London Underground Safety Certificate and Safety Authorisation Document Transport for London London Underground London Underground - Safety Certification and Safety Authorisation Table of Contents Revision Control .................................................................................................i Glossary .............................................................................................................ii Section 0: Foreword ............................................................................................1 Section 1: LU operations and infrastructure ........................................................12 Section 2: Health, safety and environment management arrangements ............ 52 Section 3: Legislative requirements and legal compliance ................................. 92 Section 4: Controlling risk ...................................................................................95 Section 5: LU documents ....................................................................................110 Section 6: Business planning, target setting and safety improvement ................ 113 Section 7: Safety assessment of change and the control of new risks ............... 122 Section 8: Competence management and training .............................................129 Section 9: Safety information and communication ..............................................141 Section 10:Emergency planning, incident response and incident investigation .. 151 Section 11:Safety/technical audit and review .....................................................160 Section 12:Interfaces and cooperation ...............................................................166 Section 13:Design and maintenance of the LU network .....................................179 Section 14:Rolling stock .....................................................................................197 Version 2.00, © London Underground Limited 2012 London Underground - Safety Certification and Safety Authorisation Revision Control Revision Control London Underground (LU) has maintained an approved Railway Safety Case since 1995 in accordance with the Railways (Safety Case) Regulations. Following the introduction of the Railways and Other Guided Transport Systems (Safety) Regulations in April 2006, LU’s application for Safety Certification and Authorisation was approved by the Office of Rail Regulation in March 2007. The Safety Certification relates to train operation and the Safety Authorisation covers stations and infrastructure operation. The Safety Certificate and Safety Authorisation document (March 2007) replaced LU’s Railway Safety Case (Version 4.0). Overall Changes Revision Number Date Changes V2 (as Version 2.00) January 2012 Five year renewal of LU’s Safety Certificate and Safety Authorisation Version 2.00, © London Underground Limited 2012 i London Underground - Safety Certification and Safety Authorisation Glossary Glossary aa.. Abbreviations bb.. Terms and definitions a. Abbreviations A AAMP Annual Asset Management Plan AC Alternating Current ALARP As Low As Reasonably Practicable APD Asset Performance Director/Directorate ASLEF Associated Society for Locomotive Engineers and Firemen ATO Automatic Train Operation ATP Automatic Train Protection (Signalling) B BCDM Business Case Development Manual BCV Bakerloo, Central, Waterloo & City and Victoria lines C C2C c2c Rail Limited CAN Corrective Action Notice CCEP Congestion Control and Emergency Plan CCTV Closed Circuit Television CDM Construction (Design and Management) Regulations 2007 CEPS Central Emergency Power Supply CIRAS Confidential Incident Reporting and Analysis System COO Chief Operating Officer CPD Capital Programmes Director/Directorate CRA Customer Risk Assessment CRCL Chiltern Railway Company Limited D DC Direct Current DLR Docklands Light Railway DRACCT Director’s Risk, Assurance and Change Control Team Version 2.00, © London Underground Limited 2012 ii London Underground - Safety Certification and Safety Authorisation Glossary E E/B Eastbound ERNs Engineering Regulatory Notices EWSA Engineering Works and Safety Arrangements F FIR Formal Investigation Report G None. H HR Human Resources HRS Human Resource Services HSE Health, Safety & Environment HSEMS Health, Safety and Environmental Management System I None. J JNP Jubilee, Northern and Piccadilly lines K None. L LBSL London Bus Services Limited LGM Line General Manager LFEPA London Fire and Emergency Planning Authority LOROL London Overground Railway Operations Limited LU London Underground LUCAS London Underground Combined Access System LUSEA London Underground Safety and Environmental Analysis database M None. N NOC Network Operations Centre O OLBI Off Line Battery Invertor OPO One Person Operated Version 2.00, © London Underground Limited 2012 iii London Underground - Safety Certification and Safety Authorisation Glossary ORR Office of Rail Regulation P PAS Publicly Available Specification PCROs Power Control Room Operators PFI Private Finance Initiative PGI Planned General Inspection PPP Public Private Partnership PMF Project Management Framework Q QRA Quantitative Risk Assessment QUENSH Quality, Environmental, Safety and Health Conditions R RAIB Rail Accident Investigation Branch RDO Rostered Duty Officer RIDDOR Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1995 RMT Railway, Maritime & Transport Union (Formerly NUR) ROGS Railways and Other Guided Transport Systems (Safety) Regulations RSSB Rail Safety and Standards Board RUB Rail and Underground Board S SABRE Station Access Booking Railway Engineering SAP An enterprise management information system which manages procurement, HR functions, Duty Allocation, payrolls etc. SCADA Supervisory Control and Data Acquisition (computer-based system) SCAT Speed Control After Tripping SIP Safety Improvement Plan SKPIs Safety Key Performance Indicators SMS Safety Management System SPAD Signal Passed At Danger SSEs Shift Supply Engineers SSR Sub-Surface Railway (Circle, District, Hammersmith & City and Metropolitan lines) SWT South West Trains Limited T TANC Temporary Approved Non Compliance Version 2.00, © London Underground Limited 2012 iv London Underground - Safety Certification and Safety Authorisation Glossary TOC Train Operating Company TfL Transport for London TOM Train Operations Manager TSSA Transport Salaried Staffs’ Association U UPS Uninterruptible Power Supply V none W W/B Westbound WRA Workplace Risk Assessment X none Y none Z none Version 2.00, © London Underground Limited 2012 v London Underground - Safety Certification and Safety Authorisation Glossary b. Terms and definitions A Accountability - Assigned to the person who has the ultimate responsibility for completion of the activity to the required standard and has the authority to veto. Within LU, this authority resides with the appropriate Executive Director. ALARP - Under UK legislation, LU is required to do whatever is reasonably practicable to reduce the health and safety risks to its employees and others affected by its operations; in other words, risks must be reduced to a level which is as low as reasonably practicable (ALARP). The term reasonably practicable means that safety measures should be undertaken unless the cost, in terms of money, time and trouble, is grossly disproportionate to the safety benefit, which is expressed in terms of the value of the risk averted by the safety measure. Asset - An item of property owned or leased by LU. Asset Life Cycle - The life of an asset can be represented by a series of stages commencing with identification of need through specification, design, manufacture or construct, install, commissioning (sometimes included with installation), operate and maintain (the service life) and ending with withdrawal and disposal. This is one cycle of the asset life cycle. Assuming continued requirement for an asset the commissioning stage of a second life cycle will coincide with withdrawal of the asset used in the first life cycle. Asset Management - Asset Management is the way assets (such as trains, signals, stations and tunnels) are managed throughout their life to achieve the right balance of cost, performance and risk for the organisation. Asset Management covers demand analysis, asset acquisition, operation, maintenance and renewal/disposal and follows a plan, do, check, act process. Automatic Train Operation - The subsystem of automatic train control, responsible for the automatic driving of trains. B None C Category 1 Standard - A standard which is owned by LU, mandatory on LU and members of the LU Group. Version 2.00, © London Underground Limited 2012 vi London Underground - Safety Certification and Safety Authorisation Glossary Category 2 Standard - LU or Tube Lines standards which support LU's requirements stated within Category 1 Standards. They are usually a process or asset related standard. Category 5 Standard – An LU standard which is mandatory within LU only. Client (under CDM Regulations) - Any person for whom a project is carried out, whether it is carried out by another person or is carried out in-house. Competence – A combination of practical and thinking skills, knowledge, experience, fitness and behaviour. Contractor - A company, firm, person, supplier, consultant, sub-contractor, agent or stockist, providing goods, materials or services. Contractors may be company employees. D None. E Earth Faults - Earth faults that occur when an electrical conductor comes into contact with an electrical earth. Emergency - An undesired