Circular No. 31/2018/TT-BGTVT on the implementation of evaluation and certification of safety systems for urban rail transit

CIRCULAR

REGULATIONS ON THE IMPLEMENTATION OF SYSTEM SAFETY ASSESSMENT AND CERTIFICATION FOR URBAN RAILWAYS
FOR URBAN RAILWAY SYSTEMS

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At the proposal of the Director of the Personnel Organization Department and the Director of the Vietnam Registration Bureau;

Pursuant to Decree No. 12/2017/NĐ-CP dated February 10, 2017, issued by the Government on the functions, tasks, powers, and organizational structure of the Ministry of Transport;

At the proposal of the Director of the Science and Technology Department and the Director of the Vietnam Vehicle Inspection Agency;

The Minister of Transport issues this Circular to regulate the implementation of system safety assessment and certification for urban railways.

PART I

GENERAL PROVISIONS

Article 1. Scope of Regulation

1. This Circular stipulates the implementation of system safety assessment and certification; the procedures and formalities for reviewing and issuing the Certificate of Review for System Safety Assessment for new urban railway lines and upgrades; the procedures for periodic inspection and issuance of the Certificate of Periodic Certification of the Railway Operation Safety Management System during operation.

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

This Circular applies to organizations and individuals involved in management, design, construction, operation; system safety assessment and certification; review of system safety assessment documentation for new urban railway lines and upgrades; periodic certification of the Railway Operation Safety Management System during operation.

In this Circular, the following terms are understood as follows:

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

2. Project sponsors refers to the entity that owns the capital or is directly assigned to manage and utilize the capital to implement investment construction and upgrade activities for urban railways.

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

4. System safety assessment and certification for urban railways involves an independent assessment of system safety for completed work items and confirmation that the urban railway line meets operational safety requirements.

6. 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.

7. Railway operation safety management system is the management system of the Operating Organization, including organizational structure regulations and management processes established in compliance with safety management standards, approved by competent authorities to effectively control risks.

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

10. Independent system safety certification organization (hereinafter referred to as the Certification Organization) is an independent organization recognized by international accreditation bodies, providing system safety assessment and certification services for urban railways.

11. System safety documentation review involves checking procedures, documents, and examining the implementation processes of system safety assessment and certification by the Certification Organization to ensure compliance with the provisions of this Circular.

12. Operating organization refers to the organization entrusted with managing, operating, exploiting, and maintaining the urban railway line.

1. New urban rail systems must be evaluated and certified for system safety before being put into operation; reviewed and issued with a Review Certificate for the System Safety File.

2. Urban rail systems undergoing upgrades or changes to any of the following contents must be evaluated and certified for system safety; reviewed and issued with a Review Certificate for the System Safety File 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;

đ) Changes in the organizational structure of the Operating Organization.

3. The evaluation and certification outline must include at least the following contents:

a) Scope of assessment and certification;

b) Methods and procedures for implementation;

c) Safety limits and risk acceptance criteria;

d) Plan for conducting assessment and certification;

đ) Transfer documentation.

Article 5. Provisions on the Operational Safety Management System

2. The operational safety management system must ensure the implementation of at least the following contents:

a) Safety policy approved by the legal representative of the operating organization and disseminated within the organization;

b) Safety objectives including qualitative and quantitative targets. Qualitative targets are those related to safety assessment and ranking, while quantitative targets are specific measurable numerical goals;

c) Safety plan: plan to implement safety objectives;

d) Compliance management with technical standards and relevant operational regulations;

đ) Change management;

e) Risk management;

g) Management of personnel capabilities for operations and maintenance of the system;

h) Management of training for safety management personnel;

i) Documentation management and information exchange related to safety;

k) Emergency situation management: provisions regarding rescue work, warnings, information, and coordination with related parties in emergency situations;

l) Accident and incident investigation management: ensuring that accidents, incidents, dangerous situations are recorded, investigated, analyzed, and necessary corrective and preventive measures are applied;

m) Internal audit.

Chapter II

EVALUATION AND CERTIFICATION OF SYSTEM SAFETY

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

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.

4. Evaluate system integration.

5. Evaluate operational testing and system trial runs.

6. Evaluate the Operational Safety Management System.

1. Evaluate reliability, availability, maintainability, and safety for the upgrade items specified in Clause 2, Points a, b, and c of Article 4 of this Circular.

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. Procedure for conducting safety system evaluation and certification when constructing new or upgrading

1. The project investor shall establish technical regulations for the tender package on safety system evaluation and certification in accordance with the laws on bidding.

2. Based on the technical regulations, the Certification Organization shall develop the Evaluation and Certification Outline in accordance with Clause 3, Article 4 of this Circular.

3. The Certification Organization shall implement according to the approved Evaluation and Certification Outline. Based on the plan stated in the outline and the actual progress of the project, the Certification Organization shall submit periodic evaluation reports or reports on completed sections immediately after completion to the project investor and relevant parties.

4. After completing all work as outlined in the Evaluation and Certification Outline, the Certification Organization shall prepare the final evaluation report and issue the Safety System Certification Certificate.

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.

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

1. The review will be conducted for each item of work specified in the Evaluation and Certification Outline, corresponding to each item of work, the review documentation shall include:

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

b) The Evaluation and Certification Outline and updated versions that have been approved by the project investor;

c) Evaluation reports and accompanying assessment documents for items that the Certification Organization has carried out according to the Evaluation and Certification Outline;

d) Reports on handling and rectification by the project investor for issues raised in the Certification Organization's evaluation report;

e) Final evaluation report and a valid copy of the Safety System Certification Certificate issued by the Certification Organization.

2. Submission deadlines:

a) The request for review shall be submitted together with the Evaluation and Certification Outline;

b) Documents specified in point b, Clause 1 of this Article shall be submitted after approval by the project investor;

c) Documents specified in points c and d, Clause 1 of this Article shall be submitted immediately upon completion of the work;

d) Documents specified in point e, Clause 1 of this Article shall be submitted after the Certification Organization completes and concludes all work.

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

1. Verify the conformity of the documentation in accordance with Clause 1, Article 10 of this Circular.

2. Examine the implementation process and evaluation results of the Certification Organization for the contents stipulated in Article 6 of this Circular.

3. Verify the conformity of the implemented work contents with the Evaluation and Certification Outline.

1. The Vietnam Vehicle Inspection Agency shall receive and examine the dossier. In cases where the dossier is incomplete according to regulations, within two working days from the date of receiving the dossier, the Vietnam Vehicle Inspection Agency shall notify the Investor in writing to supplement and complete it. In cases where the dossier is complete according to regulations, the Vietnam Vehicle Inspection Agency shall conduct the review of the dossier.

2. For the review of dossiers prescribed in points b, c, and d of Clause 1, Article 10 of this Circular, within twenty working days from the date of receiving all necessary documents, the Vietnam Vehicle Inspection Agency must issue a written notification of the review results; in cases where the review results do not meet requirements, the reasons must be clearly stated and the Investor required to rectify and complete them.

3. For the review of the final evaluation report and the Safety System Certificate, within twenty working days from the date of receiving all necessary documents as stipulated in Clause 1, Article 10 of this Circular, the Vietnam Vehicle Inspection Agency shall have the responsibility:

a) To issue the Safety System Dossier Review Certificate according to the model attached at Appendix 3 of this Circular in cases where the review results meet 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 CERTIFICATION OF THE SAFETY MANAGEMENT SYSTEM

Article 13. Provisions on periodic inspection and certification of the safety management system

1. Within thirty-six months from the date the newly constructed 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 thirty-six-month period, the safety management system must be subject to 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. The periodic inspection dossier 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) The internal assessment report of the Operating Organization.

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 maintenance of the effectiveness of the safety management system as prescribed in Clause 2, Article 5 of this Circular.

Article 14. Procedure for Implementation

a) To inspect the maintenance of the safety management system and issue the Urban Railway Safety Management System Periodic Certification according to the model prescribed in Appendix 4 of this Circular if the inspection results meet requirements;

b) To issue a written response stating the reasons for not issuing the Urban Railway Safety Management System Periodic Certification in cases where the inspection results do not meet requirements.

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.

Clause 2. The periodic safety management system certification for urban railways shall become invalid when the urban railway line or section undergoes upgrading as stipulated in Clause 2, Article 4 of this Circular.

Chapter V

IMPLEMENTATION

To take the lead and coordinate with relevant agencies; organize capable certification bodies and suitable experts to carry out:

Point 1. Reviewing the safety documentation of urban railway systems.

Point 2. Inspecting and certifying periodically the safety management system for urban railway operations.

Article 18. Responsibilities of Provincial People's Committees and City People's Committees

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

Point 2. Conduct regular and surprise inspections on urban railway safety management.

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

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.

Point 3. Approve the Evaluation and Certification Outline established by the certification organization.

Point 4. Take the lead and coordinate with the operating organization to build a safety management system for new or upgraded urban railway 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.

Point 8. Pay the fees for reviewing the safety documentation of urban railway systems in accordance with the law.

Article 20. Responsibilities of Operating Organizations

Point 1. Coordinate with project investors to establish a safety management system for new or upgraded urban railway lines.

Point 2. Conduct internal assessments of the safety management system every twelve months.

Point 4. Complete and finalize the periodic safety management system certification documentation in accordance with Clause 3, Article 13 of this Circular.

Point 5. Provide information and materials for periodic inspection and certification of the safety management system.

Point 6. Pay the fees for inspecting and certifying periodically the safety management system for urban railway operations in accordance with the law.

Article 21. Responsibilities of Certification Organizations

Point 1. Prepare the Evaluation and Certification Outline for submission to the project investor for approval.

Chapter VI

IMPLEMENTING PROVISIONS

For urban railway lines that commenced construction before the effective date of this Circular and have already been assigned tasks for the evaluation and certification of the safety system, they shall proceed according to the approved work content and must conduct a safety system documentation review in accordance with this Circular.

Article 23. Effectiveness of Implementation

1. This Circular takes effect from July 1, 2018.

Clause 2. This Circular replaces Circular No. 16/2016/TT-BGTVT dated June 30, 2016, issued by the Minister of Transport regarding the implementation of the evaluation and certification of safety systems for urban railways.

Article 24. Implementation Organization

"The Director of the Ministry's Office, the Inspector General of the Ministry, the Heads of Departments, the Director of the Vietnam Vehicle Inspection Agency, and the Heads of relevant agencies, organizations, and individuals are responsible for implementing this Circular./."