30 Contents of safety case

(1)

A safety case must contain a statement or description, as appropriate, of the following:

(a)

the rail activities of the rail participant, including details of the extent and geographical location of those rail activities:

(b)

the safety policy and objectives of the rail participant and of how that policy and those objectives will be implemented or given effect:

(c)

the management and organisational arrangements that the rail participant will establish in order to promote the safety of its rail activities:

(d)

the management systems that the rail participant has in place to—

(i)

identify and assess the safety risks arising from its rail activities; and

(ii)

develop and implement safety risk control measures:

(e)

the safety risks arising from the rail activities of the rail participant, and details of the measures to be in place to mitigate those risks:

(f)

the process for ensuring that interoperability arrangements between the rail participant and other rail participants enhance rail safety:

(g)

the arrangements that are in place to ensure that—

(i)

assets and equipment used are, in safety terms, fit for their purpose; and

(ii)

safety-critical tasks and activities are clearly identified; and

(iii)

rail personnel carrying out safety-critical tasks and activities have received appropriate training and instruction; and

(iv)

the competence of rail personnel carrying out safety-critical tasks and activities has been appropriately tested; and

(v)

working practices and procedures are fit for their purpose:

(h)

the arrangements for procuring and maintaining evidence to ensure that the measures and processes necessary for safety are working as intended, including (but not limited to)—

(i)

the identification of the key safety performance factors and measures, including (but not limited to) accidents and incidents; and

(ii)

the monitoring and recording of, and reporting on (both internally and to the Agency), the key safety performance factors and measures, including (but not limited to) accidents and incidents; and

(iii)

the regular supervision, inspection, monitoring, and audit of the rail participant’s safety case, safety system, and licence conditions; and

(iv)

when required, the provision of evidence to the Agency substantiating the matters in subparagraphs (i) to (iii):

(i)

the process by which, in consultation with the Agency, the frequency of ordinary safety assessments under section 37 may be agreed:

(j)

the arrangements for the rail participant to report to other relevant rail participants concerns about the state or performance of any rail vehicle, rail infrastructure, or railway premises that it considers has implications for the safe operation of the railway:

(k)

the policies in place to ensure that the rail participant’s rail personnel—

(i)

are fit for duty; and

(ii)

are not suffering impairment or incapacity as a result of fatigue, illness, medication, drugs, alcohol, or any other factor:

(l)

the arrangements for ensuring that safety is maintained or continuously improved despite changes in circumstances that may affect the rail participant, its rail personnel, or any person that uses the rail participant’s services, including (but not limited to)—

(i)

the continuous review of the rail participant’s activities to identify potentially significant changes (both internal and external); and

(ii)

the review and revision of the rail participant’s safety case and safety system, as a whole and in its various parts, to ensure that its safety case and safety system continue to be the most appropriate; and

(iii)

the identification of the areas of significant risk and the plans that are in place, or being developed, to reduce those risks:

(m)

the arrangements for ensuring that the rail participant consults any representatives of rail personnel (including, but not limited to, unions) with respect to the development and variation of safety systems that affect, or are likely to affect, rail personnel:

(n)

any other matters that may be prescribed by the rules or that the Agency considers appropriate in the interests of safety.

(2)

A safety case may adopt, by reference and with any necessary modifications, 1 or more parts of another approved safety case.

(3)

If a provision of an approved safety case is inconsistent with a rule,—

(a)

the rule prevails; and

(b)

the rail participant must amend the provision so that it is consistent with the rule.

Compare: 1989 No 74 s 6B

Section 30(1)(h)(ii): amended, on 1 August 2008, by section 50(1) of the Land Transport Management Amendment Act 2008 (2008 No 47).

Section 30(1)(h)(iv): amended, on 1 August 2008, by section 50(1) of the Land Transport Management Amendment Act 2008 (2008 No 47).

Section 30(1)(i): amended, on 1 August 2008, by section 50(1) of the Land Transport Management Amendment Act 2008 (2008 No 47).

Section 30(1)(n): amended, on 1 August 2008, by section 50(1) of the Land Transport Management Amendment Act 2008 (2008 No 47).