CORRIS RAILWAY

SAFETY MANAGEMENT SYSTEM

Revision recordIssue Date Status

0 01/05/2011 Draft for comment 0 20/07/2011 Draft for issue1 05/12/2011 Ist issue1 15/03/2011 Reference to loco move assessment added,

Company interests updated

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CONTENTS

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Revision record 1

Distribution 2

Definitions 3

SMS description:Organisation 4Policy statement 5Risk assessment 5Arrangements for health and safety 6Competence of staff 8Involvement of staff 9Emergency planning 9Targets 9Review and audit 10

Annexes:A - Management post holders 11B - Relevant legislation 12C - List of working instructions 13D - List of work procedures, checklists and information sheets 14E - List of risk assessments 15F - List of safety critical tasks 18G - Risk assessment proforma 19

DistributionCopies of this document are kept at the Museum at Corris and at Maespoeth. A copy is also on the operational pages of the Corris Railway web site, which are available to all working volunteers.

The person controlling the issue of the document is the Officer-in-Charge.

Copies are issued to the following:

Officer-In-ChargeCompany directorsDepartmental supervisorsHealth and Safety OfficerMuseum CuratorCouncil members

All other staff have access to the SMS via the Corris safety website:http://www.safetyatcorris.co.uk. This includes a link for downloading a copy.

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DefinitionsCompany The Corris Railway Company LtdORR The Office of Rail RegulationROGS The Railways and Other Guided Transport Systems (Safety) Regulations

2006Society The Corris Railway SocietySMS Safety Management SystemStaff Includes managers, supervisors, paid workers and volunteers, but excludes

contractorsS&T Signals and Telegraph

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THE CORRIS RAILWAY SAFETY MANAGEMENT SYSTEM

The Corris SMS consists of:

1) Company and Society organisation2) Health and safety policy statement3) Risk assessment4) Arrangements for health and safety5) Competence standards6) Involvement of staff7) Emergency planning8) Targets9) Review and audit

The SMS is issued by the Company. It applies to all staff, and to paid contractors working on the railway's premises. Implementation of the SMS is the responsibility of the Officer-in-Charge.

1) Organisation of the Company and of the SocietyThe Company is the operator of the Corris railway, and acts as the trading arm of the Society. It owns the modern rolling stock and buildings. The directors of the Company are ultimately responsible for safe operation of the railway, and have appointed an officer-in-charge to be in control of all operational matters.

The Company's registered office is at:The Corris Railway MuseumStation YardCorrisMachynllethPowysSY20 9SH

The Society owns the Corris Railway Museum and other heritage property and rolling stock on the Corris railway. It holds a controlling interest in the Company, and is a registered charity. The Society also holds a controlling interest in the Corris Tattoo Locomotive Company Ltd, which is responsible for the construction and maintenance of the railway's steam locomotives.

The Society has an elected Council to decide strategic issues and a Management Committee for day-to-day operation of the railway.

The Society raises funds for the Company and helps to recruit volunteer labour. Unless undertaking projects specifically for the Society, volunteers are managed by the Company.

The Society has endorsed the SMS and requires its members to comply with it. All volunteer workers must be members of the Society, or for casual or short-term workers, be supervised by appropriate members.

Description of the railwayThe railway is a 2ft 3" gauge line running for about 3/4 mile from Corris to Maespoeth.

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Passenger trains, mostly steam-hauled, operate from Corris station to Maespoeth. Thelocomotive currently runs in reverse in the outward direction, and propels the train on thereturn trip. At Maespoeth passengers are given a guided tour of the engine shed and carriage shed.

2) Health and safety policyThe directors have issued the following health and safety policy, signed by the chairman:

'The Directors of the Corris Railway place the utmost importance on thehealth, safety and welfare at work of their staff. Their policy is to minimise the health and safety risks involved in operating the railway. This includes risks to its staff, to its customers and to the local community. The Directors undertake to provide such resources, information, training and supervision as is necessary for these purposes.

The responsibilities of managers and supervisors to maintain high standards of health and safety are on a par with their operating responsibilities. In particular, the Board requires its managers and supervisors to assess the potential risks to all its staff, customers and the community and to take such actions as are reasonably practicable to minimise those risks.

It is the Board’s continuing aim to make the Company a safer organisation in which to work and, to this end, it requires a high standard of individual commitment from management and staff alike.

To support this, a Company Health and Safety Officer is appointed with specific responsibility for promoting safe operation of the Company’s activities.

The Board welcomes the involvement of Company’s staff in the promotion and development of measures to minimise the risk to the health and safety of all involved in the Company’s operations.

It is the Board’s belief that the required high standard of health and safety can only be achieved if every member of staff accepts a personal responsibility for the prevention of injury and loss to themselves and to others. The Board requires all staff to comply with the Company's Safety Management System.'

3) Risk assessmentAll activities which can give risk to a risk to health and safety are assessed, and control measures put in place to reduce the risks to as low as reasonably practicable. This is the responsibility of the appropriate supervisor.

For minor hazards the risk assessment may not need to be documented, provided that the controls can be immediately recalled and put into effect as required. However in most cases a written risk assessment is required, following the proforma in Annex D. A list of current assessments, which include the minimum set of controls required, is in Annex E.

For each task to be carried out, supervisors are required to:

- ensure a risk assessment is in place, and is appropriate for the particular circumstances on the day, and

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- ensure their staff are aware of the controls and put them into effect.

4) Arrangements for health and safety The Company's arrangements for health and safety consist of:

1) the operational management structure,2) the Corris Railway Rule Book,3) working instructions relating to health and safety, and4) procedures, checklists and information sheets for specific activities.

Operational management structureManagement of day-to-day operations of the railway is under the control of the Officer-in-Charge. It is split into a number of areas:

Train operationsSignals and TelegraphPermanent WayWorkshop engineeringCivil EngineeringMuseum and shopExhibition

Each area is under the control of a supervisor - current post holders are listed in Annex A. Supervisors are responsible for ensuring all activities in their area are carried out in a safe manner. This includes:

1) operating and maintaining their area in accordance with relevant legislation, Company instructions and standards, and appropriate external codes. This includes obtaining external guidance or verification where necessary, for example before the introduction of new rolling stock or alterations to buildings.

2) ensuring the risks from work activities are as low as is reasonably practicable, by effective implementation of rules and procedures, based on appropriate risk assessment,

3) ensuring tools and equipment are suitable for the intended use and are properly maintained,

4) ensuring staff under their control are adequately trained, instructed and supervised, and.

5) keeping all relevant documentation up-to-date.

Annex B lists the main legislation relevant to the railway.

The Rule BookThe Rule Book describes the Company rules for operating the railway. It deals mainly with the safe movement of trains and the safety of the public. It includes the management of engineering operations when trains may be running.

The Rule Book is issued to all operational staff, who are required to be aware of, and

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observe, all rules relevant to their work.

Working instructionsWorking instructions are issued by the Officer-in-Charge to control specific activities on the railway. They may be permanent or temporary. All permanent instructions are reviewed at least every two years to ensure they are still appropriate and/or can be subsumed into Company rules and procedures.

Temporary working instructions include a time limit, after which they cease to have effect.

Working instructions are posted in the S&T shed and in the signal box. A list of current working instructions is in Annex C.

Work procedures, checklists and information sheetsProcedures, checklists and information sheets are issued by the Management Committee or by individual supervisors. They describe how particular work activities are to be carried out, based on a written risk assessment.

Some additional matters are described below:

New works and rolling stockBefore new or altered infrastructure or vehicles are introduced to the railway, safety verification of the proposed changes is carried out. An independent competent person is appointed to carry out the verification assessment, following a written verification scheme prepared by the Company.

The Officer-in-Charge ensures that the need for verification is identified well in advance, that a written scheme is prepared, and that a competent person is appointed to carry it out.

Provision of informationThe Officer in Charge is responsible for appraising managers of health and safety information, and managers for cascading this information to their staff. Regular management meetings are held at which health and safety is always on the agenda. Health and safety is also a standing agenda item for Council meetings.

The Health and Safety Advisor is responsible for informing the Officer in Charge and managers of changes in legislation, new guidance, etc.

First aidFirst aid boxes are provided at various locations at Corris and Maespoeth, and are carried on trains. First Aid training is undertaken by an outside agency.

Fire safetyThe Officer in Charge takes the role of ‘Responsible Person’ under the Regulatory Reform (Fire Safety) Order 2005.

A series of fire risk assessments have been carried out, covering work in the the main buildings, train operation and forest fires. The precautions include control of flammable susbstances, electrical equipment testing, provision of fire extinguishers, and instruction on actions to be taken in the event of a fire. Fire extinguishers are provided in appropriate

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locations, including on trains, and are serviced by a contractor.

On-site and off-site workStaff working at or from Maespoeth record their attendance in the diary in the S&T shed. Before leaving, all staff apart from train crew and the controller ensure the work they have carried out is recorded in the diary.

Staff working on their own carry a mobile phone and either carry first aid equipment or have access to such equipment at a suitable location. They ensure another member of staff is aware of what work they are doing and the location, with an estimated time of completion where appropriate.

Staff may undertake projects away from the Corris site, sometimes without the Company’s direct knowledge. Where appropriate, staff should maintain the same standards of health and safety for these projects as apply to activities on the Corris site. However this would depend on local conditions.

Staff may also attend external events to publicise the railway. These activities are generally of low risk and there is no formal process to assess these activities. However the Company’s managers and the Health and Safety Advisor will give guidance if required.

There are a number of other organisations involved with the railway, such as those involved in the building of new locomotives. The Officer-in-Charge is responsible for ensuring that, where appropriate, those organisations conform to the Company’s SMS.

Incident investigationAll accidents and near-misses are reported to the management committee and investigated. Where required by legislation, incidents are reported to the ORR. The officer-in-charge is responsible for ensuring this is done promptly.

Investigation reports are submitted to the committee for review and to ensure any remedial action is taken. More details are in the procedure 'Incident reporting and investigation'

5) Competence standardsAll staff, including supervisors, are required to be competent to carry out their assigned duties. Competency is achieved by:

- selecting individuals suitable for the duties,- providing appropriate training in the activities to be carried out,

- providing appropriate information and instruction in the Company's SMS, procedures and working instructions, including risk assessment methods and individual health and safety responsibilities,- an initial assessment of the ability to carry out assigned duties,- monitoring of activities and behaviours (including the effects of stress and fatigue) and- periodic review of competence, including formal re-assessment where appropriate.

Records of training are kept by the Training Officer. Where certificates of competency are required for particular activities, such as operation of workshop machines, the records are

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maintained by the appropriate supervisor.

Operational record cards are used to record turns undertaken by train staff, including the controller. The cards are kept in the S&T shed.

All staff are given an induction on first starting work on the Railway, and given a copy of the Company Safety Booklet. The booklet contains:

- a statement of the health and safety policy,- a summary of the SMS, and- a set of general health and safety rules.

Operational staff involved in running trains are also given a copy of the Rule Book.

Safety critical tasksROGS defines a number of activities as safety critical tasks. These relate to operation of trains on the railway and to installation and maintenance of various parts of the railway. A list is in Annex F.

Staff who carry out safety critical tasks must be competent and fit enough to do so, and not affected by fatigue. Records of assessment of safety-critical workers must be kept.

Corris staff in this category include:- drivers- firemen- guards- controllers- supervisors of maintenance and installation work relating to rail vehicles and railway infrastructure

6) Involvement of staffAs part of induction training, staff are made aware of the SMS and of the importance of conformance with it. Appropriate staff are consulted in the preparation of risk assessments and the identification of appropriate precautions. All staff are encouraged to report near-misses, potential health and safety problems, and suggestions for improvement. The noticeboard in the S&T shed at Maespoeth is used to bring the attention of staff to particular health and safety matters.

7) Emergency planningEmergency Response arrangements are detailed in a document entitled ‘Corris Railway Emergency Plan', located in the Control Office at Maespoeth.

8) TargetsThe Company is committed to continuous improvement in its management of health and safety, and sets targets for improvement in health and safety performance, along with plans for achieving such targets.

Managers are expected to maintain compliance with relevant parts of the SMS within their area of responsibility. Managers are also expected to demonstrate continuous improvement in their departmental performance in audit, and satisfactory close out of audit findings.

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The Officer in Charge is assessed annually by the Board of Directors against overall Company health and safety performance, including close out of audit findings.

Incident data is collected and analysed, taking care to avoid reporting the data in a manner which might discourage incident reporting.

9) Review and auditThe SMS is kept under continuous review to reflect changes in legislation, good practice, and Corris operations. In addition it is reviewed in its entirety every two years. The Health and Safety Officer is responsible for maintaining the SMS document.

The Officer-in-Charge ensures that periodic sample checks are carried out to verify that management processes are operating correctly.

The Company's operations are periodically audited on a sample basis. Audits are led by a person not connected with the Company or Society. Staff (not being part of the management committee) may take part in the audit, where the Officer-in-Charge considers it appropriate. Reports are made in writing to the Board.

Following each audit the Board prepares an action plan, with time-scales for completion, for implementation by the Officer-in-Charge.

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Annex A

MANAGEMENT POSTHOLDERS

Officer-in-charge Richard ShipmanDeputy officer-in-chargeand Society chairman David ColemanCompany chairman Andy Cooper

Supervisors:Train operations Richard ShipmanSignals and Telegraph Richard ShipmanPermanent Way Richard GreenhoughWorkshop engineering Andy CooperCivil engineering ?Museum and shop Rosie GuestExhibition Bill Newton

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Annex B

RELEVANT LEGISLATION

The Health and Safety at Work, etc Act 1974The Level Crossings Act 1983The Railways Act 2005The Railways and Transport Safety Act 2003The Transport and Works Act 1992

The Confined Spaces Regulations 1997The Construction (Design and Management) Regulations 2007The Control of Substances Hazardous to Health RegulationsThe Control of Noise at Work RegulationsThe Control of Vibration at Work RegulationsThe Electricity at Work Regulations 1989The Gas Safety (Installation and Use) Regulations 1998The Health and Safety (First Aid) Regulations 1981The Lifting Operations and Lifting Equipment Regulations 1998The Management of Health and Safety at Work Regulations 1992The Provision and Use of Work Equipment Regulations 1998The Regulatory Reform (Fire Safety) Order 2005The Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1995The Work at Height Regulations 2005

The Pressure Systems Safety Regulations 2000The Railways (Accident Investigation and Reporting) Regulations 2005The Railways and Other Guided Transport Systems (Safety) Regulations 2006The Railways Safety (Miscellaneous Provisions) Regulations 1997

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Annex C

WORKING INSTRUCTIONS 1) Rule Book updates - 29th May 2002

2) Location and opening of Control - 29th May 2002

3) Temporary Track Caution - revised 11th April 2006 [check currency and expiry date]

4) Interaction with the public - 27th August 2010

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Annex D

WORK PROCEDURES, INFORMATION SHEETS AND CHECKLISTS

Text to be added

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Annex E

RISK ASSESSMENTS

Train operationOperating trainsSignal boxBraich Goch crossingMaespoeth North crossingTriangle crossingGravity trainsHorse haulageMajor incidents

LocomotivesSteam locomotive No.7Boiler explosionDiesel locomotive No.5Diesel locomotive No.6Diesel locomotive No.8Diesel oilLocomotive move to Tywyn

Civil engineeringBrickworkBuried servicesCartridge toolsChainsawsDemolitionExcavationsLaddersPlasteringPlumbingPouring concreteRoofworkScaffold towersUnderpinning

Trackside workGeneral site workingGrass trimmingJoint expandersMechanical loaderPermanent way operationsPortable generatorRail bendingRail drillingTemporary points

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WorkshopArc weldingDrilling and millingGeneral workshop operationsGrinders and drillsGuillotinelatheLifting tacklePortable grinderSaws, routers and sandersScrew-threading latheSolventsWelding and brazing

Fire risksForest firesLoco shedMiscellaneous fire risksMuseum S&T shedSignal boxTrains

SubstancesAcetyleneAntifreezeArgoshieldBiactiveBleachCastrol greaseCellulose thinnersCementConcreteCuprinolDacrylateDark creosoteDieselDuckhams two-stroke oilDulux paintEpoxy puttyHydraulic oilM&S polymerMorris Alto lubricantsNitromorsOxygenParaffinPropanePVA glueRed oxide primer

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Soluble cutting oilWD40 lubricant

OthersCateringExhibitionMajor incidents

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Annex F

SAFETY CRITICAL TASKS

1) Tasks to be performed only by those assessed as competent and fit to carry them out:

- driving and train dispatch,- operating signals and level crossings, and related communication- coupling and uncoupling vehicles,- controlling the power supply connected to track and vehicles,- checking vehicles are working properly, and if loaded, loaded correctly,- protecting the safety of people working on or near to the track.

2) Tasks to be supervised or checked by persons assessed as competent and fit to do so before the work has an opportunity to affect the health and safety of people working or travelling on the railway:

- installing vehicle parts,- maintaining vehicles that are being used (and their parts),- installing or maintaining any part of the infrastructure,- installing or maintaining the power supply,- installing, maintaining or operating the communications systems used to control

vehicles' movement or to call the emergency services.

3) Training (including supervision of training) in any of the above tasks in (1) or (2) where the training involves carrying out the actual task.

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Annex G

RISK ASSESSMENT PROFORMA

Text to be added

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