safety management systems (sms) wheel – · pdf file1169/2010 for infrastructure managers...
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The European Railway Agency’s Safety Management Systems (SMS) wheel
Why?
The railway SMS is the tool for managing safety which contributes to the effective design, planning, delivery and control of railway operation, as part of a company’s business. It covers core railway activities outlined by the Railway Safety Directive 2004/49/EC.
The SMS wheel offers a comprehensive picture of all the requirements and elements of a SMS, such as listed in Article 9 and Annex III of the Railway Safety Directive.
It is designed to give those who develop and apply a SMS – railway undertakings and infrastructure managers:
An overview of the elements of the SMS as a management systems based approach;
Information on the linkages between each of the elements of the SMS;
An insight of the central role of the SMS into the EU regulatory framework;
Clarity on the role of operational safety and how it is an integral part of the SMS.
How to use it?
The SMS approach promotes the control and continuous improvement of its supporting processes similarly to the stepwise approach of the Plan-Do-Check-Act (PDCA) cycle.
The SMS wheel groups the elements of a SMS into three main processes (design and improvement, implementation and operational activities) and links them both to ERA’s application guide1 for the design and implementation of a Railway SMS and to the assessment criteria of the Common Safety Methods2 for assessing conformity with the requirements for obtaining railway safety certificates or authorisation. It also shows how the application of the EU legal framework may help meet, monitor and supervise the relevant provisions of a SMS.
How it could be applied?
Railway undertakings and infrastructure managers have to identify the risks inherent to their railway operations (including maintenance) so as to demonstrate that they are capable of operating safely.
The correct and efficient implementation of the SMS requires a structured approach ensuring continuous management and control of risks to deliver the desired outcome.
When reflecting on the causes of safety risks, railway undertakings and infrastructure managers should identify the elements of their SMS they need to control these safety risks, identify adequate risk control measures and then continuously monitor their effectiveness.
(1) Available under the following link: http://www.era.europa.eu/Document-Register/Pages/application-guide-for-SMS.aspx(2) Commission Regulation (EU) 1158/2010 for railway undertakings seeking a safety certificate and Commission Regulation (EU)
1169/2010 for infrastructure managers seeking a safety authorisation.
SMS WHEElWelcome to the European Railway Agency’s Safety Management Systems (SMS) wheel
ConTACTEuropean Railway Agency120 rue Marc lefrancqBP 20392FR-59307 Valenciennes Cedex
Tel. +33(0)3 27 09 65 00Fax +33(0)3 27 33 40 65 http://www.era.europa.eu
120525_SMS_wheel_leaflet.indd 1 25.05.12 16:02
CSM CA = Common Safety Methods for Conformity Assessment
CSM Monitoring = Common Safety Method for Monitoring
CSM RA = Comm
on Safety Method on Risk Evaluation and A
ssess ment
CSM RA
ECM
Reg
ulat
ion
= Ce
rtif
catio
n of
ent
ities
in c
harg
e of
mai
nten
ance
for f
reig
ht w
agon
s
CSM Supervision = Common Safety Method for Supervision
Emergency Plans
Leadership
Man
agem
ent c
omm
itmen
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Conf
gura
tion
cont
rol o
f sa
fety
info
rmat
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Invo
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ff an
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epre
sent
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Inte
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Document m
anagement
Annual safety report
Compliance with
applicable rules (delivery)
Use of contractor / control of suppliers
Asset management
Emergency management
Co-ordination tasks for IM Safe
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Corp
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Dec
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Risks a
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ties
Change management
Compliance with legisla
tion,
rules and sta
ndards
Co-ordination tasks for IM
Data collection and analysis
Accident / incident
reporting / investigation
Internal auditing
Continuous improvement
Safety recommendationsChange managementDistribution of responsibilities
Management / supervisory
accountability
Organisational structure
Workload planning
Competence
managem
ent system
Risk Assessment
Monitoring
Organisational learning
Structure & responsibility
Competence management
Information
Documentation
Operational arrangements and procedures
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Reference to Common Safety Methods for Conformity Assessment (implicit reference in italic)
SMS element
Grouping
Reference to ERA’s application guide
Inadequate arrangements put in place by the railway undertaking for managing competence of its train drivers.
The SMS wheel is an effective tool to measure the organisation’s capability to control safety risks.
Absence of risk assessment at the shared interface between the railway undertaking and the infrastructure manager.
The European Railway Agency’s Safety Management Systems (SMS) wheel
For instance, the routine monitoring of a railway undertaking could identify an increase of the number of signals past at danger (SPADs). After investigation, there could be multiple causes for this occurrence:
CSM CA = Common Safety Methods for Conformity Assessment
CSM Monitoring = Common Safety Method for Monitoring
CSM RA = Comm
on Safety Method on Risk Evaluation and A
ssess ment
CSM RA
ECM
Reg
ulat
ion
= Ce
rtif
catio
n of
ent
ities
in c
harg
e of
mai
nten
ance
for f
reig
ht w
agon
s
CSM Supervision = Common Safety Method for Supervision
Emergency Plans
Leadership
Man
agem
ent c
omm
itmen
t
Conf
gura
tion
cont
rol o
f sa
fety
info
rmat
ion
Invo
lvem
ent o
f sta
ff an
d th
eir r
epre
sent
ativ
es
Inte
rnal
/ ex
tern
al
com
mun
icat
ion
SMS d
ocum
enta
tion
Document m
anagement
Annual safety report
Compliance with
applicable rules (delivery)
Use of contractor / control of suppliers
Asset management
Emergency management
Co-ordination tasks for IM Safe
ty P
olic
y
Corp
orat
e sa
fety
targ
ets
Dec
ision
taki
ngM
anag
emen
t con
trol
Cont
rol o
f risk
s ass
ociat
ed w
ith
the
activ
ity o
f the
RUs /
IMs
Risks a
risin
g from
the ac
tiviti
es
of oth
er par
ties
Change management
Compliance with legisla
tion,
rules and sta
ndards
Co-ordination tasks for IM
Data collection and analysis
Accident / incident
reporting / investigation
Internal auditing
Continuous improvement
Safety recommendationsChange managementDistribution of responsibilities
Management / supervisory
accountability
Organisational structure
Workload planning
Competence
managem
ent system
Risk Assessment
Monitoring
Organisational learning
Structure & responsibility
Competence management
Information
Documentation
Operational arrangements and procedures
L / T9.1.
3
R
9.2.1
R
9.2.2 F / G
7.1.1
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CSM CA = Common Safety Methods for Conformity Assessment
CSM Monitoring = Common Safety Method for Monitoring
CSM RA = Comm
on Safety Method on Risk Evaluation and A
ssess ment
CSM RA
ECM
Reg
ulat
ion
= Ce
rtif
catio
n of
ent
ities
in c
harg
e of
mai
nten
ance
for f
reig
ht w
agon
s
CSM Supervision = Common Safety Method for Supervision
Emergency Plans
Leadership
Man
agem
ent c
omm
itmen
t
Conf
gura
tion
cont
rol o
f sa
fety
info
rmat
ion
Invo
lvem
ent o
f sta
ff an
d th
eir r
epre
sent
ativ
es
Inte
rnal
/ ex
tern
al
com
mun
icat
ion
SMS d
ocum
enta
tion
Document m
anagement
Annual safety report
Compliance with
applicable rules (delivery)
Use of contractor / control of suppliers
Asset management
Emergency managementCo-ordination tasks for IM Sa
fety
Pol
icy
Corp
orat
e sa
fety
targ
ets
Dec
ision
taki
ngM
anag
emen
t con
trol
Cont
rol o
f risk
s ass
ociat
ed w
ith
the
activ
ity o
f the
RUs /
IMs
Risks a
risin
g from
the ac
tiviti
es
of oth
er par
ties
Change management
Compliance with legisla
tion,
rules and sta
ndards
Co-ordination tasks for IM
Data collection and analysis
Accident / incident
reporting / investigation
Internal auditing
Continuous improvement
Safety recommendationsChange managementDistribution of responsibilities
Management / supervisory
accountability
Organisational structure
Workload planning
Competence
managem
ent system
Risk Assessment
Monitoring
Organisational learning
Structure & responsibility
Competence management
Information
Documentation
Operational arrangements and procedures
L / T9.1.
3
R
9.2.1
R
9.2.2 F / G
7.1.1
J
7.1.2
K
7.1.3
G
7.1.4
G
7.1.5
A
7.2.1
D
7.2.2
M7.2.3
L7.2.4
R / A7.2.5
Q7.3.1
Q7.3.2
S
7.3.3
I 7.4.1
Q 7.4.2
M 7.4.3
F 8.1.1
G
8.1.2
E8.1.3
A8.1.4
N8.2.1
P
8.3.1
H
8.3.2
O
8.3.3
E
8.4.1
P / E
8.4.2
K8.4
.3
L9.
1.1
B / C
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2
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120525_SMS_wheel_leaflet.indd 2 25.05.12 16:02