Thông tư 16/2016/TT-BGTVT

CIRCULAR

REGULATIONS ON ASSESSMENT AND CERTIFICATION OF URBAN RAILWAY SYSTEM SAFETY

Pursuant to the Law on Railway dated June 14, 2005;

Pursuant to the Government’s Decree No. 14/2015/ND-CP dated February 13, 2015 providing instructions on the implementation of a number of articles of the Law on Railway;

Pursuant to the Government's Decree No. 107/2012/ND-CP dated December 20th 2012, 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 has promulgated the Circular stipulating assessment and certification of urban railway safety.

Chapter I

GENERAL PROVISIONS

Article 1. Governing scope

1. This Circular stipulates assessment and certification of urban railway safety; procedures for examination and verification of safety for urban railway routes being completely constructed or upgraded; periodical certification of safety management system for urban railway routes during operation.

2. This Circular shall not apply to monorails, tramways.

Article 2. Regulated entities

This Circular applies to organizations, individuals in connection with management, construction engineering, operation; assessment and certification of system safety; examination and verification of dossiers of urban railway system for construction and upgrading; periodical certification of the safety management system for urban railway routes during operation.

Article 3. Interpretation of terms

In this Circular, some terms are construed as follows:

1. Risks are possible occurrence of a danger that may cause damage and degree of severity of such damage.

2. Risk assessment refers to the qualitative and quantitative analysis of risks as foundations for application of efficient risk control measures.

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

4. Assessment and certification of system safety means the process of independently assessing conformity of dossiers and performed tasks with requirements of safety management standards and certifying the urban railway route ensure safety for operation.

5. Organization that certifies safety independently (hereinafter referred to as ‘the certification body’) refers to the organization that provides the services of assessment and certification of urban railway system safety.

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

7. Investor means the agencies, organizations that own capitals or are directly tasked with managing and using capital for the implementation of investment and construction of urban railway routes.

8. 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 constructed in accordance with safety management standards approved by competent authorities to control risks.

9. Certificates of system safety means the certificates 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.

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

1. An urban railway route that has been completely constructed shall be required of assessment and certification of system safety, examination and verification of dossiers of system safety before it is put into operation.

2. An urban railway route, if one of the following items is upgraded, shall be required of assessment and certification of system safety, examination and verification of dossiers of system safety before it is put into operation.

a) Change of train control signaling system;

b) Change of vehicle type;

c) Renovation of motive power supply system;

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

dd) Change of organization and operation structure;

3. The outline of tasks of certifying system safety (hereinafter referred to as ‘the outline’) includes following basic information:

a) Components, secondary systems, items to be assessed and certified in phases.

b) Foundations for dividing phases of assessment and certification, implementation plans;

c) Regulations, safety limits, safety standards for components, secondary systems, items;

d) Processes, methods of implementation, tests to be carried out;

dd) Documents, reports to be handed over;

4. The outline after being approved by the investor shall be dispatched to the Vietnam Register before assessment and certification of system safety are carried out. If the outline is found inconsistent with provisions set out in Clause 3 of this Article, the Vietnam Register shall give notification to the investor for completion.

5. For projects that apply equivalent, appropriate safety assurance measures, the assessment and certification of system safety shall be decided by the Minister of Transport.

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 includes following basic information:

a) Safety policies;

b) Safety objectives;

c) Safety plans;

d) Conformity with standards or regulations;

dd) Change management;

e) Risk management;

g) Human force capacity management;

h) Safety management human resource management and training;

i) Dossier management and information communications;

k) Emergency management;

l) Accident investigation;

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 in case of complete construction

1. Assess reliability, availability, maintainability and safety of following systems: vehicle types, train control sign allying system, motive power supply system.

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

3. Assess electromagnetic compatibility;

4. Assess system integration.

5. Assess trial operation of the system.

6. Assess operation safety management system.

7. Other items at the request of the investor.

Article 7. Contents of assessment and certification of system safety in case of upgrading

1. Assess reliability, availability, maintainability and safety of upgraded items;

2. Assess system integration.

3. Assess trial operation of the system after upgrading.

4. Assess operation safety management system.

5. Other items at the request of the investor.

Article 8. Procedures for assessment and certification of system safety

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

2. Based on the terms of reference, the certification body shall construct the outline of certification of system safety as prescribed in Clause 3, Article 4 hereof.

3. The certification body shall follow the approved outline. After each phase of assessment of items, the certification body should make the report to the investor.

4. After the assessment of all the items according to the outline has been done, the certification body shall make the final report, issue the certificate of system safety and give recommendations (if any).

Article 9. Certificates of system safety

The certification 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 include rail track dimensions, lengths of routes, sections, number of terminals, motive 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

EXAMINATION AND VERIFICATION OF URBAN RAILWAY SAFETY DOSSIERS

Article 10. Regulations on dossiers

1. The dossier includes:

a) Written request for examination and verification according to the form in Annex 1 enclosed herewith;

b) Reports on assessment of items made by the certification body;

c) Non-conformity reports by contractors;

d) Final report and copy of the certificate of system safety issued by the certification body.

2. Date of submission: The dossier shall be submitted after the assessment and certification of system safety are completed.

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

Article 11. Contents of examination and verification

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

2. Inspect conformity of certified issues with the approved outline.

Article 12. Procedures for examination and verification

1. The Vietnam Register shall receive and inspect the dossier. In case the dossier is not adequate as prescribed, after 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 carry out examination and verification of the dossier.

2. Within 28 working days since receipt of adequate dossier, the Vietnam Register shall:

a) Notify results of examination and verification according to the form in Annex 3 enclosed herewith if such results are satisfactory;

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

Chapter IV

PERIODICAL INSPECTION AND CERTIFICATION OF URBAN RAILWAY OPERATION SAFETY MANAGEMENT SYSTEM

Article 13. Regulations on periodical inspection an certification

1. After 36 months since the completely 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 the 36-month time limit, the operation safety management system shall be inspected and certified on a periodical 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 periodical basis.

3. The dossier for periodical certification includes:

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

b) Reports on internal assessment of the system and other accompanying relevant documents.

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 implementation of processes in the operation safety management system.

Article 15. Procedures for implementation

1. The Vietnam Register shall receive and inspect the dossier and give notification for supplements if the dossier is not adequate.

2. If the dossier is adequate as prescribed, within 15 working days since receipt of the dossier, the Vietnam Register shall conduct inspection of the operation safety management system and issue the certificate of system safety according to the form in Annex enclosed herewith if inspection results are satisfactory. If the results are not satisfactory, the Vietnam Register shall give written notification specifying the reasons for refusal to issue the certificate.

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

1. The periodical 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

1. Preside over and cooperate with Vietnam Railway Administration, relevant organizations, units and experts in:

a) Carrying out examination and verification of urban railway system safety dossiers;

b) Conducting periodical inspection and certification of urban railway operation safety management system.

2. Preside over and cooperate with the Department of Science and Technology and other functional agencies in instructing and inspecting the implementation of this Circular across the country.

Article 18. Responsibility of Vietnam Railway Administration

1. Cooperate with the Vietnam Register in carrying out examination and verification of system safety dossiers, and inspection and certification of the urban railway operation safety management system.

2. Cooperate with relevant units in inspecting urban railway safety management within competence.

Article 19. Responsibility of People’s committees of provinces, cities

1. Disseminate this Circular among relevant organizations and individuals in localities.

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

3. Handle within competence violations in the assessment and certification of urban railway system safety, operation of urban railway system.

Article 20. Responsibility 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. Grant approval for the outline formulated by the certification body.

4. Preside over and cooperate with the operating organization in constructing the operation safety management system for the completely constructed urban railway route.

5. Formulate and complete the dossier for examination and verification of system safety according to provisions set out in Article 10 hereof.

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

7. Preserve all assessment dossiers, certificates 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 for performance of examination and verification of urban railway system safety dossiers according to laws.

Article 21. Responsibility of the operating organization

1. Cooperate with the investor in constructing the operation safety management system for the completely constructed urban railway route.

2. Select the certification body qualified for performing assessment and certification of system safety for the urban railway route being upgraded according to laws on bidding if appointed as the investor. Overcome shortcomings (if any) and complete dossiers for examination and verification of system safety for urban railway routes being upgraded at the request of the Vietnam Register.

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

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

5. Formulate and complete dossiers for examination and verification of system safety for urban railway routes being upgraded.

6. Formulate and complete the dossier for examination and verification of system safety according to provisions set out in Article 13 hereof.

7. Provide information and documents for inspection and certification by the Vietnam Register and relevant competent authorities.

8. Pay expenses for performance of periodical certification of urban railway safety management system according to laws.

Article 22. Responsibility of the certification body

1. Formulate and submit the outline to the investor for approval;

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

Chapter VI

IMPLEMENTARY PROVISIONS

Article 23. Transitional provisions

1. For urban railway routes that have been constructed with the outline approved before the effective date of this Circular, implementation of the approved tasks shall be continued but the examination and verification of system safety dossiers shall be carried out in accordance with provisions set out hereof.

2. For urban railway routes that have been constructed without the outline approved before the effective date of this Circular, the investor shall formulate the operation safety management system which should be certified (by the certification body) as conformable with the safety management standards approved by competent authorities.

Article 24. Effect

1. This Circular takes effect since August 15, 2016.

2. Difficulties that arise during the implementation of this Circular should be reported to the Ministry of Transport for consideration and handling.

Article 25. Implementation

Chief of the Ministry Office, Chief Inspector of ministries, general directors, directors of the Vietnam Register, Vietnam Railway Administration, directors of Transport Engineering Construction and Quality Management Bureau, heads of relevant agencies, organizations and individuals shall be responsible for executing this Circular./.