Derogations from Railway Group Standards

Transcription

1 Derogations from Railway Group Standards Synopsis This Standard defines the procedure to be used when a Railway Group Member seeks to regularise a permanent non-compliance with a in circumstances where a revision of that is not appropriate. Submitted by Nick Howland Standards Project Manager Authorised by Richard Spoors Controller, s This document is the property of Railtrack PLC. It shall not be reproduced in whole or in part without the written permission of the Controller, s, Railtrack PLC. Published by Safety & Standards Directorate, Railtrack PLC, Floor DP01, Railtrack House, Euston Square London NW1 2EE Copyright 1998 Railtrack PLC

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3 Derogations from s Page 1 of 8 Contents Section Description Page Part A Issue Record 2 Responsibilities 2 Compliance 2 Health and Safety Responsibilities 2 Supply 2 Part B 1 Purpose 3 2 Scope 3 3 Definitions 3 4 Principles 3 5 Process Leading to the Granting of a Certificate of Derogation 4 6 Content and Validity of the Derogation 5 7 Appeal 5 8 Records 5 Appendix A Form for the Submission of an Application for a Derogation from a Railway Group Standard 6 B Pro-Forma - Certificate for Derogation from a 7 References 8 RAILTRACK 1

4 Page 2 of 8 Issue Record Derogations from s Part A This standard will be updated when necessary by distribution of a complete replacement. Amended or additional parts of revised pages will be marked by a vertical black line in the adjacent margin. Issue Date Comments One Aug Original Document Responsibilities s are mandatory on all members of the Railway Group * and apply to all relevant activities that fall into the scope of each individual s Railway Safety Case. If any of those activities are performed by a contractor, the contractor s obligation in respect of s is determined by the terms of the contract between the respective parties. Where a contractor is a duty holder of a Railway Safety Case then s apply directly to the activities described in the Safety Case. * The Railway Group comprises Railtrack and the duty holders of the Railway Safety Cases accepted by Railtrack Compliance The provisions in this are to be complied with from 3 October Health and Safety Responsibilities In issuing this Standard, Railtrack PLC makes no warranties, express or implied, that compliance with all or any s is sufficient on its own to ensure safe systems of work or operation. Each user is reminded of its own responsibilities to ensure health and safety at work and its individual duties under health and safety legislation. Supply Controlled and uncontrolled copies of this Standard may be obtained from the Industry Safety Liaison Dept, Safety and Standards Directorate, Railtrack PLC, Railtrack House, DP01, Euston Square, London, NW1 2EE. 2 RAILTRACK

5 Derogations from s Page 3 of 8 1 Purpose 2 Scope Part B This Standard defines the procedure by which permanent non-compliance with a requirement of a s (RGS) is regularised by Railtrack Safety and Standards Directorate ( the Directorate ) through the granting of a Certificate of Derogation, in a situation where it is demonstrably not reasonably practicable to achieve compliance. This RGS applies to any requirement of any RGS with which the responsible line management of the Railway Group member concerned identifies a permanent inability to comply, unless the justification for seeking to regularise the position is based on a proposed revision to an RGS. In this latter case GA/RT6001 details the relevant procedure. Where the inability to comply is expected to be temporary, GA/RT6004 details the relevant procedure, unless the justification for seeking to regularise the position is based on a proposed revision to an RGS, in which case GA/RT6001 again applies. 3 Definitions Certificate of Derogation A formal written acceptance, granted by the Directorate in response to an application from a Railway Group member, of a permanent non-compliance with a requirement of an RGS. Designated Competent Authority The person within an applicant organisation who has responsibility for the relevant professional discipline and who is also able to make commitments on behalf of that organisation in respect of the application of risk control measures. Subject Committee A group, drawn from the railway industry, consisting of experts in a particular discipline or disciplines, whose function is to advise the Directorate on the development of s and associated documents and on applications to regularise non-compliances with s. 4 Principles 4.1 Applications to regularise permanent non-compliance falling within the scope of this Standard shall be made by Railway Group members only. 4.2 The decision as to whether such a permanent non-compliance is acceptable shall be made by the Directorate. 4.3 The criteria of acceptability shall be: it has been demonstrated by the applicant that it is not reasonably practicable to achieve compliance; and it has been demonstrated by the applicant that the risk associated with the non-compliance is tolerable; and it has been demonstrated by the applicant that all reasonably practicable steps (including additional control measures, as necessary) have been taken in order to limit the risk associated with the non-compliance; and RAILTRACK 3

6 Page 4 of 8 Derogations from s the Directorate is satisfied that either: a) The application concerns a situation where: it is not reasonably practicable to achieve compliance; and an alternative practice is proposed which is non-compliant with the requirements of an RGS but the risks are tolerable and reduced to ALARP; and the circumstances are so unusual and specific that it is not appropriate to revise the RGS to cater for other similar cases. or b) The application concerns a situation where: the non-compliance was not reasonably foreseeable; and prompt action was taken following discovery of an actual or potential non-compliance to limit the extent of that non-compliance as far as it was reasonably practicable to do so 5 Process Leading to the Granting of a Certificate of Derogation 5.1 The Designated Competent Authority of the Railway Group member seeking a Certificate of Derogation shall submit the case to the Directorate in writing. The submission shall include the following information: the applicant organisation; the RGS, paragraphs/clauses and requirements in question; the nature of the non-compliance; the severity or degree of non-compliance; the geographical scope and /or the items of equipment involved; the reason why it is not reasonably practicable to achieve compliance; the additional risk control measures which are proposed; the risk assessment justifying the applicant organisation s claim that the risks associated with the non-compliance are tolerable and reduced to ALARP; a confirmation by an independent and competent assessor of the validity of this risk assessment; details of when the non-compliance was discovered and what was done and when in order to limit its extent. (This applies where the non-compliance was not reasonably foreseeable). Appendix A details the form to be used for such applications. 5.2 The Directorate shall seek the advice of the appropriate Subject Committee in all cases where application is made for a Certificate of Derogation. 5.3 The relevant responsible Designated Competent Authority of the applicant organisation shall present the case in person to the appropriate Subject Committee. 5.4 The Directorate shall consider the validity of the application against the criteria set out in Paragraph 4.3, taking into account the advice of the Subject Committee and, if satisfied, shall issue a Certificate of Derogation. If the application is refused, the Directorate shall provide an explanation to the Railway Group Member concerned. 4 RAILTRACK

7 Derogations from s Page 5 of 8 6 Content and Validity of a Certificate of Derogation 6.1 The Certificate of Derogation shall contain the following details of the acceptance which has been granted: the applicant organisation; the RGS, paragraphs/clauses and requirements in question; the geographical scope and/or the items of equipment involved; the nature and degree of the non-compliance; the additional risk control measures which are to be implemented for the period covered by the Certificate of Derogation; any other information required in order to define the scope of the acceptance which has been granted and the corresponding obligations of the applicant. Appendix B details a Certificate Pro-Forma. 6.2 There shall be no time limit on the validity of a Certificate of Derogation 6.3 Responsibility for the ongoing management of the safety risk shall remain with the Railway Safety Case Duty Holder concerned. 6.4 Each application for a Certificate of Derogation shall be dealt with on its merits and any decision reached by the Directorate is not transferable to other potentially similar cases not covered by the information submitted under the terms of Paragraph Appeal 8 Records There shall be a right of appeal, by the applicant, to the Director, Railtrack Safety & Standards Directorate in a situation where a Certificate of Derogation is considered to have been unreasonably refused. The Directorate shall maintain records of applications for Certification of Derogation, the responses given and the reasons for these. RAILTRACK 5

8 Page 6 of 8 Derogations from s Appendix A Form for the Submission of an Application for a Derogation from a This form is for illustration purposes only. Applicants shall either produce a replica of this form or obtain an electronic copy of the form from the Controller s (tel ). The boxes should be increased to suit the level of detail applicable to the application. RAILTRACK Safety & Standards Directorate Applications in accordance with Derogations from s. Note: See also Applications made in accordance with GA/RT6001 s Change Procedures (Form B). Applications made in accordance with GA/RT6004 Temporary Non-Compliance with s (Form C). To: Controller, s From: Railway Group Member Railtrack Safety & Standards Directorate Company: 1st Floor DP01 Address: Railtrack House Euston Square London NW1 2EE Telephone Number: Date: Each request shall be accompanied by information under the following headings:- Information required: 1. Derogation is sought from: give Railway Group Standard (RGS) no., issue no, title and clause no(s). 2. Give brief details of requirements from which derogation is sought. 3. Describe the nature of the noncompliance. 4. Give details of the severity/degree of non-compliance. 5. Give details of the geographic scope and/or items of equipment involved. 6. Give reason(s) why it is not reasonably practicable to achieve compliance. 7. Describe the additional risk control measures proposed. 8. Provide the risk assessment justifying the claim that the risks associated with the non-compliance are tolerable and reduced to ALARP. 9. Provide assurance that an independent and competent assessor has confirmed the validity of the risk assessment (at 8. above). 10. Give details of when the noncompliance was discovered and what was done and when, in order to limit its extent. (This applies to where the noncompliance was not reasonably foreseeable.) 11. Attach any documentation supporting this application. Details required from applicant: No: Issue No: Title: Clause no(s): Clause requirement(s): Nature: Severity/Degree: Scope/equipment: Reason(s): Additional risk control measures: Risk assessment: Independent Assessor s confirmation: When discovered/action taken: Attachments: This application for Derogation is supported the appropriate Designated Competent Authority: Print name: signature Position: 6 RAILTRACK

9 Derogations from s Page 7 of 8 Appendix B Pro-Forma - Certificate for Derogation from a R A I L T R A C K Safety & Standards Directorate Certificate for Derogation from a Railway Group Standard () Certificate Number: Applicant: Subject Matter of Derogation: RGS Number: RGS Issue Number: RGS Title: RGS Clause: RGS Clause requirements: Subject Committee Name: Subject Committee Date: Subject Committee Min Ref: Scope of Non-Compliance: Nature and Degree of Non-Compliance: Additional Risk Control Measures: Additional Action/Observations: Authorised by: Certificate Issue Date: Reference: RAILTRACK 7

10 Page 8 of 8 Derogations from s References GA/RT6001 GA/RT6004 s Change Procedure. Temporary Non-Compliance with s 8 RAILTRACK