1. Slovenske železnice-Infrastruktura, d.o.o. Ljubljana 1 st of September 2014 SŽ-Infrastruktura, d.o.o. 1 Safety Management System of the Infrastructure Manager of the Republic of Slovenia

2. In line with Directive 2004/49/EC on rail safety and Slovenian Railway Safety Act, the responsibility for the safe operation of the railway system and the control of risks associated with it is laid upon the Railway Undertaking (RU) and Infrastructure Manager (IM). As the IM, SŽ- Infrastruktura is responsible for the management of public rail infrastructure (PRI) in Slovenia, and therefore holds the responsibility, in line with the abovementioned Directive, to ensure safety in rail operation by designing a proper safety management system (SMS) in its field of operation.Directive 2004/49/EC The content of the SMS needs to meet the requirements laid out in Article 9 and Annex III of Directive 2004/49/EC. Directive 2004/49/EC SŽ-Infrastruktura applies the SMS to document the procedures required by the safety authority in the assessment prior to safety certification, in control exercised after the certification, and in renewal of the safety certification procedure. The Rules of Procedure regarding the SMS are drawn up on the basis of Article 27 of the Rail Safety Act, which requires an SMS be established by introducing common safety targets (CSTs) for the rail system as a whole in order to comply with national safety regulations, safety requirements laid down in the TSI, and with common safety methods (CSMs).Rail Safety Act The SMS is related to various other systems including the quality management system, environmental management system, workplace safety and health management system, and internal control system. 925 RULES OF PROCEDURE REGARDING THE SAFETY MANAGEMENT SYSTEM OF THE SLOVENIAN INFRASTRUCTURE MANAGER SŽ-Infrastruktura, d. o. o. Slovenske železnice-Infrastruktura, d.o.o.

3. SAFETY AUTHORISATION The legal norms are defined in Commission Regulation (EU) No 1169/2010 and in Slovenian Railway Transport Act In order to carry out the management of public rail infrastructure, the IM is required to obtain a safety authorization from the national safety authority (AŽP) The safety authorisation includes: – authorisation confirming acceptance of the IM's safety management system – authorisation confirming acceptance of the provisions of the IM to meet specific requirements necessary for the safe design, maintenance and operation of the railway infrastructure including the maintenance of the traffic control and signalling system Slovenske železnice-Infrastruktura, d.o.o.

4. SAFETY AUTHORISATION A validity period of maximum five years; can be renewed upon application by the IM SŽ-Infrastruktura renewed the validity of its safety authorization on 1 June 2014 for the period until 31 May 2019 Throughout the validity period, the safety authorisation is subject to regular checking for compliance with the required conditions, while its individual parts are subject to updating and revising, as required Slovenske železnice-Infrastruktura, d.o.o.

5. INTERDEPENDANCE OF PROCESSES Slovenske železnice-Infrastruktura, d.o.o.

6. 925 - P01 Monitoring of legal regulations Process on monitoring legal regulations which the company needs to keep track of This process ensures a timely approval of decisions on changing the existing regulations and implementing new relevant legal regulations (Beginning 1) as well as a timely implementation of revised or new legal regulations (Beginning 2). Slovenske železnice-Infrastruktura, d.o.o.

7. 925 - P02 Decision and recommendation management Process on the management of administrative decisions and recommendations This process ensures proper response to and timely implementation of decisions and recommendations issued by national bodies. Slovenske železnice-Infrastruktura, d.o.o.

8. 925- P03 Document Management The process »Document Management« ensures that all company documents meet the following requirements: - Designed in identical format, - Available to employees in their applicable versions only, - Legibility, proper recognisability and searchability, - Invalid documents are not applied, but remain stored at and available from the archives, - Obligatory external documents are registered and handled the same way as internal documents, - Documents on safety-critical matters are checked prior to their application, - All documents are approved and implemented prior to their use, - When a document is issued or revised, this information is communicated via internal company network and the Official Journal (OJ) of the Republic of Slovenia. This manual ensures that the company as well as all the employees and contractors performing safety-critical tasks are able to use safety-critical documents regardless to the document origins (whether they were drawn up by the company itself or by an external contractor). Moreover, the manual also provides that: Employees performing safety-critical tasks are kept informed in a timely and traceable manner, Revoked safety-critical documents are permanently stored in the archives. Documents necessitating change need to meet the requirements listed above. Slovenske železnice-Infrastruktura, d.o.o.

9. 925 - P04 Exchange of safety-related information The manual on »Exchange of safety-related information« ensures that the company performs the following tasks in a regular, timely and transparent manner: -Issues associated with the organisation, safety and planning of rail traffic, with the planning of public rail infrastructure maintenance, and with occupational safety are handled internally as well as in discussion with transport operators in the Republic of Slovenia as well as any contractors, maintenance services and partners who provide safety-critical services to the company; -Both »basic« and »crucial« information on safety is exchanged in identical scope between the company and transport operators in the Republic of Slovenia as well as with any contractors, maintenance services and partners who provide safety-critical services to the company. Slovenske železnice-Infrastruktura, d.o.o.

10. 925 - P05 Employee competence and training This process ensures that safety-critical activities are only performed by employees with the necessary physical and mental fitness, and ensures that said employees undertake safety-critical activities only after having successfully completed the corresponding vocational training. The process is applied in recruitment, redeployment and re-skilling or retraining for work positions which involve safety-critical tasks carried out according to the process »Description of Tasks 925 - S03«. Slovenske železnice-Infrastruktura, d.o.o.

11. 925 - P06 Maintaining employee competence This process ensures that employees involved in safety-critical activities continue to carry out their duties only if the required level of competence associated with their field of work is maintained over time by means of regular training. The process is also applied if results of safety checks performed in line with the manual »Safety Control 925-P15« call for measures to ensure competence maintaining. Slovenske železnice-Infrastruktura, d.o.o.

12. 925 - P07 Maintaining employee fitness for work This process ensures that employees involved in safety-critical activities continue to carry out their work only if the required level of physical and mental fitness is met. Fitness is checked at regular intervals and, if required, also on an individual basis outside regular checks. The process is also applied if the results of safety checks performed in line with the manual »Safety Control 925-P15« call for measures to maintain physical and mental fitness. Slovenske železnice-Infrastruktura, d.o.o.

13. 925 - P08 Contracting This process includes procedures and activities related to drawing up and concluding contracts with rail companies and other companies which provide safety-critical services to SŽ-Infrastruktura. Slovenske železnice-Infrastruktura, d.o.o.

14. 925 - P09 Placing into service and operation of rolling stock This process ensures that procured rail vehicles which successfully obtained the authorisation for placing into service can be placed into service and begin their operation. Slovenske železnice-Infrastruktura, d.o.o.

15. 925 - P10 Authorisation for placing into service of vehicles and/or vehicle types This process ensures that the authorisation for placing into service of vehicles and/or vehicle types is carried out according to Directive 2008/57/EC from 17 June 2008 and Article 17 of the Railway Safety Act (ZVZelP) and that rail vehicles entering service will maintain safety and proper organisation of rail traffic as well as provide occupational safety. Slovenske železnice-Infrastruktura, d.o.o.

16. 925 - P11 Train preparation The manual »Train preparation« comprises instructions on preparing a train of SŽ-Infrastruktura for service. Slovenske železnice-Infrastruktura, d.o.o.

17. 925 - P12 Rolling stock maintenance This process ensures that maintenance of the company’s rolling stock is performed in line with Article 17.f of the Railway Safety Act as regards the safety, organisation and requirements in rail traffic. The process was implemented to comply with the provisions of Commission Regulation (EU) No 445/2011/EC for freight wagons and with Rules on the maintenance of railway vehicles as regards track vehicles other than freight wagons. The process ensures that SŽ-Infrastruktura monitors the condition of its vehicles and provides maintenance of rolling stock. Slovenske železnice-Infrastruktura, d.o.o.

18. 925 - P13 System assessment This process defines the steps of the assessment carried out under the Safety Management System (SMS) and under the maintenance system. The process is also applied when exercising control over the suppliers of partners who provide safety-critical services to the company. In the event the company requires external auditing, the manual also contains a list of external auditors in line with the manual »Contracting 925-P08«.

19. 925 – P14 Emergency investigation This process ensures that events such as serious accidents, accidents, incidents and other occurrences and disruptions involving the company are investigated, and that safety measures are taken based on the causes established by the investigation as to prevent similar future occurrences. The company is considered to be involved when a train service operated by the company resulted in: - Deaths or injuries, - Damage on equipment, rolling stock, or other installations, or - The obligation to assist in the removal of consequences, investigation or in implementing countermeasures. Slovenske železnice-Infrastruktura, d.o.o.

20. 925 - P15 Safety control The process »Internal control of safety-critical activities« ensures that the company‘s and contractors‘ business associates (hereinafter: associates) operating under the SMS of the infrastructure manager as well as contract partners who provide safety-critical services to the company meet the following requirements: - Have knowledge of and apply all relevant standards, including standards on construction, upgrading, reconstruction, operation and maintenance; - Observe the provisions of basic safety-related documentation (Point 11, Annex 1 of the manual »Exchange of safety-critical information 925-P04«); - Operate in line with crucial safety-critical information (Point 12, Annex 2 of the manual » Exchange of safety-critical information 925-P04«); - Have knowledge of the rail track, stations, job types, and special-purpose rolling stock; - Carry with them the required work documents and equipment; - Have sufficient knowledge of the language terminology used by the IM; - Show no signs of fatigue and are not under the influence of alcohol or drugs, and - Pay attention to personal safety in their work activities. Slovenske železnice-Infrastruktura, d.o.o.

21. 925 - P16 Risk management This process ensures that the IM and the contractors carry out, based on common safety methods, the procedures and methods relating to risk evaluation and assessment in order to maintain and improve rail safety in line with the Railway Traffic Safety Act and Commission Regulation (EC) 352/2009 on a common safety method on risk evaluation and assessment. The process is applied in the implementation of important technological and technical changes and also in organisational changes relating to the safe operation of rail transport. The documentation on risk management is available in the record 925-Z02. Slovenske železnice-Infrastruktura, d.o.o.

22. 925-P17 Safe planning of public rail infrastructure The process on »Safe planning of public rail infrastructure« (hereinafter: PRI) is considered a precondition and is applied by the company in the maintenance and management of PRI as well as in the operation of traffic thereon. Slovenske železnice-Infrastruktura, d.o.o.

23. 925 - P18 Safe operation of public rail infrastructure The »Safe operation of public rail infrastructure« process defines proper control procedures in the operation and maintenance of PRI to ensure that the PRI remains operational throughout the service life of the subsystem or its particular element, installation, component or other part. The staff and contractors‘ workers who provide safety-critical services to the company carry out safely and responsibly the work tasks which are critical to the safe operation of PRI when an element, installation, component or other part of the subsystem is placed into service. In their activities, they: - Apply the relevant legislation, regulations, and standards related to the maintenance of PRI and follow the procedures on placing an element, installation, component or part of the subsystem into service; - Have knowledge about the rail track and the associated subsystem or its particular elements, installations, components and other parts; - When carrying out track work, they carry the necessary documents with them and use the required measuring tools, equipment and protective gear; - Secure the area of work when performing maintenance on the subsystem or its particular element, installation, component or other part. - Slovenske železnice-Infrastruktura, d.o.o.

24. 925 - P19 Maintenance of public rail infrastructure and supply of material The »Maintenance of public rail infrastructure (PRI) and supply of material« process defines the proper operating and control procedures in the maintenance of PRI to ensure the safe operation of PRI. In carrying out their duties, the staff: - Apply the relevant TSIs, legislation, regulations and standards (EN, European technical approval (ETA), Slovenian technical approval (STA), SIST EN, SIST TS, UIC) related to the maintenance of PRI, and follow the technical requirements and procedures on the procurement of material and services; - Only use the intended materials when carrying out the maintenance of PRI; - Are acquainted with the documentation of the manufacturer and the technical regulations required in their work tasks; - Procure adequate services for maintenance purposes, - Use the documentation and work tools required in the maintenance of PRI, - Pay attention to personal safety in their work activities. Slovenske železnice-Infrastruktura, d.o.o.

25. 925 – P20 Operation of signalling and traffic management system The process ensures the continuity of operation of the IM‘s signalling and traffic management system in normal, degraded and emergency situations. It defines the rules applicable to: - Rolling stock transition between different infrastructure systems (from PRI to another IM‘s infrastructure and vice versa); - Train operation; - Transition between different types of signalling systems in normal, degraded and emergency situations; - Monitoring, recording and control of the operation of traffic management and signalling system and of any irregularities or defects in its operation; - Drawing up forms and records used in traffic management and signalling; - Exchange of information and documents between the IM and transport operators as well as between the IM and other IMs; - Preparation of requirements on access to the infrastructure; - Informing staff about the work regulations applying to a particular job. Slovenske železnice-Infrastruktura, d.o.o.

26. 925 - P21 Operating inspection and maintenance of the PRI subsystem and its elements, installations, components and other parts The company provides the maintenance and control of the subsystem and its elements, installations, components or other parts, ensures continuity of operation (i.e. track availability) in natural and other accidents, keeps records and maintains registers, and carries out measurements and replacements of the subsystem and its individual elements, installations, components and other parts in line with the Railway Transport Act and the Railway Traffic Safety Act. The »Operating inspection and maintenance of the PRI subsystem and its elements, installations, components and other parts« process defines the proper inspection and maintenance procedures to ensure that the company staff and contractors‘ workers who carry out safety-critical tasks on the PRI abide by the following rules: - Observe the provisions on personal safety when performing operating inspection and maintenance work; - Have knowledge of all types and designs of the subsystem and its elements, installations, components and other parts installed on the PRI and of the periodic inspection schedule and content applicable to the particular types and designs of elements, installations, components and other parts of the subsystem installed on the PRI; - Carry out all relevant procedures required in operating maintenance; - During operating inspections, carry all necessary documents with them and use the required measuring tools and equipment; - Apply the relevant legislation, regulations, and standards related to the operating inspection and maintenance of PRI. Slovenske železnice-Infrastruktura, d.o.o.

27. 925 - DN01 to 925 - P08 Obligatory contract contents This guidance (DN) provides additional information to »Contracting 925- P08«, aiming to ensure that contracting in its design and conclusion phases includes the provisions necessary for the company and the contractors providing safety-critical services as to perform the functions of the public rail infrastructure manager vis-à-vis administrative bodies, transport operators, and contractors included in the safety management system of the infrastructure manager, customers and partner companies. Slovenske železnice-Infrastruktura, d.o.o.

28. 925 – DN02 Technical train inspection This guidance provides additional information to »Train preparation 925- P11« and ensures that wagons (including leased wagons) are subject to inspection and that brake testing is performed in line with the safety regulations. Slovenske železnice-Infrastruktura, d.o.o.

29. 925 – DN03 Preparation of data for Rail Track Handbook This guidance defines the procedures and obligations of the business units of the infrastructure manager SŽ-Infrastruktura (IM) as regards the preparation of data required by rail operators to draw up the Rail Track Handbook. The data, which is provided to operators by the Planning and Technology Department of SŽ-Infrastruktura, is defined in multiple documents which include the TSI relating to the ‘operation and traffic management’ subsystem, Traffic Rules, Rules on signalling devices, and Rules on brakes, safety devices and equipment of rail vehicles. Slovenske železnice-Infrastruktura, d.o.o.

30. V925 – DN04 to 925 – P20 Establishing conditions for information exchange between IM and rail operator/contractor This guidance provides additional information to »Operation of traffic management and signalling system 925-P20« and ensures that contracting of the IM also arranges the conditions required for proper communication between the IM and rail operators, cross-border IMs, and contractors who are part of the IM‘s safety management system. Slovenske železnice-Infrastruktura, d.o.o.

31. 925 – DN05 Information of employees on work regulations applicable to a particular function This guidance defines the procedures and actions related to drawing up, approving, issuing, communicating and managing work-related information. In line with this guidance, employee information refers to any notice related to technical, organisational and general aspects of business at SŽ-Infrastruktura (hereinafter: the company). Work notices are communicated by the company and by individual segments of the company, and are drawn up by the competent employee for the following purposes: - Establish the procedures and actions applicable to new practices in technological work process; - Specify the procedures and actions applicable to events which are not defined clearly enough in other regulations; - Define the provisions of a particular regulation as to avoid varying interpretations or ambiguity, which could result in disruptions to the work process; - Inform employees of their work duties based on deviations in the technological work process. Slovenske železnice-Infrastruktura, d.o.o.

32. 925 – DN06 to 925 – P14 Emergency management and investigation This guidance provides additional information to Manual 925 - P14 on »Emergency investigation procedure‘ and specifies the procedures on communicating emergency-related information to all relevant parties, institutions and bodies, the written format of emergency reporting, the delivery of the emergency report, the manner of investigation of the emergency, the composition and competences of the emergency investigation commission, the reconstruction of events that led up to the emergency, the formatting and filling out of the emergency investigation report, the delivery of the investigation report, and the recording, monitoring and reporting of the investigation results. Furthermore, the guidance also defines the initial measures in emergencies and the removal of impacts, while giving guidance on traffic management in degraded mode of operation due to an emergency, on communicating emergency-related information, and on making official statements about the emergency. Slovenske železnice-Infrastruktura, d.o.o.

33. 925 - DN07 to 925 – P15 Organisation and implementation of internal control This guidance provides additional information to Manual 925-P15 on »Safety control process« and specifies the organisation and implementation of internal control to ensure rail safety at SŽ-Infrastruktura. Slovenske železnice-Infrastruktura, d.o.o.

34. 925-DN08 Certificate issuing, updating, revoking and register keeping This guidance provides additional information to manuals »Employee competence and training 925-P05«, »Maintaining employee competence 925-P06«, and »Maintaining employee fitness for work 925-P07« and defines how certificates are issued, kept up to date, and documented in a register of issued certificates for employees who directly participate in rail traffic. Slovenske železnice-Infrastruktura, d.o.o.

35. 925-Z01 Safety Log Summary of performed controls of safety-critical activities to 925-P15 The record „Safety Log" is kept in written or electronic format by the safety management. Slovenske železnice-Infrastruktura, d.o.o.

36. 925-Z02 Documentation/ Risk Management to Manual 925- P16 This record contains documentation which is applied in risk management. Slovenske železnice-Infrastruktura, d.o.o.

37. 925-Z03 Safety Control Control list to Manual 925-P15 on performing control of safety-critical company activities This record (925 Z03) is filled out by the safety management according to the specified data. Slovenske železnice-Infrastruktura, d.o.o.

38. 925 - Z04 Emergency investigation forms to Manual 925 - P14 for the process on emergency investigation management The procedures and forms are set out in the Guidance on emergency management and investigation at SŽ-Infrastruktura (925-DN06) Slovenske železnice-Infrastruktura, d.o.o.

39. 925 – S02 Regulation list The list of regulations is kept in written or electronic format in line with 925-P01. Slovenske železnice-Infrastruktura, d.o.o.

40. 925 – S03 Description of work duties This record defines the work duties of the IM‘s workforce. Slovenske železnice-Infrastruktura, d.o.o.

41. LIST OF RELATED DOCUMENTS 925-P01 Monitoring of legal regulations 925-P03 Document management, Process on managing and handling documents 925-S02 Regulation list Slovenske železnice-Infrastruktura, d.o.o.

42. LIST OF RELATED DOCUMENTS 925-P05 Employee competence and training 925-P07 Maintaining employee fitness for work 925-DN08 Certificate issuing, updating, revoking and register keeping Slovenske železnice-Infrastruktura, d.o.o.

43. LIST OF RELATED DOCUMENTS 925-P08 Contracting 925 DNO1 Obligatory contract contents Slovenske železnice-Infrastruktura, d.o.o.

44. LIST OF RELATED DOCUMENTS 925-P11 Train preparation 925 DN02 Technical train inspection Slovenske železnice-Infrastruktura, d.o.o.

45. LIST OF RELATED DOCUMENTS 925-P14 Emergency investigation Process on emergency investigation management 925-DN06 Guidance on emergency management and investigation 925-Z04 Emergency investigation forms Slovenske železnice-Infrastruktura, d.o.o.

46. LIST OF RELATED DOCUMENTS 925-P15 Safety control Process on performing internal control of safety-critical activities 925-DN07 Guidance on organisation and implementation of internal control 925-Z03 Safety control Control list to Manual 925-P15 on performing control of safety-critical company activities 925-Z01 Safety Log Summary of performed controls of safety-critical activities Slovenske železnice-Infrastruktura, d.o.o.

47. LIST OF RELATED DOCUMENTS 925-P16 Risk management Process on performing procedures and methods related to risk evaluation and assessment 925-Z02 Documentation/Risk management Slovenske železnice-Infrastruktura, d.o.o.

48. LIST OF RELATED DOCUMENTS 925-P20 Operation of signalling and traffic management system 925-DN04 Establishing conditions for information exchange between IM and rail operator/contractor 925-DN05 Information of employees on work regulations applicable to a particular function Slovenske železnice-Infrastruktura, d.o.o.

49. Thank you for your attention Slovenske železnice-Infrastruktura, d.o.o. SŽ-Infrastruktura, d.o.o. E-mail:matjaz.kranjc@slo- zeleznice.si Tel:+386 1 29 14 166 Fax:+386 1 29 14 822 Kolodvorska ulica 11 SI-1506 Ljubljana Slovenia