecting trainers to provide training and further training to railway workers;
 5) the principles for assessing the need for resources to train and provide further training to railway workers and the allocation of these resources;
 6) the principles for the rotation of railway workers within the undertaking, if applicable;
 7) the principles for providing further training to railway workers who have been relieved of their duties for a long time (leave lasting longer than one calendar month, parental leave, prolonged occupational incapacity, etc.) when returning to work.

§ 10.  Procedure for recording, providing and exchanging safety information

  Safety management systems shall include the following information on ensuring safety:
 1) the procedure for recording and providing such information within the organisation, including the procedure for timely notification of employees of important circumstances concerning safety;
 2) the procedure for the timely provision of such information to other railway undertakings and competent authorities, including identification of the structural unit or position responsible for drawing up and providing the information specified in Section 34(5) of the Railways Act;
 3) the procedure for the operational exchange of such information with other railway undertakings and the competent authorities.

§ 11.  Positions responsible for informing competent authorities of accidents or incidents

  Safety management systems must specify the positions that are responsible for immediately notifying the competent authorities of railway accidents or incidents.
[RT I, 03.04.2014, 1 – entered into force 06.04.2014]

§ 12.  Plan of action in the event of accidents or incidents

  [RT I, 03.04.2014, 1 – entered into force 06.04.2014]

 (1) Safety management systems shall include the railway undertaking’s plan of action in the event of a possible railway accident or incident ('plan of action'). The aim of the action plan is to establish the procedure for the undertaking to give notification of dangerous occurrences and near misses, ensuring the required investigation and analysis and implementation of the necessary preventative measures.
[RT I, 03.04.2014, 1 – entered into force 06.04.2014]

 (2) The plan of action shall include:
 1) the requirement to inform the competent authorities, the directing body of the railway undertaking, those working in positions responsible for implementing the plan of action, other railway operators, passengers and other parties involved of railway accidents or incidents, and the procedure therefor depending on the severity of the accident or incident;
[RT I, 03.04.2014, 1 – entered into force 06.04.2014]
 2) measures to be taken in the event of specific railway accidents or incidents, including the plans established by the directing body of the railway undertaking and those in positions responsible for implementing the plan of action for cooperation with the competent authorities, other railway undertakings and other parties involved;
[RT I, 03.04.2014, 1 – entered into force 06.04.2014]
 3) measures to be taken in the event of railway accidents or incidents to stop the railway traffic as soon as possible, alleviate and eliminate the consequences, restore the normal situation and inform all parties involved of the measures taken.

 (3) The plan of action shall include the following up-to-date information:
 1) the employees responsible for implementing the plan of action, their responsibilities, language skills and contact details;
 2) how the railway infrastructure manager provides information on its plans of action to railway undertakings operating on the railway infrastructure managed by it or on connected railway infrastructure;
 3) how the railway undertaking provides information on its plans of action to railway owners on whose railway infrastructure it provides transport services;
[RT I, 03.04.2014, 1 – entered into force 06.04.2014]
 4) the resources earmarked to implement the plan of action in the event of a potential railway accident or incident;
[RT I, 04.07.2011, 1 – entered into force 06.04.2014]
 5) the resources earmarked and the schedule planned for the training and further training of employees responsible for implementing the plan of action, and for carrying out drills;
 6) measures to assess and improve plans of action.

§ 13.  Implementation of this Regulation

  This Regulation shall be implemented as of 1 January 2008.