1. CSM SP 1077/2012 Practice example CSM for Supervision 1

2. CSM SP 1077/2012 Development  Started by ERA in 2009.  The aim was to further enhance the supervision principles which were set out in the CSMs on CA.  CSM SP has been applied from 7th June of 2013. 2

3. Definition  ‘Supervision’ means the arrangements put in place by the NSA to oversee safety performance after it has granted a SC/SA. 3

4. Subject-matter and scope  The CSM provides a common purpose for NSA supervision.  The common purpose is to make sure NSAs give appropriate effect to overseeing that the RUs and IMs have and implement effectively their SMSs so that the railway system operates safely. 4

5. Subject-matter and scope  NSAs supervise to: 1.Check that RUs and IMs meet their legal responsibilities 2.Help RUs and IMs understand their obligations 3.Check that RUs and IMs understand their railway related risks and can manage and control those risks through their SMSs 4.Understand how the railways are developing so that they can ensure that the legal framework remains appropriate and relevant to the railways of the Member State(s) in which they operate. 5

6. Supervision framework principles 6 Proportionality ConsistencyTargetingResourcesTransparency Accountability Co-operation

7. Preparation activities of Supervision  NSA must understand and evaluate: 1.The risks that are posed to society by the railway system in their jurisdiction; 2.The risks that are posed by each RU or IM within that system; 3.How each RU’s or IM’s SMS identifies and controls the risks generated by technical, operational or organisational risks within that system; 4.How each RU’s or IM’s SMS manages to co-operate and co-ordinate with other RUs and/or IMs or with other actors. 7

8. Evaluation of all related information  The NSAs shall collect and analyse information from a variety of sources: 1.Audits of processes or systems, 2.Meetings with RUs and IMs, 3.Accident-incident statistical analysis (including Common Safety Indicators (CSI) data), 4.Investigation reports (including NIB reports), 5.Post incident inspections, 6.Complaints, 7.RUs and IMs Annual Reports, 8.National Reference Values (NRVs) and Common Safety Targets (CSTs), 9.Inspections of physical assets (track signalling, rolling stock, etc.) 10.Etc… 8

9. Priorities for Supervision strategy  In drawing up the strategy, NSAs may consider: 1.The period of validity of the RUs’ SC or IMs’ SA; 2.The maturity of the SMS processes; 3.Whether the RUs and IMs can deliver their SMSs in a manner that ensures safe performance; 4.Whether the RUs and IMs can manage significant change and apply the CSM on RA (Regulation (EC) No. 352/2009); 5.The frequency with which the RU or IM reviews its own strategy in line with the CSM on monitoring to ensure it remains valid; 6.Other nationally set priorities that may exist. 9

10. Supervision strategy and plan(s)  NSAs should approach their supervision activities using a strategy of firmness and fairness.  The detailed arrangements for NSAs to perform supervision activity should feature in the supervision strategy and supervision plans.  Each NSA should have a strategy for supervising every RU or IM within their railway system. 10

11. Supervision strategy  From the strategy, the NSA can then determine how to best target the resources it has at its disposal to enable it to supervise RUs and IMs.  The NSAs’ strategy should include the elements in the CSM Annex. 11

12. Supervision plan(s)  An NSA shall develop supervision plan/s and the resources defined to implement them.  A supervision plan may be for the periodicity of a SC or SA or may be produced annually.  A plan/s should contain a sufficient number of supervision activities, such as audit and inspection to provide the NSA with confidence that a RU or IM is applying their SMS. 12

13. Elements of supervision activities 13 1. Setting up the supervision strategy and plan(s) 2. Communicating the supervision strategy and plan(s) 3. Carrying out the supervision strategy and plan(s) 4. Outcomes of supervision plan(s) 5. Reviewing supervision activities

14. Techniques for conducting supervision  In performing its supervision activities, each NSA needs to adopt techniques for supervision activities.  The NSA shall ensure that its supervision activities include checking the effectiveness of the SMS (whole or partial), including operational activities. 14

15. Types of techniques for conducting SP 15 On site activityOff-site activity Conducting interviews with auditee participation Conducting interviews via communication means Completing checklists and questionnaires with auditee participation Completing checklists and questionnaires via communication means) Conducting document review with auditee participation Conducting document review via communication means Observation of work performed (on-site visit) Analysing data (e.g. records) Etc.

16. Links between assessment and supervision  The NSA shall use information gathered during the assessment of a RU’s or IM’s SMS for the purposes of its supervision of the continued application of their SMS after issuing the SC or the SA.  The NSA shall also use information gathered during its supervision activities for reassessing a RU’s or an IM’s SMS prior to the renewal of a SC or SA. Assessment Supervision Reassessment 16

17. Competence of the persons involved in supervision activities  The NSA shall have a system in place to ensure that supervision activities are undertaken by competent persons.  NSAs should focus on developing and maintaining the competence of their staff – a system to manage competence (CMS). 17

18. Competence management system 18 Implement the CMS Maintain and develop competence Establish requirements for the CMS Design the CMS Verify, audit and review the CMS ACTPLAN DOCHECK

19. Decision-making criteria  The NSA shall establish and publish decision-making criteria on how it monitors, promotes and where appropriate enforces compliance with the safety regulatory framework.  These criteria shall also include non- compliance issues related to the continued application of a SMS by a RU or IM and to the safety regulatory framework. 19

20. Complains  The NSA shall adopt and publish a procedure to enable RUs and IMs to submit a complaint on decisions taken during supervision activities, without prejudice to the requirement for a judicial review of those decisions. 20

21. Coordination and cooperation  Co-operation and co-ordination activities between NSAs supervising RUs operating in another MS are required.  Arrangements for co-operating between NSAs need to be more formal and joint supervision activities need to be reflected in the internal planning processes of NSAs.  The outcome of this activity should be an agreed coordinated supervision plan for the relevant RU. 21

22. Coordination and cooperation  As part of formal agreement for conducting joint supervision activities NSAs should: 1.Agree what information to exchange and a timetable for the exchange; 2.Understand what powers are available to each NSA involved; 3.Share decision-making principles; 4.Share supervision strategies; 5.Agree what joint activities to undertake and topics to deal with, including which NSA will lead on what issue; 6.Communicate jointly with the RU involved in joint supervision activity; 7.Begin sharing information on relevant RUs at the assessment stage of the SMS to obtain a SC; 8.Share good practice. 22

23. Practice example of Supervision of RU/IM in Lithuania Legal framework State Railway Inspectorate supervision procedures JSC “Lithuanian Railways” supervision Good practice 23

24. Legal framework 24

25. Supervision of RU/IM  VGI is obliged at least to check once within 5 years every RU/IM which has SC/SA  VGI supervision procedures have to be in compliance with: a.CSM CA 1158/2010 Annex IV, b.CSM CA 1169/2010 Annex III, c.CSM SP 1077/2012 d.and national legislation. 25

26. State Railway Inspectorate (VGI) supervision procedures 26

27. VGI Supervision strategy  “0 vision” i.e. 0 fatalities/injuries/serious accidents/accidents/incidents in Lithuanian railway network.  CST achieved every year and if possible NRV reduced. 27

28. VGI supervision plan  Contains only planned audits/inspections  Has to be published publicly  Is produced annually  Could be amended  Is reviewed every month and changed if necessary  Amended supervision plan has to be published publicly within 3 days after amendment and related RU/IM must be informed 28

29. Criteria for supervision plan establishment  Supervision plan is designed according to these criteria: A.Legal framework requirements for supervision (periodic checks) B.RU/IM requested of audit/inspection C.In order to determine whether RU/IM implemented previous VGI audits/inspections requirements and recommendations (post-audit) D.Received complains E.VGI risk assessment and accident/incident data and investigation conclusions and/or recommendations F.RU/IM annual reports G.RU/IM SMS assessment 29

30. Example of supervision plan 30 NumberRegistration number of RU/IM Name and address of RU/IM Date of planned audit/inspection (month) The purpose and scope of audit/inspection 112457894JSC “Lithuanian Railways” Mindaugo str. 12, Vilnius JanuaryImplementation of SMS internal audit 2.78945646JSC “Orlen”MarchDangerous goods ….

31. Ad hoc audits/inspections  Ad hoc audits/inspections could be performed: A.In case of reasonable request of other public institution or another MS competent authority B.Received reasonable information that RU/IM violates/infringes legal framework (laws, bylaws) C.Post-audit D.Legal framework requirements E.Reasonable complains 31

32. 5 whys 32

33. 5 whys example 33 Collision Why? SPAD Why? Driver Why? Inadequate attention at the signal Why? Driver was tired Why? He was working for 12 hours Measure: to check and change working, driving and rest time rules for train drivers

34. VGI procedures for audits/inspections 34 Conducting audit follow up (if applicable) Completing the audit Preparing and distributing the audit report Conducting audit activities Preparing for the audit activities Initiating the audit ISO 19011 principles

35. Example of the checklist 35 Criteria and description Checked documents Practical implementation assessment (comply/not comply) NotesActions to close deficiencies (if necessary) Date of implementation J. A document describing the organisation’s safety policy exists and is: Safety policy Comply--- (a) communicated and made available to all staff, e.g. via the organisation’s intranet; Not complyNo proof presented that safety policy communicated and made available for all staff Safety policy will be communicated and made available to all staff via JSC “LR” intranet. Safety policy will be added to staff training program. 2014-10-01 (b) appropriate to the type and extent of service; Comply--- (c) approved by the organisation’s chief executive. Comply---

36. Example of the questioner 36 QuestionYesNoNot applicable Is an internal auditing system independent, impartial and acts in transparent way? x Is there a schedule of planned internal audits? x Is there a procedure in place to identify and select suitably competent persons? x

37. Practice example of planned audit  JSC “Lithuanian railways” SMS audit of implementation of S criteria 37 Conducting audit follow up Completing the audit Preparing and distributing the audit report Conducting audit activities Preparing for the audit activities Initiating the audit

38. Practice example of ad hoc audit  JSC “Lithuanian railways” passenger complain 38 Conducting audit follow up Completing the audit Preparing and distributing the audit report Conducting audit activities Preparing for the audit activities Initiating the audit

39. Good practice 39

40. Good practice  Preparation of checklists/questionnaires for audits/inspections and publishing them publicly  Development of IT systems  Enforcement actions only as “ultima ratio”  5 whys  No planed audits/inspections for new RU/IM at least within 6 months  No enforcement actions (suspension, revoke of SC/SA) for new RU/IM at least within 1 year  The aim of VGI is to help business not to punish 40

41. Reference list http://www.era.europa.eu/Core-Activities/Safety/Regulatory- Framework/Pages/CSM-on-Supervision.aspx 41

42. Thank you for your attention! Any Questions? 42