Safety Management Systems (SMS) Guidelines
Who is required to have a safety management system and what railway operations must it cover?
Rail transport operators must have a safety management system for railway operations for which the operator is required to be accredited. The requirements for safety management systems are set out in section 12 of the Rail Safety Act 2008 and in the Rail Safety (General) Regulation 2008.
What is the definition of a rail transport operator?
“Rail transport operator” means:
- a rail infrastructure manager; or
- a rolling stock operator; or
- a person who is both a rail infrastructure manager and a rolling stock operator.
A rail infrastructure manager is the person who has effective management and control of the rail infrastructure of a railway, whether or not the person:
- owns the rail infrastructure; or
- has a statutory or contractual right to use the rail infrastructure or to control, or provide, access to it.
A rolling stock operator is a person who has effective management and control of the operation or movement of rolling stock on rail infrastructure for a particular railway. It does not include a person merely because they drive the rolling stock or control the network or the network’s signals.
What elements make up a safety management system?
The elements that make up a safety management system are:
- safety policy
- safety culture
- governance and internal control arrangements
- management responsibilities, accountabilities and authorities
- regulatory compliance
- document control arrangements and information management
- review of the safety management system
- safety performance measures
- safety audit arrangements
- corrective action
- management of change
- consultation
- internal communication
- risk management
- human factors
- procurement and contract management
- general engineering and operational systems safety requirements
- process control
- asset management
- safety interface coordination
- management of notifiable occurrences
- security management
- emergency management
- rail safety worker competence
- fatigue
- drugs and alcohol
- health and fitness
- resource availability.
Are the safety management system requirements under the Rail Safety Act 2008 the same as those under the Rail Safety Act 2002?
The safety management system requirements under the Rail Safety Act 2008 are very similar to those under the Rail Safety Act 2002. However, accredited rail transport operators should review their safety management systems to ensure they comply with the requirements of the Rail Safety Act 2008.
What are the transitional arrangements in relation to safety management systems?
The safety management system requirements of the Rail Safety Act 2008 do not apply until 1 January 2010. However, the safety management system requirements of the Rail Safety Act 2002 continue to apply during the transition period.
Where can I find guidance on developing a safety management system?
Non-mandatory guidance can be found in the National Rail Safety Guideline for the Preparation of Safety Management Systems.