Circular No. 31/2018/TT-BGTVT dated May 15, 2018 of the Ministry of Transport on assessment and certification of urban railway system safety

THE MINISTRY OF TRANSPORT

CircularNo. 31/2018/TT-BGTVT dated May 15, 2018 of the Ministry of Transport on assessment and certification of urban railway system safety

Pursuant to the Law on Railway No. 06/2017/QH14 dated June 16, 2017;

Pursuant to the Government s Decree No. 12/2017/ND-CP dated February 10, 2017, defining the functions, tasks, entitlements and organizational structure of the Ministry of Transport;

At the request of director of Department of Science and Technology and Director of the Vietnam Register;

The Minister of Transport promulgates a Circular on assessment and certification of urban railway system safety.

Chapter I

GENERAL PROVISIONS

Article 1. Scope of regulation

1. This Circular sets forth assessment and certification of system safety; procedures for verification and issuance of certificates of verification of system safety dossier for urban railway routes being newly constructed or upgraded; procedures for inspection and issuance of periodic certificates of operation safety management system for urban railway routes during operation.

2. This Circular shall not apply to automated guide way transit (AGT) monorails, tramways.

Article 2. Subjects of application

This Circular applies to organizations, individuals in connection with management, design, construction, operation; assessment and certification of system safety; verification of system safety dossier for urban railway routes being newly constructed or upgraded; periodic certification of operation safety management system for urban railway routes during operation.

Article 3. Interpretation of terms

For the purpose of this Circular, these terms below shall be construed as follows:

1.“System safety”means the assurance of safety through systematic application of technical measures, management tools to determine threats and control risks with the aim of gaining reliability, availability, maintainability and safety.

2.“Investor”means an agency or organization which uses its own capital or uses funded capital to invest in construction and upgrade of urban railways.

3.“Risk assessment”refers to the qualitative and quantitative analysis of risks as the basis for application of efficient risk control measures.

4.“Assessment and certification of system safety for urban railway”means independent assessment of whether work items satisfy system safety requirements and certifying that urban railway routes are adequately secured to operate.

5.“Outline of assessment and certification of system safety objectives”(hereinafter referred to as assessment and certification outline) is a document prepared by the certification body, describing tasks related to assessment and certification of system safety.

6.“Certificates of system safety”means a certificate issued by the certification body certifying that the urban railway routes have been designed and constructed in accordance with safety management standards and operation safety conditions.

7.“Operation safety management system”refers to the management system of the operating organization including regulations, instructions on organizational structure and management processes of the operating organization that have been formulated in accordance with safety management standards approved by competent authorities to control risks efficiently.

8.“Periodic inspection and certification of operation safety management system”means periodic inspection and certification of regulatory agencies to certify the operation safety management system which has been continuously maintained and efficiently operating by the operating organization, in accordance with this Circular and safety management standards approved for the project.

9.“Risks”means rate of occurrence of a danger that causes damage and extent of severity of such damage.

10.“Independent safety certification body” (hereinafter referred to as “the certification body”)refers to a qualified independent organization accredited by the international accreditation body to provide the services of assessment and certification of safety system for urban railway.

11.“Verification of system safety dossier”means verification of procedures, dossier and consideration of process to carry out assessment and certification of system safety of the certification body in accordance with this Circular.

12.“Operating organization” refers to the organization that is tasked with managing, operating and maintaining activities of urban railway routes.

Article 4. General provisions on assessment and certification of system safety

1. An urban railway that has been newly constructed shall be subject to assessment and certification of system safety; assessment and issuance of certificate of verification of system safety dossier.

2. An urban railway being upgraded, if one of the following items changes, shall be subject to assessment and certification of system safety, verification and issuance of certificate of verification of system safety dossier before it is put into operation:

a) Change of train control signaling system;

b) Change of vehicle type;

c) Renovation of traction power supply system;

d) Enhancement of transport capacity and expansion of network of routes;

dd) Change of organizational structure of operating organization.

3. The outline of assessment and certification must at least contain:

a) Scope of assessment and certification;

b) Methods, procedures;

c) Safety limits, risk acceptance criteria;

d) Plan to carry out assessment and certification;

dd) Transfer documents.

Article 5. Regulations on operation safety management system

1. The operation safety management system shall be constructed before the urban railway route is put into operation.

2. The operation safety management system must ensure implementation of the following:

a) Safety policies approved by the legal representative of the operating organization and propagated in the organization;

b) Safety objectives include: qualitative and quantitative objectives. Qualitative objectives are objectives in terms of assessment and rating of safety, quantitative objectives are specific data objectives which are measurable;

c) Safety plans: plan to realize safety objectives;

d) Management of conformity with technical standards and compliance with relevant operation regulations;

dd) Change of management;

e) Risk management;

g) Management of capacity of persons in charge of operation and maintenance of the system;

h) Management and training of safety management human resource;

i) Dossier management and information communications relevant to safety;

k) Emergency management: regulations on rescue, warning, communication and cooperation with related parties in emergencies;

l) Accident and incident investigation management: ensuring that every accident, incident, dangerous circumstance has been recorded, investigated and analyzed in conjunction with necessary prevention and remedial measures;

m) Internal assessment.

3. Operation safety management system shall be regularly inspected and certified by the Vietnam Register during operation.

Chapter II

SYSTEM SAFETY ASSESSMENT AND CERTIFICATION

Article 6. Contents of assessment and certification of system safety regarding newly-constructed urban railway

1. Assess reliability, availability, maintainability and safety of following systems:  vehicle types, train control sign allying system, traction power supply system; platform screen door (if any).

2. Assess risks of passenger evacuation measures in case of emergency; on overpass, in tunnel, station; assess risks of controlling smoke, heat escape and ventilation in tunnels.

3. Assess electromagnetic compatibility;

4. Assess system integration.

5. Assess operation trial, system testing and commissioning.

6. Assess operation safety management system.

7. Other matters at the request of the investor.

Article 7. Contents of assessment and certification of system safety in case of upgraded urban railway

1. Assess reliability, availability, maintainability and safety of upgraded work items prescribed in Point a, Point b, Point c Clause 2 Article 4 of this Circular.

2. Assess system integration.

3. Assess system operation trial after upgrading.

4. Assess operation safety management system.

5. Other matters at the request of the investor.

Article 8. Procedures for assessment and certification of system safety in case of newly-constructed or upgraded urban railway

1. The investor shall establish the technical specifications of the bidding documents for assessment and certification of system safety according to laws on bidding.

2. Pursuant to technical specifications, the certification body formulates the outline of assessment and certification as prescribed in Clause 3 Article 4 of this Circular.

3. The certification body shall follow the approved the outline of assessment and certification.  According to the plan in the outline and actual progress of the project, the certification body sends periodic assessment reports or report on assessment of work items as soon as practicable after completely performing the tasks for the investor and relevant entities.

4. After finishing and completing all tasks in the outline of assessment and certification, the certification body makes the final assessment report, and issue a certificate of system safety.

Article 9. Certificates of system safety

The certificate of system safety includes following basic information:

1. Name and address of the certification body.

2. Name of the urban railway routes, sections.

3. Name and address of the operating organization.

4. Technical characteristics of urban railway routes, including: track gauge, lengths of routes, sections, number of terminals, traction power supply system, train components, train control signaling system, transport capacity.

5. Applicable standards for certification.

6. Conclusions by the certification body on conformity of the urban railway route with applicable standards and operation safety conditions.

Chapter III

VERIFICATION OF SYSTEM SAFETY DOSSIER

Article 10. Regulations on verification dossiers

1. Each work item in the outline of assessment and certification shall be verified, the verification dossier includes:

a) An application form for verification using the form in Annex 1 enclosed herewith;

b) Outline of assessment and certification and amended updates approved by the investor;

c) Assessment report and enclosed assessment documents associated with work items that the certification body assessed according to the outline of assessment and certification;

d) Investor’s report on remedial measures for issues mentioned in the assessment report of the certification body;

dd) Final assessment report and valid copy of the certificate of system safety issued by the certification body.

2. Date of submission:

a) The application form for verification shall be submitted together with the outline of assessment and certification;

b) Documents prescribed in Point b Clause 1 of this Article, submitted after the investor approves them;

c) Documents prescribed in Point c, Point d Clause 1 of this Article, submitted after completely performing the tasks;

d) Documents prescribed in Point dd Clause 1 of this Article, submitted after the certification body finishes and completes all the tasks.

3. Manner of submission:  The investor shall submit the dossier in person or by post to the Vietnam Register.

Article 11. Contents of verification

1. Inspect conformity of the dossier with provisions as prescribed in Clause 1 Article 10 hereof.

2. Consider assessment process and result of the certification body as to the matters prescribed in Article 6 hereof.

3. Inspect the conformity of performed tasks with the outline of assessment and certification.

Article 12. Procedures for verification

1. The Vietnam Register shall receive and inspect the dossier.  In case the dossier is not adequate as prescribed, after 2 working days since receipt of the dossier, the Vietnam Register shall give written notification to the investor for supplements.  In case the dossier is adequate as prescribed, the Vietnam Register shall verify the dossier.

2. As for verification of dossiers prescribed in Point b, Point c, Point d Clause 1 Article 10 of this Circular, within 20 working days, after receiving a duly completed dossier, the Vietnam Register shall notify the verification result, if the dossier is rejected, it shall provide explanation and request the investor to carry out remedial measures..

3. As for verification of final assessment report, the certificate of system safety, within 20 working days, after receiving a duly completed dossier as prescribed in Clause 1 Article 10 of this Circular, the Vietnam Register shall:

a) Issue a certificate of verification of system safety dossier using the form in Annex 3 enclosed herewith if such result is satisfactory;

b) Specify the reasons in writing and require the investor to carry out remedial works and completion in case the result is unsatisfactory.

Chapter IV

PERIODIC INSPECTION AND CERTIFICATION OF OPERATION SAFETY MANAGEMENT SYSTEM

Article 13. Regulations on periodic inspection and certification of operation safety management system

1. After 36 months since the newly constructed urban railway route is put into operation, the operation safety management system should be inspected and certified for the first time.  At least two months before the end of 36-month time limit, the operation safety management system shall be inspected and certified on a periodic basis.

2. At least two months before the certificate of system safety expires, the operation safety management system shall be inspected and certified on a periodic basis.

3. The dossier of periodic inspection includes:

a) Written request for periodical certification of the urban railway operation safety management system using the form in Annex 2 enclosed herewith;

b) Report on internal assessment of the operating organization.

4. Manner of submission:  The operating organization shall submit the dossier in person or by post to the Vietnam Register.

Article 14. Implementation

1. Review reports on internal assessment of the operation safety management system and relevant documents.

2. Inspect the maintenance of validity of the operation safety management system as prescribed in Clause 2 Article 5 of this Circular.

Article 15. Procedures for implementation

1. The Vietnam Register shall receive and inspect the dossier and require supplements immediately if the dossier is not adequate within the working day (in case of submission in person) or give a guiding document for completing the dossier (in case of submission by post) within 2 working days, from the date on which the dossier is received.

2. Within 15 working days from the date on which an adequate dossier prescribed in Clause 3 Article 13 of this Circular is received, the Vietnam Register shall:

a) Inspect the maintenance of the operation safety management system and issue periodic certificates of operation safety management system for urban railway using the form prescribed in Annex 4 issued herewith if the inspect result is satisfactory;

b) Give a reply, providing explanation for rejection to issue the periodic certificate of operation safety management system for urban railway if the inspection result is unsatisfactory.

Article 16. Validity of periodic certificate of urban railway operation safety management system

1. The periodic certificate of urban railway operation safety management system shall be valid for 24 months since the date of issue.

2. The certificate shall automatically expires when railway routes, sections are upgraded according to provisions set out in Clause 2, Article 4 hereof.

Chapter V

IMPLEMENTATION

Article 17. Responsibility of the Vietnam Register

Take charge and cooperate with relevant agencies; qualified certification body and experts in:

1. Carrying out verification of system safety dossier for urban railway;

2. Inspect and certify urban railway operation safety management system on a periodic basis.

Article 18. Responsibility of People’s committees of provinces, cities

1. Raise awareness of this Circular among relevant organizations and individuals in provinces or cities.

2. Perform regular or irregular inspection and investigation of urban railway safety management.

3. Take actions against violations in the assessment and certification of urban railway system safety, operation of urban railway system.

Article 19. Responsibilities of the investor

1. Formulate for approval the terms of reference of the bidding documents for assessment and certification of system safety according to laws on bidding.

2. Select the certification body qualified for performing assessment and certification of system safety for urban railway routes according to laws on bidding.

3. Approve the outline of assessment and certification prepared by the certification body.

4. Take charge and cooperate with the operating organization in constructing the operation safety management system for the newly constructed or upgraded urban railway route.

5. Formulate and complete the dossier for examination and verification of system safety as prescribed in Article 10 hereof.

6. Formulate the list of standards applicable to assessment and certification of system safety and submit it to the investment decision makers for approval as prescribed.

7. Preserve and keep all dossiers of assessment and certification of system safety as prescribed and hand over all to the operating organization when the urban railway route is put into operation.

8. Pay expenses incurred in performance of examination and verification of urban railway system safety as per the law.

Article 20. Responsibilities of the operating organization

1. Cooperate with the investor in constructing the operation safety management system for the newly-constructed or upgraded urban railway route.

2. Carry out internal assessment of the operation safety management system on a yearly basis.

3. Maintain validity and keep the operation safety management system consistent with the approved safety management standards.

4. Formulate and complete the dossier for examination and verification of system safety as prescribed in Clause 3 Article 13 hereof.

5. Provide information, documents intended for periodic inspection and certification of operation safety management system.

6. Pay expenses incurred in performance of periodical certification of urban railway safety management system as per the law.

Article 21. Responsibilities of the certification body

1. Prepare and submit the outline of assessment and certification to the Employer for approval.

2. Follow the approved outline and take responsibility for results of assessment and certification of system safety.

Chapter VI

IMPLEMENTATION

Article 22. Transitional provisions

For urban railway routes that have been constructed before the effective date of this Circular and the project has assessment and certification of system safety tasks, the approved tasks shall be continued but the examination and subject to verification of system safety dossiers in accordance with this Circular.

Article 23. Effect

1. This Circular takes effect on of July 1, 2018.

2. This Circular supersedes Circular No. 16/2016/TT-BGTVT dated June 30, 2016 of Minister of Transport on assessment and certification of urban railway system safety.

Article 24. Implementation

Chief of the Ministry Office, Chief Inspector of Ministries, General Directors, Director of the Vietnam Register, heads of relevant agencies, organizations and individuals shall implement this Circular./.

For the Minister

Deputy Minister

Nguyen Ngoc Dong