System Interface Committee Protocol. Issue Seven

Transcription

1 System Interface Committee Protocol The aim of this protocol is to set out a framework for the governance, operation and management of System Interface Committees (SICs). This protocol is established by a resolution of the Board. Approved by Rail Safety and Standards Board Effective date 05 September 2013 Rail Safety and Standards Board enquirydesk@rssb.co.uk

2 Issue Record Issue Effective Date Comments SIC Protocol SIC Protocol 10 February November 2005 Produced to support the establishment of the Systems Interface Committees. February 2004 issue amended to take account of changed responsibilities of SICs and the status of intellectual property rights for procured research. SIC Protocol Issue Three 01 January 2009 November 2005 issue rewritten in its entirety to reflect the establishment of the Technical Strategy Advisory Group and SIC involvement in strategic issues; changes to membership of SICs and the details of support to SICs. SIC Protocol Issue Four SIC Protocol Issue Five SIC Protocol Issue Six SIC Protocol 09 September September September September 2013 January 2009 issue amended to include members responsibilities for safeguarding commercially sensitive information and disclosure of interests. September 2010 issue amended to take account of the remit for the Technical Strategy Leadership Group and the requirement to publish SIC membership. September 2011 issue amended to: Update R&D governance structures Include a new appendix about support Update SIC organisation. September 2012 issue amended to clarify: Committee membership Operation of SICs Page 2 of 15

3 Contents Page 1 Status of protocol 4 2 Governance of SICs 4 3 Purpose of the SICs 5 4 SIC scope to achieve purpose 5 5 Operation of SICs 6 6 Committee constitution 8 Appendix A Scope of established SICs 10 Appendix B Support provided by 11 Appendix C Committee members 13 Appendix D Committee chairmen 15 Page 3 of 15

4 1 Status of protocol 1.1 The aim of this protocol is to set out a framework for the governance, operation and management of System Interface Committees (SICs). 1.2 This protocol is established by a resolution of the Board. 2 Governance of SICs 2.1 Roles of the Board and The Board of ( the board ) shall keep the activities of the SICs under review If the board considers that a SIC is failing in a material way, the board shall consider the matter and take such steps as it considers appropriate The board shall appoint SIC Chairmen. Further information is provided in Appendix D The board shall decide on issues referred to it by SIC Chairmen where timely consensus cannot be achieved and where the issue cannot be resolved by TSLG or it is not appropriate for TSLG to be involved shall retain the intellectual property of all procured research and development carried out on behalf of the SICs. will retain the intellectual property of documents it is requested to publish on behalf of the SICs. Where there is funding for R&D from other parties, will agree the ownership of the intellectual property with such parties shall provide support to SICs and SIC subgroups within the resources made available through the normal budgetary process. 2.2 Role of the Technical Strategy Leadership Group (TSLG) The role of TSLG in relation to SICs is set out in the TSLG remit 1. It is to: a) Maintain relationships with the System Interface Committees, industry activities and other cross-industry groups, supporting alignment of their agendas (including research) so that they are consistent with long term needs, and encouraging efficiency in the means by which these are developed. 1 TSLG remit dated July Page 4 of 15

5 3 Purpose of the SICs 3.1 The purpose of the SICs is to assist the railway industry in managing all aspects of identified system interfaces within the scope for each SIC set out at Appendix A in the most effective, safe and cost efficient way. 3.2 The approach adopted by SICs shall be: a) Strategic - resulting from the Rail Technical Strategy, and its further development as the Rail Technical Strategy 2012, and any consequent direction from TSLG through formal remits to SIC Chairs, and b) Tactical - dealing with more immediate issues, but aligning where necessary with the trajectory of the Rail Technical Strategy and its successor, the Rail Technical Strategy SIC scope to achieve purpose 4.1 The general remit for SICs to achieve the purpose set out in 3 is to: a) Identify opportunities for improving efficiency at the interface between vehicles and infrastructure and consider how to develop and implement them. b) Commission studies or research or use other methods to seek solutions to interface issues and to develop opportunities where appropriate. c) Identify solutions to issues, and make recommendations to TSLG, industry (including ) or DfT on the best solutions. In so doing, recommendations should take into account the benefits to the industry as a whole, where the specific benefits will fall and the cost of implementing the recommendations. d) Promote agreement on how solutions could be implemented. 4.2 SICs may establish subgroups to carry out remits in support of the purpose. 4.3 The board or TSLG may provide SICs with a remit to assist industry in solving problems or developing opportunities that fall outside the scope of a SIC where it is in the wider interest of the railway industry to do so. Page 5 of 15

6 5 Operation of SICs 5.1 Decision making SICs shall operate on a consensus basis to achieve their purpose Consensus means a general agreement characterised by the absence of sustained opposition to substantial issues by any member of the committee concerned. The process of consensus involves taking into account the views of all members of the committee concerned and to reconcile conflicting arguments If timely consensus cannot be achieved the SIC Chairman may consult with TSLG. If TSLG is not able to resolve the issue, the SIC Chairman may prepare a report for the board in order to receive a decision on the issue. 5.2 Research and development Where a SIC identifies a need for research and development (R&D) that it wishes to be carried out under the governance of the programme, the SIC shall sponsor and oversee the R&D in accordance with the stakeholder s guide to cross-industry research and development support shall provide SICs and their subgroups with support as set out in Appendix B to this Protocol. This appendix may be amended and approved by and SIC Chairmen together Such support shall fall within the resources made available through the budgetary process. 5.4 Organisation Each SIC shall produce a remit describing the agreed working arrangements of the committee Each SIC shall review the adequacy of its remit at least once every 12 months The remit shall be published SICs shall meet as frequently as necessary to carry out their purpose Where SICs establish subgroups they shall provide a remit for each subgroup. The remit shall reflect the practice for SICs set out in this Protocol unless the SIC determines that it is inappropriate to do so for the purpose of a particular group. Remits for subgroups shall include statements on: a) Purpose b) Authority to carry out activities 2 (April 2013, version 3) A guide to cross-industry research and development. Page 6 of 15

7 c) Authority to make decisions d) Membership, and the process to elect or appoint members and chairmen e) Reporting requirements to the SIC f) Any conditions under which the subgroup will cease activity g) The disclosure of interests Each SIC shall provide an annual report to TSLG on work completed, proposals for future avenues of research and alignment with other SICs An annual report covering the activities of all the SICs shall be provided to the board outlining how the SICs activities for the year have collectively supported the purpose, and the benefits they have achieved SICs shall publish the names of their members on the website SICs may regulate their activities in support of the purpose as they deem appropriate. Such activities might include: a) The development and management of a SIC plan to provide a coherent agenda that links into the Rail Technical Strategy and its successor, the Rail Technical Strategy 2012, and other industry activity. b) The development of a communications plan to support the dissemination of information to the railway industry (including the outcome of research, the benefits of research to the industry and implementation of research by industry) in cooperation with other SICs. c) Monitoring research and other studies or investigations carried out by industry. d) Examining practice and experience from other railway organisations. e) Liaison with TSLG and other SICs to ensure that activities in support of the purpose are mutually supportive and that there are no overlaps or omissions between individual SICs. f) Liaison with Standards Committees (SCs): to ensure that SCs are aware of SIC activity where there might be an impact on Railway Group Standards or associated documents managed by SCs; to make proposals to SCs for new, or changes to, Railway Group Standards or associated documents. g) Support to industry conferences and exhibitions. Page 7 of 15

8 6 Committee constitution 6.1 Membership The membership of each SIC shall be appropriate to its scope set out at Appendix A Each industry category 3,, DfT and ORR is entitled to one member on each SIC The role of each member is to represent the views of the constituency to which they belong and, through a process of consensus, develop solutions which provide best whole-industry outcomes Details of the criteria for, and the appointment of, members are at Appendix C. 6.2 Chairman The Chairman s role is not to represent the constituency to which he/she belongs but is to encourage fair representation of views through other members and seek best whole-industry solutions through consensus The constituency to which the Chairman belongs may appoint another member to the committee so that the views of that constituency are represented on the committee Details of the criteria for, and appointment of, Chairmen are at Appendix D. 6.3 Meetings Some of the issues discussed within the SIC may contain information of a commercially sensitive nature. Members shall not pass on such information to any person outside the committee unless the Chairman has specifically agreed to such action Guests may be invited by the Chairman to attend SIC meetings to provide expert advice or for other purposes as appropriate Meetings shall be quorate when at least three members (including the Chairman) or authorised alternatives are present. This shall include at least one member who represents an industry category. 6.4 Disclosure of interests If a member, or a person for whom that member works, has a direct or indirect personal interest in a matter to be discussed by the committee, as distinct from a common interest of the industry category as a whole, the member shall declare that interest to the Chairman of the committee of which they are a member at the earliest opportunity: 3 As set out in the Rail Safety and Standards Board Constitution of 1 April 2003, amended 14 December 2005, 29 June 2006 and 10 December 2010 (paragraph 3.2). Page 8 of 15

9 a) On the first occasion at which the matter is discussed, or b) If a member is not aware of an interest at that time, at the next committee meeting after which they become aware of that interest, regardless of whether the matter is being discussed at that meeting Once disclosed, an interest need not be disclosed again When a member declares an interest, the other members shall decide whether that member may continue to participate in discussions on the matter concerned or whether that member shall be excluded from the meeting while the matter is discussed. Page 9 of 15

10 Appendix A Scope of established SICs A.1 Introduction A.1 Five SICs are established to fulfil the purpose of this protocol. They are: A.2 Vehicle/Structures A.2.1 This SIC shall provide the focus for the interface between vehicles and the fixed infrastructure in the areas of physical clearance (gauging) and vehicle loading (route availability). A.3 Vehicle/Track A.3.1 This SIC shall provide the focus for the interface between the vehicle wheel and the rail and between the vehicle and track interaction. A.4 Vehicle/Train Energy A.4.1 This SIC shall provide the focus for energy issues on the railway system. A.5 Vehicle/Train Control and Communications A.5.1 This SIC shall provide the focus for train control and communication issues. A.6 Vehicle/Vehicle A.6.1 This SIC shall provide the focus for the interface between railway vehicles, and shall also facilitate activity on topics which, while essentially intrinsic to vehicles, have implications for the interface of vehicles with the railway system as a whole, or with the environment (such as weight, reliability, noise). Page 10 of 15

11 Appendix B Support provided by B.1 Introduction B.1.1 This appendix has been approved on 05 September 2013 by and SIC Chairmen in accordance with paragraph of the Protocol. B.1.2 B.1.3 B.1.4 The appendix sets out at high level the support that will be provided by to SICs and their subgroups. Where an individual SIC Chairman or the Chairman of a SIC subgroup seeks a different level or type of support, this will need to be agreed in advance with. Such changes may need to be set out in writing in a separate document. If SICs identify a need for a new subgroup and that support is sought from, the SIC Chairman shall seek confirmation from that the relevant resources are available within prior to the establishment of the group. Unless specified in this appendix or separately under B.1.2 above, the support to subgroups will be the same as that provided to SICs. B.2 Technical Advice B.2.1 An technical specialist will be appointed as a member of the SIC to provide technical advice. Where agreed, will also provide a technical specialist to attend meetings of SIC subgroups. B.2.2 The technical specialist will also provide as necessary: a) Discussion papers on technical matters for the SIC. b) Support to the research and development process as necessary. c) Advice on the applicability of standards and liaison with standards committees. B.3 Research and development B.3.1 A member of the R&D department will attend all SIC meetings to provide advice on the relevant aspects of the research programme. will also: a) Manage client responsibilities set out in the guide to cross-industry research and development (see footnote 2). b) Work with other stakeholder project groups to progress R&D projects managed by the SIC within the constraints of the R&D programme. c) Identify issues in research topics and other relevant programmes that are of interest to the SIC and provide progress updates to the SIC. d) Prepare papers for the SIC when the SIC is seeking higher level approval of large value R&D projects. Page 11 of 15

12 B.4 Facilitation services B.4.1 B.5 Funding B.5.1 will provide a meeting facilitation service to the SIC. This will include: a) Production and maintenance of the SIC and sub-group remits. b) Coordination of the joint-sic annual report to the Board of and the SICs annual report to TSLG. c) Venue management and catering arrangements for SIC meetings. d) Preparation of meeting timetable, packs and minutes, and availability of documents via the extranet. e) Publication of SIC membership. f) Monitoring the appointment of SIC Chairmen and SIC members. g) Management of SIC sponsored conferences and other events, subject to prior agreement. h) Production of SIC-sponsored documents, subject to prior agreement. will provide funding for: a) All staff costs associated with the support set out in this appendix. b) Venue and catering costs for meetings facilitated by where they are held in s offices. c) Conferences and other events, where not funded as part of a relevant R&D project, subject to prior agreement. d) Staff costs associated with attendance at industry presentations and events held external to s offices, subject to prior agreement. B.5.2 Requests for funding for costs not listed at B.5.1 and for those in B.5.1 subject to prior agreement shall be submitted to the budget holder for consideration. Page 12 of 15

13 Appendix C Committee members C.1 Criteria applicable to all members C.1.1 Each member shall be willing to act as deputy Chairman in the Chairman s absence if so requested by the Chairman or by other members. C.1.2 C.1.3 Members may appoint a named alternative, in writing, to the Chairman. The alternative will carry out committee and other duties when the member is not available. A member may be removed by the SIC if the member: a) Ceases to meet the criteria set out at C2 (industry category member). b) Is absent from three out of six consecutive SIC meetings without the agreement of the committee. c) Fails to exercise his/her judgement in a professional manner. C.2 Criteria applicable to industry category members C.2.1 Industry category nominees shall: a) Normally belong to a company which is a member of. b) Have a professional background. c) Occupy a senior position in the industry. d) Demonstrate commercial and technical competence in the area concerned. e) Have relevant practical experience. f) Be a member of an appropriate professional institution which covers the relevant area. C.2.2 A SIC may relax criteria for appointment of an individual if there is an exceptional nominee who would otherwise not be eligible for appointment. C.3 Appointment of industry category members C.3.1 Industry categories may each put in place arrangements for nominating a person to each of the SICs and can make a nomination on behalf of the relevant industry category when notified that a vacancy exists: a) ATOC for passenger Railway Undertakings b) RIA for suppliers and infrastructure contractors who can each nominate a member for each SIC c) Rolling stock owners (including rolling stock leasing companies) d) Non-passenger Railway Undertakings, and Page 13 of 15

14 e) Network Rail and other Infrastructure Managers. C.3.2 C.3.3 C.3.4 C.3.5 C.3.6 C.3.7 C.3.8 Alternatively, may obtain nominations direct from member companies when no arrangements have been put in place by industry categories. All SIC members will consider nominations with reference to the criteria for membership and confirm the appointment of the member. Industry category members shall be appointed to a SIC for a maximum period of three years and shall automatically stand down after this time. Individuals may be nominated for a further term and appointed in the normal manner. SIC members who represent the DfT and the ORR are not required to follow the appointment process for other members, or be required to automatically stand down after a three year term. The DfT and the ORR will appoint a representative to the SIC, and will decide whether its representative is appropriate. Where an industry category member appoints a named alternative, the alternative shall be either another member or a person who fulfils the criteria set out at C2. The member may remove the alternative member by written notification to Chairman. The appointment of the alternative member ceases automatically when the industry category member s appointment ceases. An industry category member may give notice in writing to the Chairman of his/her resignation from the committee. The industry category may provide in writing to the Chairman notice of its wish to remove the appointed member. Page 14 of 15

15 Appendix D Committee chairmen D.1 Nominations put to the Board shall follow consultations with SIC Chairmen and relevant SIC members. The board shall ensure that, taken together, Chairmen appointed to SICs represent a balance of constituencies. D.2 The maximum term of office for the Chairman shall be three years. Chairmen may be reappointed by the board at the end of the term if the individual offers himself/herself for nomination. D.3 During the temporary absence of the Chairman, the duties of the Chairman may be carried out by another member (see also Appendix C). If there is a temporary vacancy, members may elect one of themselves to act as Chairman on an interim basis. D.4 The Chairman of a SIC may be removed from office by a simple majority vote of the members of a SIC, subject to confirmation by the board. D.5 A SIC Chairman shall advise the board of his/her wish to resign as Chairman. Page 15 of 15