Circular No. 16/2016/TT-BGTVT on the implementation of evaluation and certification of safety systems for urban rail transit

CIRCULAR

activities of calibration, verification, testing implementing the assessment and certification of system safetyfor urban rail transit

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Pursuant to the Railway Law dated June 14, 2005;

Pursuant to Decree No. 14/2015/NĐ-CP dated February 13, 2015 of the Government detailing and guiding the implementation of certain provisions of the Law on Railways; 0at the request of the Director of the Science, Technology and Quality Control Department and the Director of the Vietnam Railway Inspection Bureau;

Pursuant to Decree No. 107/2012/NĐ-CP dated December 20, 2012 of the Government stipulating the functions, tasks, powers, and organizational structure of the Ministry of Transport;

the Director this Circular regulates the implementation of system safety assessment and certification for urban rail transit. Article 1. This Circular stipulates: the implementation of system safety assessment and certification; procedures for reviewing system safety documentation for new urban rail transit lines and upgrades; periodic certification of the operational safety management system of urban rail transit lines during operation.

The Minister of Transport hereby issues this Circular. qArticle 2. Scope of Application

PART I

GENERAL PROVISIONS

Article 1. Scope of Regulation

This Circular applies to organizations and individuals involved in management, design, construction, operation; system safety assessment and certification; review of system safety documentation for new and upgraded urban rail transit lines; periodic certification of the operational safety management system of urban rail transit lines during operation.

2. This Circular does not apply to single-track guided automatic rail systems and tramways running on shared roadways with motor vehicles.

The following terms in this Circular shall be understood as follows:

System safety management

Article 3. Explanation of Terms

means ensuring safety through the systematic application of technical measures and management tools to identify risks, control hazards to achieve reliability, availability, maintainability, and safety objectives.

1. Risk is the frequency of occurrence of a hazard causing damage and the severity of such damage.

2. Risk assessment is the process of qualitatively or quantitatively analyzing risks to provide a basis for selecting effective risk control measures.

3. System safety System safety assessment and certification

4. is the independent process of evaluating the suitability of documentation, work performed against safety management standard requirements and confirming that the urban rail transit line meets operational safety requirements.Independent safety certification organization (hereinafter referred to as Certification Organization) is an independent organization providing services for the assessment and certification of system safety for urban rail transit.

5. Operating organization is the organization responsible for managing, operating, and maintaining the urban rail transit line.

6. Operating organization Project owner

7. Project sponsors is the agency or organization owning capital or directly managing and using capital to implement urban rail transit construction activities.

8. Railway operation safety management system Operational safety management system

9. System safety certificate is the certification issued by the Certification Organization confirming that the urban railway line has been designed and constructed in accordance with safety management standards and meets the conditions for safe operation.

is the management system of the operating organization, including regulations and guidelines on organizational structure and management processes established in accordance with safety management standards, approved by competent authorities to effectively control risks.

Article 3. General Provisions on System Safety Assessment and Certification

1. New urban rail transit lines must undergo system safety assessment and certification and have their system safety documentation reviewed before being put into operation.

a) Changing the train control signaling system.

b) Changes in vehicle types;

c) Renovation of the traction power supply system;

d) Increased transport capacity and expanded scale;

2. Urban rail transit lines undergoing any of the following upgrades must undergo system safety assessment and certification and have their system safety documentation reviewed before being put into operation:

d) Changes in the operational organizational structure.

3. The scope of tasks for system safety certification includes the following basic contents:

a) Components, subsystems, and items subject to assessment and certification at each stage;

b) Criteria for dividing stages of assessment and certification, implementation plans;

c) Legal regulations, safety limits, and safety standards for each component, subsystem, and item;

d) Procedures, methods of implementation, tests to be conducted;

e) Documents and reports to be transferred.

4. After approval by the Project Owner, the scope of tasks for system safety certification must be submitted to the Vietnam Railway Inspection Bureau prior to conducting the system safety assessment and certification. If the scope of tasks for system safety certification does not comply with Clause 3 of this Article, the Vietnam Railway Inspection Bureau will notify the Project Owner to complete the scope of tasks.

Article 5. Provisions on the Operational Safety Management System

1. The operational safety management system must be established before putting the urban rail line into operation.

5. For projects applying equivalent and appropriate safety assurance measures, the decision on system safety assessment and certification shall be made by the Minister of Transport.

Article 4. Contents of the Operational Safety Management System

1. Basic contents include:

a) Safety policy;

b) Safety objectives;

đ) Change management;

e) Risk management;

c) Safety plan;

h) Management of training for safety management personnel;

d) Compliance with standards or regulations;

g) Management of personnel capabilities;

i) Document management and information exchange;

k) Emergency management;

3. The operational safety management system must be periodically inspected and certified by the Vietnam Directorate for Standards, Metrology and Quality Control during the operation period.

Chapter II

EVALUATION AND CERTIFICATION OF SYSTEM SAFETY

Article 6. Contents of Evaluation and Certification of System Safety when Building New

l) Accident and incident investigation management;

2. Evaluate evacuation risks for passengers in emergency situations on elevated sections, in tunnels, and stations; evaluate fire smoke control, heat dissipation, and ventilation risks in tunnels.

3. Evaluate electromagnetic compatibility.

4. Evaluate system integration.

5. Evaluate operational testing and system trial runs.

6. Evaluate the Operational Safety Management System.

7. Other evaluation contents as required by the Project Owner.

Article 7. Contents of Evaluation and Certification of System Safety when Upgrading

m) Internal audit.

2. Evaluate system integration.

3. Evaluate system trial runs after upgrading.

4. Evaluate the Operational Safety Management System.

5. Other evaluation contents as required by the Project Owner.

Article 8. Procedures for conducting safety system evaluation and certification when constructing new systems and upgrading

1. The project investor shall establish bidding documents' reference clauses for safety system evaluation and certification in accordance with the provisions of the law on bidding.

2. Based on the reference clauses, the certification organization shall develop the outline of the safety system certification tasks in accordance with Clause 3, Article 4 of this Circular.

3. The certification organization shall implement the approved outline of the safety system certification tasks. After completing each item and phase of certification, the certification organization must submit an evaluation report to the project investor.

4. After completing all items of evaluation according to the outline of the safety system certification tasks, the certification organization shall prepare the final evaluation report, issue the Safety System Certification Certificate, and provide recommendations (if any).

Article 9. Safety System Certification Certificate

The Safety System Certification Certificate shall include the following basic contents:

1. Name and address of the Certification Organization.

2. Name of the urban rail transit line or section.

3. Name and address of the operating organization.

4. Technical characteristics of the urban railway line, including: track gauge, line length, section length, number of stations, traction power supply system, train composition, signaling control system, carrying capacity.

5. Standards applied for certification.

6. Conclusion of the Certification Organization regarding compliance with the applied standards and operational safety of the urban rail transit line.

Chapter III

REVIEW OF SAFETY SYSTEM DOCUMENTATION FOR URBAN RAILWAY

Article 10. Provisions on Documentation for Review

1. Review documentation includes:

a) A request for review in the format prescribed in Appendix 1 issued together with this Circular;

b) Evaluation reports of each item from the certification organization;

c) Reports on rectifying issues that do not meet requirements from the contractor;

d) Final evaluation report and a copy of the Safety System Certification Certificate from the certification organization.

2. Submission time: The review documentation shall be submitted after the completion of the safety system evaluation and certification.

3. Method of submission: The project investor shall submit the review documentation directly or via postal service to the Vietnam Registering Agency.

Article 11. Content of Review

1. Check the compliance of the documentation in accordance with Article 10 of this Circular.

2. Verify the compliance of the safety system certification contents with the outline of the safety system certification tasks.

Article 12. Procedures for Review

1. The Vietnam Directorate for Railway Transport receives and checks the documentation. In cases where the documentation is incomplete, the Vietnam Directorate for Railway Transport will notify the project investor in writing within seven working days from the date of receipt to supplement and complete the documentation. If the documentation is complete, the Vietnam Directorate for Railway Transport will proceed with reviewing the documentation.

2. Within twenty-eight working days from the date of receiving all documentation, the Vietnam Directorate for Railway Transport shall be responsible for:

a) Notifying the review results using the form attached as Appendix 3 to this Circular in cases where the review results meet the requirements;

b) To issue a written notice stating the reasons for non-compliance and requiring the Investor to rectify and complete in cases where the review results do not meet requirements.

Chapter IV

PERIODIC INSPECTION AND CERTIFICATIONURBAN RAILWAY SAFETY MANAGEMENT SYSTEM

Article 13. Provisions on periodic inspection and certification

1. Three years after the new urban railway line is put into operation, the safety management system must undergo its first periodic inspection and certification. At least two months before the end of the three-year period, the safety management system must undergo periodic inspection and certification.

2. At least two months before the expiration of the validity period of the Safety Management System Periodic Certification, the safety management system must be subject to periodic inspection and certification.

3. Documentation for periodic certification includes:

a) The application for periodic certification of the urban railway safety management system according to the model prescribed in Appendix 2 of this Circular;

b) Internal assessment report of the safety management system and related documents.

4. Method of submitting the dossier: The Operating Organization shall submit the dossier directly or through postal service to the Vietnam Vehicle Inspection Agency.

Article 14. Implementation Content

1. Examine the internal assessment report and related documents of the safety management system of the Operating Organization.

2. Inspect the implementation of procedures within the safety management system.

Article 14. Procedure for Implementation

1. The Vietnam Directorate for Railway Transport receives and checks the documentation; if the documentation is incomplete, it shall guide immediate completion on the same working day (for direct submission) or issue a written guidance for completion within two working days from the date of receipt (for submissions through postal service).

2. If the documentation is complete, within fifteen working days from the date of receiving all required documentation, the Vietnam Directorate for Railway Transport shall organize the inspection of the safety management system and issue the Periodic Certification Certificate for the urban railway safety management system according to the model specified in Appendix 4 attached to this Circular if the inspection results meet the requirements. In cases where the inspection results do not meet the requirements, the Vietnam Directorate for Railway Transport shall issue a written response stating the reasons for not issuing the Periodic Certification Certificate.

Article 16. Effectiveness of the Periodic Safety Management System Certification for Urban Railways

Clause 1. The periodic safety management system certification for urban railways shall be valid for twenty-four months from the date of issuance.

2. The Periodic Certification Certificate for the urban railway safety management system will automatically become invalid when the urban railway line or section undergoes upgrades as stipulated in Clause 2, Article 4 of this Circular.

Chapter V

IMPLEMENTATION

Article 17. Responsibilities of the Vietnam Railway Testing Center

1. Lead and coordinate with the Vietnam Railway Administration, relevant agencies and units, and experts in relevant fields to:

a) Review the safety system documentation for urban railways;

b) Conduct periodic inspections of the safety management system and issue the Periodic Certification Certificate for the urban railway safety management system.

2. Lead and coordinate with the Department of Science and Technology and other competent agencies to guide and inspect the implementation of this Circular nationwide.

Article 18. Responsibilities of the Vietnam Railway Administration

1. Coordinate with the Vietnam Vehicle Inspection Agency in the implementation of the review of safety system documentation and periodic inspection and certification of the railway urban operation safety management system.

2. Coordinate with relevant units to inspect, within their authority, the management of safety for railway urban systems.

Article 19. Responsibilities of the People's Committee of provinces and cities

Point 1. Disseminate and implement this Circular to related organizations and individuals in their localities.

2. Conduct regular and spot inspections of the management of safety for railway urban systems.

Point 3. Handle violations in the activities of evaluating and certifying urban railway system safety and operation according to their authority.

Article 20. Responsibilities of the Investor

Point 1. Organize the establishment, review, and approval of bidding documents for the evaluation and certification of urban railway system safety in accordance with laws on bidding.

Point 2. Select certification organizations that meet the conditions to perform evaluations and certifications of urban railway system safety according to laws on bidding.

3. Approve the outline of the task of safety system certification established by the certifying organization.

4. Lead and coordinate with the operating organization to establish the railway urban operation safety management system for newly constructed lines.

Point 5. Establish and complete the safety system review documentation in accordance with Article 10 of this Circular.

Point 6. Prepare and submit a list of standards applicable to the evaluation and certification of urban railway system safety for investment decision approval in accordance with regulations.

Point 7. Safeguard and retain all evaluation and certification documentation for urban railway system safety in accordance with regulations and hand over fully to the operating organization upon commencement of urban railway operation.

8. Pay the expenses required to implement the review of safety system documentation for railway urban systems according to the provisions of the law.

Article 21. Responsibilities of the Operating Organization

1. Coordinate with the investor to establish the railway urban operation safety management system for newly constructed lines.

2. Consider and select a certifying organization with sufficient capacity to perform evaluation and certification of the safety system if assigned as the investor according to the law on bidding when upgrading the railway urban line. Address any existing issues (if any) and complete the safety system review documentation for the upgraded railway urban line upon the request of the Vietnam Vehicle Inspection Agency.

3. Annually conduct internal assessment of the railway urban operation safety management system.

4. Maintain and improve the railway urban operation safety management system in accordance with approved safety management standards.

5. Establish and complete the safety system review documentation when upgrading the railway urban line.

6. Establish and complete the periodic certification documentation of the railway urban operation safety management system as stipulated in Article 13 of this Circular.

7. Provide information and documents for the inspection and certification by the Vietnam Vehicle Inspection Agency and related competent authorities.

8. Pay the expenses required to implement the periodic certification of the railway urban operation safety management system according to the provisions of the law.

Article 22. Responsibilities of the Certifying Organization

1. Prepare the outline of the task of safety system certification to be submitted to the investor for approval;

2. Implement in accordance with the approved outline of the safety system certification task and bear responsibility for the results of the safety system evaluation and certification.

Chapter VI

IMPLEMENTING PROVISIONS

Article 23. Transitional Provisions

1. For railway urban lines that commenced construction before the effective date of this Circular and have already had tasks for safety system evaluation and certification, continue to implement according to the approved tasks and must conduct the safety system documentation review as stipulated in this Circular.

2. For railway urban lines that commenced construction before the effective date of this Circular and did not have tasks for safety system evaluation and certification, the investor must establish the railway urban operation safety management system, which must be certified by the certifying organization as compliant with the safety management standards approved by the competent authority.

Article 24. Effective Date

1. This Circular shall take effect from August 15, 2016.

2. In the course of implementation, if any difficulties or obstacles arise, it is requested that relevant organizations and individuals promptly compile and report their opinions to the Ministry of Transport for consideration and resolution.

Article 25. Implementation Organization

The Head of the Ministry's Office, the Inspector General of the Ministry, the Heads of Departments, the Director of the Vietnam Vehicle Inspection Agency, the Director of the Vietnam Railways Administration, the Director of the Construction Management and Traffic Works Quality Control Department, the Heads of agencies, organizations, and individuals related to this matter are responsible for implementing this Circular./.