RAILTRACK THE RAILWAY GROUP STANDARDS CODE June 1998
Explanatory Introduction Railtrack, by virtue of the 1993 Railways Act, its control of the network and the law relating to health and safety, has a central role for system safety and safe interworking on its network. This is described fully in Railtrack s Railway Safety Case. One of the principal ways in which this is achieved is through the setting of appropriate mandatory standards (known as Railway Group Standards) to ensure safety, for application by all persons working on the railway. Railtrack is required, by condition 3 of its Network Licence, to regulate the system of Railway Group Standards by means of a published Code. This is a new version of that Code, which comes into force on 3 October 1998. The Purpose of the Code is to ensure the safe operation of the licence holder s network and railway assets used on or in connection with it, having due regard to a number of public interest criteria which have their origin in the Railways Act 1993 to authorise the Railway Group Standards in force on 31 March 1994, and to set out procedures for introducing new Railway Group Standards and for amending or withdrawing existing Railway Group Standards. These procedures must provide for the participation of all sections of the railway industry, and for full and fair consideration of any proposal for changes to Group Standards. Railtrack s Safety & Standards Directorate (which is independent of Railtrack s Line organisation), is charged with managing the production and upkeep of Railway Group Standards. This means that this Directorate is responsible for ensuring that this Code is appropriate to the needs of the railway industry, and that all the procedures it contains are managed in an open, fair and transparent way. This is a separate process from Railtrack s responsibility, also in its Railway Safety Case, to monitor compliance with Railway Group Standards through safety audit. The Code is set out in twelve sections as follows: 1. Introduction, Purpose and Application 2. Interpretation 3. Definitions 4. Authorisation of Railway Group Standards in force on 31 March 1994 5. Listing of Railway Group Standards 6. Code Decision Criteria 7. Review of Railway Group Standards 8. The Change Procedures for Railway Group Standards 9. Railway Industry Safety Strategy Committee (RISSC) 10. Code Change Procedure 11. Review of the Code 12. Appeals These notes are to help readers understand the Code, but they are not part of the Code. You are recommended to read the appropriate section of the full code. 1
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THE CODE 1. Introduction, Purpose and Application 1.1. This is the Railway Group Standards Code ( the Code ) prepared by the Railtrack Safety & Standards Directorate to meet the requirements of Condition 3 of Railtrack s Network Licence. The Purpose of this Code is set out in Paragraph 3 of that Licence Condition namely: to ensure the safe operation of the licence holder s network and railway assets used or to be used on or in connection with the licence holder s network ( the Purpose ) having due regard to the need: (a) to promote the use and development of the licence holder s network; (b) to promote efficiency and economy on the part of the licence holder and other persons providing railway services on or in connection with the licence holder s network; (c) to promote competition in the provision of such railway services; (d) to impose on the licence holder and other persons providing such railway services the minimum restrictions which are consistent with the Purpose; and (e) to enable the licence holder and such other persons to plan the future of their businesses with a reasonable degree of assurance. 1.2. The Code establishes a set of procedures for the grant or refusal of authorisation of new Railway Group Standards or the amendment or abolition of Railway Group Standards. 1.3. The Code sets out the rights and obligations of Railtrack and other parties so that the processes for Railway Group Standards Change are made clear. The rights and obligations of the parties are enforceable only by the Rail Regulator. - 3 -
1. Introduction, Purpose and Document Application Superseded (continued) by RGSC01 Iss 1 1.4. The Railway Group Standards Code existing on 3rd October 1998 shall, from that date, be substituted by this Code. - 4 -
2. Interpretation 2.1. Railway Group Standards set out requirements for system safety and safe interworking, and are: 2.1.1. technical standards with which railway assets or equipment used on or as part of railway assets must conform; and 2.1.2. operating and management procedures with which all operators of railway assets, including the infrastructure controller, must comply. 2.2. Railway Group Standards address the control of risks to passengers, railway workers and members of the public arising from railway specific hazards associated with: 2.2.1. infrastructure operations and train movements; and 2.2.2. station operations, to the extent that they affect safe train operations or the movement of passengers to and from trains; 2.3. On Railtrack controlled infrastructure, the scope of Railway Group Standards is consistent with the responsibilities of Railtrack as an infrastructure controller under the Railways (Safety Case) Regulations 1994. 2.4. The obligation to comply with Railway Group Standards is incorporated in the Railway Safety Cases of all members of the Railway Group. For specific licensees it is a condition of their licences - 5 -
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3. Definitions Unless the context otherwise requires, in this Code the following words and phrases will have the meaning given below: Change Procedures: the procedures that fulfil the principles and objectives in Section 8 of this Code as set out in Railway Group Standard GA/RT 6001. Code Decision Criteria: the criteria set out at Section 6 of this Code. Directorate: the Safety & Standards Directorate of Railtrack having no commercial functions other than those relating to Safety and Standards and reporting directly to the Chairman of Railtrack PLC. Drafting Group: a team of experts brought together by the Directorate to draw up a new Railway Group Standard, or a revision to an existing Railway Group Standard. Formal Inquiry: A formally structured inquiry generally implemented in the case of high potential or major accidents. Network Licence: the licence granted by the Secretary of State for Transport under Section 8 of the Railways Act 1993 to Railtrack on 31 March 1994, authorising Railtrack: (i) to be the operator of a network; (ii) to be the operator of a train being used on the network for any purposes comprised in the operation of that network; and (iii) to be the operator of a train being used on the network for a purpose preparatory or incidental to, or consequential upon, using a train as mentioned in (ii) above. Proposal: a proposal for a Proposed Railway Group Standards Change. Proposed Railway Group Standards Change: a Proposal which has been accepted by the Directorate for development in accordance with - 7 -
3. Definitions (continued) Railway Group Standard GA/RT 6001. Purpose of the Code: the Purpose of the Code as set out in Paragraph 3 of Condition 3 of Railtrack s Network Licence. Railtrack: Railtrack PLC. Railtrack s Network: the network of which Railtrack is the operator, pursuant to its Network Licence, and which is situated in England, Wales and Scotland. Railway Group: Railtrack PLC and those train and station operators having a Railway Safety Case accepted by the Directorate. Railway Group Standards Change: issue of a new Railway Group Standard, issue of a revised Railway Group Standard or withdrawal of an existing Railway Group Standard. Railway Industry Safety Strategy Committee (RISSC): the committee referred to in Section 9 of this Code. Railway Safety Case: a safety case submitted to and accepted by an Infrastructure Controller or the Health and Safety Executive pursuant to the requirements of the Railways (Safety Case) Regulations 1994. Rapid Response Procedure: the procedure set out in Railway Group Standard GA/RT6001, in response to Paragraph 8.2.8 of this Code. Safety Justification: a document which demonstrates how the Code Decision Criteria have been applied, as set out in Railway Group Standard GA/RT6001. Subject Committees: committees of experts constituted in accordance with Railway Group Standard GA/RT6005, in a particular railway discipline, whose task, as defined in Paragraph 8.2.6 of this Code, is to advise on Railway Group Standards Change. 3.1. Other words and phrases the definition of which is contained in the Railways Act 1993, the Railways (Safety Case) Regulations 1994, and the Network Licence are to be construed as having the meaning thereby attributed to them. - 8 -
4. Authorisation of Railway Group Standards in force on 31 March 1994 4.1. The Railway Group Standards in force on 31 March 1994 listed in the document Catalogue of Railway Group Standards, reference number GA/RM 6501 and dated 31 March 1994, are hereby authorised in accordance with Paragraph 4(a) of Licence Condition 3. 4.2. There have been changes to Railway Group Standards in the period from 1 April 1994 to the date of this Code, which have been authorised under the procedures for Railway Group Standards Change applicable from time to time. - 9 -
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5. Listing of Railway Group Standards 5.1. The Directorate will maintain a current listing of all authorised Railway Group Standards by number, title and synopsis. This listing will be available for inspection and interrogation during normal working hours. 5.2. The Directorate will provide a copy of any Railway Group Standard authorised and the listing to anyone requesting a copy at cost. - 11 -
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6. Code Decision Criteria 6.1. Legislation requires all members of the railway industry to ensure that, so far as is reasonably practicable, employees, passengers and members of the public are not exposed to risks to their health and safety. The Railway Safety Cases, which Railtrack and all train and station operators are required to prepare, commit their respective duty holders to maintain and comply with relevant Railway Group Standards, both technical and operational. Combined with specific commitments in each Safety Case, this ensures system safety and safe interworking on Railtrack controlled infrastructure and adjacent station areas. 6.2. Railtrack s duty, exercised by the Directorate, to establish and maintain Railway Group Standards requires the Directorate to make decisions in matters both of detail and principle, in ways that could significantly influence the safety responsibilities, the methods of operation and the costs of other railway industry parties. To avoid any suggestion that this discretion might be exercised in a partial manner, Code decisions are subject to the tests set out within the Code Decision Criteria. 6.3. The Code Decision Criteria consist of two related factors: the Safety Criterion and the Practical Criteria. The Safety Criterion will take precedence, but where more than one option is able to satisfy compliance with the Safety Criterion, the Practical Criteria will be used to assist with decision making. None of the Practical Criteria has priority over any other but all may require some consideration as to their relative importance in any specific case. 6.3.1. There is an overriding Safety Criterion which requires the outcome of all decisions demonstrably to contribute to levels of risk that are As Low As Reasonably Practicable. In order to comply with safety legislation the safety of employees, passengers and members of the public should be ensured, so far as is reasonably practicable, by all - 13 -
6. Code Decision Criteria (continued) activities undertaken by railway industry parties. Railtrack s Railway Safety Case sets out the methodology for assessment of risks and the means by which the test of reasonable practicality is applied. Railway Group Standards should only ever be created when there is a need to secure system safety or safe interworking by the imposition of technical or operating standards or management procedures which control or reduce the level of risk. 6.3.2. The overall effect of Railway Group Standards must be consistent with the conditions set out in Condition 3 of Railtrack s Network Licence (see above, Paragraph 1.1) To this end the purpose of the Code as defined by the Licence requires Railtrack to take into account the following Practical Criteria in the decisions it takes. These address the potential economic implications of standards as set. None of these will necessarily have priority over any other. These practical factors are: (a) avoiding imposing undue or unreasonable burden of costs on any particular railway industry party/parties; (b) ensuring as far as is practicable that railway industry parties are able to meet existing or future contractual obligations; (c) avoiding unreasonable increases in costs to railway industry parties, of operations, maintenance and capital assets; (d) avoiding unnecessary changes in working practices; (e) avoiding unnecessary need to develop new railway industry practices; (f) avoiding unnecessary barriers to innovation and new services; (g) avoiding as far as practicable, frequent changes in Railway Group Standards; (h) where practicable, developing changes to related Railway Group Standards concurrently; (i) providing railway industry parties reasonable time to make consequential changes within their business for compliance with - 14 -
6. Code Decision Criteria (continued) the changed Railway Group Standard; (j) ensuring Railway Group Standards are sufficiently clear, adequate information is provided and requirements of those affected are clearly defined; and (k) providing railway industry parties the maximum reasonable flexibility in deciding how they best achieve compliance. Note: The list of factors set out in this Paragraph 6.3.2 does not preclude the consideration of other factors where appropriate. 6.4. In any case where there is a dispute between railway industry parties, or with the Directorate, as to the appropriateness of a Railway Group Standard, or as to the need for new or revised standards, the Code Decision Criteria provide all affected with a set of benchmarks, against which they can assess, and/or contest, the merits of individual standards or decisions. Decisions as to the content or scope of any safety cost-benefit analysis undertaken will also be informed by the Code Decision Criteria. 6.5. The Safety Justification Statement will demonstrate how the Code Decision Criteria have been applied. 6.6. In every circumstance where any of the Directorate, RISSC, a Subject Committee, or an interested railway industry party is seeking to influence or determine the scope, application, or detail of a Railway Group Standard, they should inform their deliberations by reference to the Code Decision Criteria. For the avoidance of doubt, the Safety Criterion (set out in Paragraph 6.3.1.) has priority over each of the other matters for consideration set out in this Section 6 in that if the Safety Criterion is not met then the decision by the Directorate not to progress with a change will be made on that basis alone. - 15 -
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7. Review of Railway Group Standards 7.1. The Directorate will take the Code Decision Criteria into account in deciding whether or not a Railway Group Standard should be reviewed, leading to the following decisions:- no change; revision; deletion or a new Standard being formulated. 7.2. Where, having regard to the Code Decision Criteria, the Directorate has reasonable grounds for considering that any review of a Railway Group Standard is required it will pursue it in accordance with Railway Group Standard GA/RT 6001. 7.1. The following events and processes may lead to a review of the relevant Railway Group Standards by the Directorate: 7.3.1. Proposals: such proposals as are envisaged under this Code. 7.3.2. Incident Recommendation: the Directorate receives a copy of all Formal Inquiry reports and recommendations. The Directorate is obliged to consider whether the Formal Inquiry report or its recommendations have any implication for Railway Group Standards. Similar processes apply to the reports and recommendations of public inquiries and HMRI investigations. 7.3.3. Audit: The Directorate undertakes an annual programme of audit of compliance with, and efficacy of, Railway Group Standards. Such audit may give rise to review. 7.3.4. Customer Feedback: The Directorate actively seeks feedback from customers. In addition, customer complaints may result in review of Railway Group Standards. - 17 -
7. Review of Railway Group Document Standards Superseded (continued) by RGSC01 Iss 1 7.3.5. Changed Practices or Technological Development: Changed practices or technological developments may give rise to review. The Directorate keeps changes to practices and developments in technology under review. 7.3.6. Directorate Initiatives: Railway Group Standards are reviewed by the Directorate on the basis of their contribution to controlling individual risks to ensure the safe operation of Railtrack s Network. 7.3.7. Intelligence Gathering: Intelligence is obtained by the Directorate from incident reports, particularly from rail industry safety management information systems, and from contact with customers by personnel in all departments of the Directorate. Information relevant to Railway Group Standards may result in Railway Group Standards review. 7.3.8. Legislation: The Directorate reviews new or changed safety legislation at the stage of public consultation. Railway Group Standards may be reviewed as appropriate. 7.3.9. European Standards: European Standards are reviewed as necessary and may prompt proposals for change to Railway Group Standards. 7.3.10.Railway Safety Case: Railway Group Standards will automatically be reviewed for fitness for purpose at an interval no greater than five years as required by Railtrack s Railway Safety Case. Note: This is not an exhaustive list of the events and processes which may lead to a review of the relevant Railway Group Standards. - 18 -
8. The Change Procedure for Railway Group Standards: 8.1. Principles 8.1.1. The Directorate undertakes to keep the fitness for purpose of Railway Group Standards under review, and is required by Railtrack s Railway Safety Case to monitor compliance with Railway Group Standards through safety audit. 8.1.2. Review of Railway Group Standards shall include identifying which standards no longer meet the Practical Criteria or fail to comply with the Safety Criterion. The outcome of such review may be proposals for new standards, for revisions to existing standards, or for existing standards to be downgraded to a status that no longer carries the force of a Railway Group Standard. 8.1.3. All changes to Railway Group Standards (with the exceptions mentioned in Paragraph 8.1.4 below) are subject to defined Railway Group Standard Change procedures, which are themselves set out in Railway Group Standard GA/RT 6001. This standard will itself be kept under review to ensure that it continues to comply with this Code. 8.1.1. The provisions of the Change Procedures also apply to amendments to the Change Procedures. By exception, in cases where Railway Group Standards GA/RT 6001 Railway Group Standards Change Procedures, GA/RT 6004 Temporary Non- Compliance with Railway Group Standards, GA/RT 6005 Subject Committees and GA/RT 6006 Derogations from Railway Group Standards are to be changed to align with a change to this Code, the provisions of the Code Change Procedure (Section 10 of this Code) will apply. - 19 -
8. The Change Procedure Document for Railway Group Superseded Standards by (continued) RGSC01 Iss 1 8.2 Objectives of the Railway Group Standard Change Procedures: Railway Group Standard GA/RT6001 sets out, in order to comply with this Code, adequate arrangements for ensuring that, 8.2.1. all interested railway industry parties, whether or not Railway Group members, have the right to make Proposals (for change) and appropriate access to the Change Procedures. 8.2.2. the requirements on railway industry parties making Proposals (for change) do not impose an undue burden on those railway industry parties; 8.2.3. the merits of any Proposal are properly and objectively assessed; 8.2.4. all necessary expertise is employed to achieve adequate drafting of New or Revised Standards; 8.2.5. all parties materially affected, or likely to be materially affected, by a Proposal are adequately notified and consulted: (including, to this end, the maintenance of an adequate register of addresses and agreed single points of contact for each organisation); 8.2.6. the implications for any new or revised Standard or withdrawal of an existing Railway Group Standard, of any responses received following consultation are reviewed by a suitably competent Subject Committee; 8.2.7. at the conclusion of all the foregoing procedures, any new or revised Standard is properly approved and authorised by the Directorate, and issued to each member of the Railway Group and consultees, and all other interested parties on request at cost; 8.2.8. there is an appropriate and effective Rapid Response Procedure, - 20 -
8. The Change Procedure Document for Railway Group Superseded Standards by (continued) RGSC01 Iss 1 to cater for changes that, in the interim, require to be progressed, for safety reasons, in advance of the completion of the full procedures; such Rapid Response Procedure not to be an alternative to the full procedures; 8.2.9. there are appropriate procedures (GA/RT6001/4/6) for sanctioning non-compliance with a specific Railway Group Standard where it can be demonstrated that EITHER a) the specific Railway Group Standard no longer complies with the Code Decision Criteria, and is to be revised ; OR b) the sanctioning of such non compliance is consistent with the Code Decision Criteria; 8.2.10.there is an appropriately accessible means for any party that is entitled to appeal against the outcome of any of the Change Procedures, and that all aspects of the Change Procedures are managed with a transparency that ensures that any appeal can be heard with all parties involved in the Change Procedures having full knowledge of all relevant facts. 8.3. Responsibilities for the effective operation of the Railway Group Standards Change Procedures: Whilst the Directorate carries the principal responsibility for the operation of the Change Procedures, other organisations are responsible for ensuring that, when asked, they participate willingly in the following roles, 8.3.1. providing a suitable expert to sit on a Drafting Group; - 21 -
8. The Change Procedure Document for Railway Group Superseded Standards by (continued) RGSC01 Iss 1 8.3.2. nominating and/or providing a suitable expert to sit on a Subject Committee; 8.3.3. ensuring that any Proposed Railway Group Standards Change is adequately reviewed by its organisation, and that comments are sent to the Directorate within the appropriate time scale; 8.3.4. providing a person to sit on RISSC (Section 9); 8.3.5. when materially affected by a particular issue or subject area, providing a representative to sit on an ad-hoc group to advise RISSC (Paragraph 9.4.); 8.3.6. ensuring that any changed requirements of a Railway Group Standard are brought to the attention of those organisations under their control which need to comply with them. Members of Drafting Groups, Subject Committees and RISSC, including all members appointed by Railtrack, are required to act collectively to promote the Purpose of the Code rather than to represent company interests. 8.4. Proposals The Directorate is responsible for ensuring each Proposal is fully and fairly considered in a timely fashion, in accordance with the provisions of Railtrack s Network Licence, and Railway Group Standard GA/RT6001, and taking into account the Code Decision Criteria. 8.4.1. In respect of each Proposal, the Directorate shall, in observance of Railway Group Standard GA/RT 6001, be responsible for a) deciding on the need for drafting in relation to the - 22 -
8. The Change Procedure Document for Railway Group Superseded Standards by (continued) RGSC01 Iss 1 Proposal, and the appointment of any Drafting Group; b) conducting the consultation process including specifying reasonable time scales for responses; c) seeking the input of the relevant Subject Committees, and d) approving, authorising and publishing any resultant Railway Group Standards Change. 8.4.2. The Directorate may decline to consider any Proposal which does not demonstrate, so far as reasonably practicable, that it is consistent with the Code Decision Criteria, together with any proposal that it considers trivial or vexatious. The Directorate shall advise parties submitting such Proposals of any decisions, and the reasons for such decisions, not to consider the Proposals. 8.4.3. Following receipt of a Proposal, the Directorate will make an estimate of the reasonable costs which it will incur in determining the Proposal. Such costs will normally fall to the charge of the Directorate, but where the Directorate considers that detailed Standard development would require it to incur costs which are exceptional, and unreasonable for it to bear in totality, the Proposal will be referred to RISSC for their consideration of whether there should be recovery in accordance with paragraph 4 (b) (iv) in Condition 3 of Railtrack s Network Licence. 8.4.4. Where the Directorate considers that the costs to the Directorate of determining the Proposal are disproportionate to the safety benefit to the railway industry when judged against the Code Decision Criteria, the Directorate shall be entitled to decide not to proceed with determining the specific proposal. The Directorate may, in making such a decision, insofar as it relates to safety considerations, and the application of the Code Decision Criteria, seek the advice of RISSC. - 23 -
8. The Change Procedure Document for Railway Group Superseded Standards by (continued) RGSC01 Iss 1 8.4.5. Where a proposer wishes to challenge the decision of the Directorate in relation to Paragraph 8.4.4, the Appeal shall be dealt with in accordance with Section 12 of this Code. 8.5. Decision Making by the Directorate 8.5.1. Under the provisions of this Code, upon receipt of any Proposal, the first step for the Directorate will be to decide whether to accept, reject, or accept with modifications, that Proposal. As the Proposal is developed by the Directorate through to a new or revised Standard, at each and every decision point the Directorate will take into account the Code Decision Criteria. In regard to decisions concerning the approval of a Proposed Railway Group Standards Change, the Directorate shall also have regard to: a) responses made by consultees; b) advice from relevant Subject Committees as constituted in accordance with Railway Group Standard GA/RT 6005; and c) any advice on strategic issues which may be given by RISSC. 8.5.2. For each decision, the Directorate will publish, to all parties who have been consulted, the decision and the reasons for the decision. 8.6. Issue of a Railway Group Standard 8.6.1. The Directorate will distribute one controlled copy of each new or revised Railway Group Standard to each member of the Railway Group. 8.6.2. The Directorate will also distribute uncontrolled copies of new or revised Railway Group Standards to those other organisations which were consulted on them. - 24 -
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9. Railway Industry Safety Strategy Committee (RISSC) 9.1. The Directorate has identified a need for advice from the railway industry on strategic issues in relation to its role under the Railway Group Standards Code. Such strategic issues will generally be those which could result in significant changes to technology or working practices, and potentially result in Railway Group Standards Change which has significant costs for those affected, or which is contentious for other reasons. To achieve this the Directorate will establish a high level railway industry group (the Railway Industry Safety Strategy Committee) to advise on policy in respect of such strategic issues and on the prioritisation of the Directorate s work in relation to them 9.2. The Directorate: 9.2.1. will consult RISSC on the railway industry s needs in respect of Railway Group Standards Change and on the Directorate s priorities for review under Section 7 of this Code; 9.2.2. will consult RISSC on options to be considered by the Directorate in formulating Proposed Railway Group Standards Change concerning strategic issues; 9.2.3. will consult RISSC when considering Proposals which raise strategic issues; and 9.2.4. may consult RISSC on other matters of material significance to the railway industry in relation to Railway Group Standards. 9.3. RISSC will have due regard to the Code Decision Criteria. 9.4. Where, having taken into account the advice of RISSC and the Code Decision Criteria, the Directorate has identified more than one option to be considered by it in considering Proposals which raise strategic issues, or in formulating Proposed Railway Group Standards Change concerning strategic issues, the - 26 -
9. Railway Industry Safety Document Strategy Committee Superseded (continued) by RGSC01 Iss 1 Directorate will, if so advised by RISSC, set up an ad-hoc group made up of representatives from organisations which may be materially affected by the issue or subject area. The ad-hoc group will, taking into account the Code Decision Criteria, advise RISSC as to the option(s) to be developed. In appropriate cases the ad-hoc group may be a Subject Committee. 9.5. RISSC will be representative of the railway industry parties which may be materially affected by Railway Group Standards Change. The Directorate will, before this Code takes effect, publish a proposed composition and method of selection of representatives for RISSC. When the Code takes effect this proposed composition will have temporary effect. The Directorate will, immediately the Code takes effect, formally consult with the railway industry and publish arrangements for composition and selection of representatives of RISSC. 9.6. RISSC will meet at a frequency consistent with requirements for advice on policy and prioritisation on strategic issues (but will meet at least three times per annum) and work to arrangements consulted upon and published to the railway industry. The Directorate will on behalf of RISSC publish an annual report of RISSC s activities. Minutes of RISSC will be published. 9.7. The Directorate will establish and manage RISSC and its processes and will provide the resources and information necessary for the operation of RISSC, including the appointment of an independent chairman. - 27 -
10. Code Change Procedure 10.1. Proposals for Change Any organisation which is eligible to be consulted on Railway Group Standards Change and which wishes for changes to the Code (which expression includes any change required under Paragraph 8.1.4.), should raise this wish with the Directorate. Proposals for change may come from any such organisation or the Directorate. Such proposals should demonstrate how they enable the Purpose of the Code better to be achieved. The Directorate will copy them to the Rail Regulator. 10.2. Consultation Process 10.2.1.The Directorate will consult on proposed changes to the Code with those organisations which are from time to time on the distribution list referred to in Paragraph 8.2.5. The Directorate will give all such consultees notice of proposed changes and will allow at least 28 days for comment. 10.2.2.Once the Directorate has consulted on proposed changes in accordance with Paragraph 10.2.1 it will forward to the Rail Regulator the change it proposes to make to the Code in order to enable the Purpose of the Code better to be achieved, together with the comments made by the consultees or a summary of them. At the same time the Directorate will indicate to the Rail Regulator the date upon which it intends to issue the changed Code (being not less than 42 days after the date upon which the proposed changes are submitted to the Rail Regulator) and the date upon which it proposes that the changes will take effect. - 28 -
10. Code Change Procedure Document (continued) Superseded by RGSC01 Iss 1 10.3. Issue The Directorate will issue the changed Code no earlier than the date which it indicated to the Rail Regulator. Once the changed Code has been issued, the Directorate will send a copy of it to any organisation which might be consulted on Railway Group Standards Change, and to others on request at cost. - 29 -
11. Review of the Code The Directorate will review this Code from time to time, and in any event after no more than two years, and then at intervals of not more than 5 years, for fitness for the Purpose of the Code and will advise the Rail Regulator of the outcome of such review. The Directorate will make such proposals for change to this Code in accordance with Section 10 as are required to make it fit for the Purpose of the Code. - 30 -
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12. Appeals 12.1. Appeals to the Directorate 12.1.1.Appeals to the Directorate can be made by the following organisations: a) any organisation which has made a Proposal which has not been adopted, or has been adopted with modification; b) any organisation which was consulted, or had an entitlement to be consulted by the Directorate, on a Proposed Railway Group Standards Change; and c) any organisation affected by the application of the Rapid Response Procedure; in each case provided they are likely to be materially affected by the matter on which they are appealing. 12.1.2.Appeals to the Directorate may be on the grounds of: a) the Code Decision Criteria not being properly taken into account in a decision made under Paragraph 8.5; and b) material non-compliance with the Railway Group Standards Change Procedures set out in this Code. 12.1.3.In the case of material non-compliance with the Railway Group Standards Change Procedures an appeal may be made before any decision under Paragraph 8.5, if the non-compliance is likely materially to affect the eventual decision or it concerns alleged undue delay in the process by the Directorate. In the case of appeals concerning the application of the Rapid Response Procedures any appeal will follow the decision resulting from application of that procedure. 12.1.4.Appeals to the Directorate must be lodged in writing within 28 days of - 32 -
12. Appeals (continued) Withdrawn Document notification of the decision or the alleged non-compliance, and the Directorate will deal with them in a timely fashion. An appeal in respect of any delay may be made at any time after giving to the Directorate notice of complaint of the delay if the Directorate has failed within 14 days of that notice to remedy the delay or provide reasonable justification for it. 12.1.5.In deciding on an appeal the Directorate will take the Code Decision Criteria into account. The appeal will be decided by a person of senior status in the Directorate who has not been directly involved in the decision or the alleged non-compliance. The Directorate will publish its decision to those consulted, or entitled to be consulted on the Proposal or Proposed Railway Group Standards Change, together with the reasons for its decision. 12.2. Appeals to the Regulator A Participating Railway Operator, as defined by Railtrack s Network Licence, may appeal to the Rail Regulator against a decision by the Directorate under Paragraph 12.1. Details of the Regulator s Appeals procedure are given in Annex A to this Code. Annex A does not form part of this Code. - 33 -
ANNEX A: THE RAIL REGULATOR S APPEALS PROCEDURE Condition 3 of Railtrack s Network Licence provides that certain decisions of the Safety and Standards Directorate may be appealed to the Regulator but does not set out a procedure for such appeals. For the guidance of Participating Railway Operators, the Regulator has set out below the procedure he would expect to adopt in considering any such appeal. This procedure may be altered independently from the Code, and Operators wishing to make an appeal should check with the Office of the Rail Regulator whether any changes have been made to it. A1. A Participating Railway Operator, as defined in Railtrack s Network Licence, may appeal to the Rail Regulator against a decision of the Directorate under Paragraph 12.1 of Railtrack s Railway Group Standards Code. An appeal must be made within 21 days of receipt, by the Participating Railway Operator, of the written statement of the Directorate s decision and must be made in writing. The Regulator would only expect to accept late appeal in exceptional circumstances. It must be accompanied by a statement in reasonable detail as to the matter in dispute, together with relevant supporting information, and the reasons for making the appeal. A copy will be sent to the Directorate and to such other persons as the Regulator may, by notice to the appellant, require. A2. The Rail Regulator in considering an appeal shall have power: to give directions as to the procedure to be followed in the appeal, including in relation to the making of any written or oral submissions and the dates for their delivery and the extent to which any evidence or any other submissions made by one party to the appeal should be disclosed to the other, or to other railway industry parties; to seek views from other persons (including consultants) better to inform his consideration of the appeal; and to make an interim order as to the conduct or position of the parties - 34 -
Annex A: The Rail Regulator s Document Appeals Superseded Procedure (continued) by RGSC01 Iss 1 pending a final decision (which may include a requirement that the Railway Group Standards Change shall not have effect as specified or shall have effect subject to modification) In deciding whether and how to exercise any of these powers the Rail Regulator will have regard to advice received from the Health and Safety Executive. A3. In determining the matter in question, the Rail Regulator shall have power (after having consulted the Health and Safety Executive) to: direct the Directorate to comply with directions which specify the result to be achieved but not the means by which it should be achieved ( general directions ); uphold the decision made by the Directorate or the procedure followed; or direct the Directorate to make an alternative decision or follow an alternative procedure. A4. Having given general directions, the Rail Regulator shall have power to make such further orders as he considers appropriate to provide the Directorate with guidance as to the interpretation and application of general directions. A5. If in relation to any particular appeal, any final determination of the Rail Regulator is made after the Railway Group Standards Change implementation date to which the dispute relates the Rail Regulator may, if he is of the opinion that in the circumstances of the case the balance of material consideration to all affected persons (taking into account any material prejudice that may thereby result) favours such a course, stipulate in such order or direction that the Railway Group Standards Change shall take effect at a specified time after the implementation date. A6. Before making any order or direction under this Appeals Procedure the Rail Regulator shall consult on the making of such order or direction with the Health and Safety Executive. The views expressed by the Health and Safety Executive in the course of such consultation shall be communicated by the Rail Regulator to the - 35 -
Annex A: The Rail Regulator s Document Appeals Superseded Procedure (continued) by RGSC01 Iss 1 Directorate. The Rail Regulator shall take into account such representations as the Directorate may make within 14 days of such communication in deciding whether or not to make the order or direction. A7. Where any Participating Railway Operator shall have made an appeal to the Rail Regulator, the Rail Regulator shall be entitled to decline to act on the reference if, having consulted the parties concerned and considered the decision of the Directorate, under Paragraph 12.1.5 of the Railway Group Standards Code he shall determine that the appeal should not proceed, including on the grounds that: the matter in question is not of sufficient importance to the railway industry; the appeal is frivolous or vexatious; or the conduct of the appellant ought properly to preclude its being proceeded with; and in the case of an appeal made before a decision under Paragraph 8.5, of the Railway Group Standards Code that the procedure should be allowed to continue through to a decision. - 36 -