Safety Legislation Update
Issue 71
April 2014
Authors:
Wayne Murphy CMIOSH
Senior Risk Analyst
RSSB
Block 2, Angel Square
1 Torrens Street
London EC1V 1NY
020 3142 54942
Wayne.murphy@rssb.co.uk
Railway Safety Legislation Update; No.71; April 2014
Sarah L O’Connor
Team Organiser
RSSB
Block 2, Angel Square
1 Torrens Street
London EC1V 1NY
020 3142 5477
Sarah.l.OConnor@rssb.co.uk
1
Foreword
This Safety Legislation Update has been compiled by RSSB following consideration by the
Railway Safety Legislation Committee. Its aim is to identify emerging and revised health and
safety legislation and supporting documents, which may affect the members of the railway
industry. The update is not a definitive list of legislation and only represents the knowledge
available at the time of going to print. The update is revised quarterly. No representations
are made as to the accuracy and completeness of the information provided.
How to use this update
The Legislation implementation and update status table
This provides details on the proposed implementation dates of the updated/new legislation
contained in this update together with a column showing whether the entry has been
updated or is new to this issue.
Entries and updates

New entries to the update are identified as such in their titles

Significant changes to entries since the previous issue have been identified with a 15%
shading.

Each entry is dated at the end with the month that the entry was last updated.

Entries in the update are deleted once they become law.
Railway Safety Legislation Committee – Terms of Reference
The purposes of the Railway Safety Legislation Committee (RSLC) are to:

Alert RSSB members to actual and potential changes to safety related legislation likely to
impact on their operations or business; and

Seek to influence and respond in such a way as to ensure that RSSB member interests
are recognised, promoted and protected.
The RSLC will:

Disseminate early indications and subsequent information regarding legislative proposals
concerning operational or occupational safety or the management/ reporting thereof.
This includes European, UK national and rail industry specific legislation.

Identify and consider the implications of such proposals for the UK rail industry
Inform and/or review RSSB activity in promoting/protecting its members’ interests in
seeking to influence and/or responding to such proposals.1 This may include preparing
and making available to members template responses to formal consultations.

Where appropriate set up working parties or authorise the engagement of specialists to
assist in meeting the above objectives.

Approve the text of the quarterly Safety Legislation Update.
1. The position adopted by RSSB will be in the interests of overall safety in the industry but should not be seen as
necessarily representing the views of all individual members
Railway Safety Legislation Update; No.71; April 2014
2
Contents
Foreword
2
How to use this update
2
Railway Safety Legislation Committee – Terms of Reference
2
Contents
3
Abbreviations and acronyms
4
Related websites
5
Legislation Implementation and update status
6
Section 1. Railway Specific Legislation –
7
Safety Performance Working Group – Common Safety Indicators & Common Safety Targets 8
Regulation on the Common Safety Methods – Risk Evaluation & Assessment
10
Regulation on the Common Safety Methods – Conformity Assessment
12
Regulation on the Common Safety Methods – Monitoring & Supervision
14
The Fourth Railway Package
15
Section 2. General Legislation
18
Electro-Magnetic Fields Directive (2004/40/EC amended by 2008/46/EC)
19
CD241 – Proposal to review HSE’s Approved Codes of Practice (ACOPs)
21
CD261 – Proposal to replace the Construction (Design and Management) Regulations 2007
and withdraw the associated ACOP L144 New
25
CD243 – Proposal to simplify and clarify Reporting of Injuries, Diseases and Dangerous
Occurrences Regulations 1995 (RIDDOR) reporting requirements.
26
Section 3. Other railway related consultations
27
Section 4. News
28
News
29
Key Diary Dates
30
Court Cases
30
Railway Safety Legislation Update; No.71; April 2014
3
Abbreviations and acronyms
ACOP
Approved Code of Practice
ACSH
Advisory Committee on Safety and Health at Work
ATOC
Association of Train Operating Companies
CER
Community of European Railways
CSI
Common Safety Indicator
CSM
Common Safety Method
CST
Common Safety Target
DfT
Department for Transport
ECM
Entity in Charge of Maintenance
EMF
Electro-Magnetic Fields
ERA
European Railway Agency
HSE
Health and Safety Executive
HSWA
Health & Safety at Work Act
IAB
Impact Assessment Board
ICNIRP
International Commission on Non-Ionising Radiation Protection
IM
Infrastructure Manager
MoJ
Ministry of Justice
NSA
National Safety Authority
NRV
National Reference Value
NTR
National Technical Rule
ORR
Office of Rail Regulation
RE&A
Risk Evaluation and Assessment
RIDDOR
Reporting of injuries, diseases and dangerous occurrences Regulations 1995
RISC
Railway Interoperability & Safety Committee
ROGS
Railways & Other Guided Transport Systems
RSD
Railway Safety Directive
RSSB
Rail Safety and Standards Board
RU
Railway Undertaking
SPG
Safety Policy Group
SPWG
Safety Performance Working Group
TSI
Technical Specification for Interoperability
Railway Safety Legislation Update; No.71; April 2014
4
Related websites
ATOC
www.atoc.org
BIS
https://www.gov.uk/government/organisations/depart
ment-for-business-innovation-skills
DCLG
https://www.gov.uk/government/organisations/depart
ment-for-communities-and-local-government
DEFRA
https://www.gov.uk/government/organisations/depart
ment-for-environment-food-rural-affairs
DfT
https://www.gov.uk/government/organisations/depart
ment-for-transport
European Commission
http://ec.europa.eu/index_en.htm
ERA
www.era.europa.eu/Pages/Home.aspx
Government News Network
http://www.knowledgeview.co.uk/node/10
HSE
www.hse.gov.uk
Law Commission
http://www.justice.gov.uk/lawcommission/index.htm
Network Rail
www.networkrail.co.uk
ORR
www.orr.gov.uk
RAIB
www.raib.gov.uk
RSSB
www.rssb.co.uk
Scottish Law Commission
http://www.scotlawcom.gov.uk
UIC
www.uic.org/
Ministry of Justice
https://consult.justice.gov.uk/
Railway Safety Legislation Update; No.71; April 2014
5
Legislation Implementation and update status
Legislation
Implementation date Updated in
(where known)
this issue?
RAILWAY SPECIFIC LEGISLATION
Safety Performance Working Group – Common Safety Indicators &
Common Safety Targets
2nd set of CSTs
introduced Apr 2011

Regulation on the Common Safety Methods
– Risk Assessment & Evaluation
July 2012 & May
2015

Regulation on the Common Safety Methods
– Conformity Assessment
January 2011

Regulation on the Common Safety Methods
– Monitoring & Supervision
June 2013

The Fourth Railway Package
Unknown

GENERAL LEGISLATION
Electro-Magnetic Fields Directive
October 2013
CD241 – Proposal to review HSE’s Approved Codes of Practice
By the end of 2013
CD261 – Proposal to replace the Construction (Design and
Management) Regulations 2007
Unknown

New
CD243 – Proposal to simplify and clarify the Reporting of Injuries,
Diseases and Dangerous Occurrences Regulations 1995 (RIDDOR)
October 2013

OTHER RAILWAY RELATED CONSULTATIONS
ORR’s Approach to Transparency
Railway Safety Legislation Update; No.71; April 2014
Unknown
6
Section 1. Railway Specific Legislation –
Railway Safety Legislation Update; No.71; April 2014
7
Safety Performance Working Group – Common Safety Indicators &
Common Safety Targets
BACKGROUND
The Railway Safety Directive (2004/49/EC) requires that ERA sets Common Safety Targets
(CSTs) for each member state. Member states are required to provide Common Safety
Indicators (CSIs) data to ERA on an annual basis (as per Annex 1 of the Safety Directive).
MAIN PROVISIONS

Common Safety Indicators (CSIs)
These are designed to produce agreed methods to calculate safety levels in every
member state so that safety can be monitored during the introduction of all other
European safety measures. As with Common Safety Targets, the aim of CSIs is to make
sure that levels of safety remain consistent, or improve during the changes that are being
made.
The agreed indicators are collected by the national safety authorities and delivered to the
Agency. They are published on the Agency web site and amongst other things, allow
accurate reporting for member states to show that they have achieved their Common
Safety Targets (CSTs).
The CSIs are primarily used to assess performance against the CSTs and NRVs,
although additional information is collected, for example on accident precursors and
accident costs.
The regulation implementing the CSI directive in the UK came into force on 26 August
2011.

Common Safety Targets(CSTs)
These are intended to ensure that safety performance is not reduced in any Member
State during the period in which changes required by other directives are being made.
Given the considerable variation in safety performance across the EU at present single
CSTs would not enable individual member states’ performance to be measured so
National Reference Values (NRV) were introduced. NRVs are set at individual member
state level and member state safety performance will be assessed annually against
them. In future the CSTs may be used to set pan-European targets so as to harmonise
safety performance in order to support further market liberalisation.
NRVs and CSTs are expressed in terms of fatalities and weighted serious injuries
normalised by a measure of exposure, such as train km, and cover six areas:
passengers, workforce, unauthorised persons, level crossing users, others, and whole
society.
The second set of CSTs/NRVs were established by an EC decision of 23 April 2012.
CURRENT STATUS
The CSI and CST working groups merged to form a combined working group called the
Safety Performance Working Party (SPWP).
At the European Commissions’ Railway Interoperability and Safety Committee (RISC) on 30
January 2014 the following changes to Annexe 1 of the Railway Safety Directive
(2004/49/EC) which must be reported against in the annual data return were agreed 
1.2 ‘unauthorised persons on railway premises’ has been replaced by ‘trespasser’.
Railway Safety Legislation Update; No.71; April 2014
8

‘Other’ (killed and seriously injured persons) has been separated into ‘other person at a
platform’ and ‘other person not at a platform’.

3. The CSI relating to suicides now includes attempted as well as actual suicides.

4.4. Two rather than one category of SPAD to be reported – SPAD when the train
stopped before getting beyond the danger point and SPAD when the train passed or met
the danger point. This information can be gathered from the risk ranking of the SPAD

5. Safety authorities shall report the economic impact of significant accidents. Previously
NSAs had the choice of reporting the economic impact of all accidents or just significant
accidents. When calculating the costs of casualties, fatalities and serious injuries shall be
considered separately. Fatalities and serious injuries now have a different Value of
Preventing a Casualty (VPC).

6.2 Indicators relating to the technical safety of infrastructure and its implementation. The
number of categories of level crossing has been reduced from 8 to 5.

7. ‘Indicators related to the management of safety’ has been deleted.
RAILWAY INDUSTRY POSITION
The railway industry is responsible for providing CSIs to the ORR by the end of June each
year. RSSB co-ordinates the collation of CSI data and reports this direct to ORR: there is no
longer a requirement for transport operators to include CSI data in the Annual Safety
Reports they submit to ORR. ORR submitted the national CSI data at the end of September
2013 as part of its Annual Safety Report to ERA.
Please pass suggestions for changes to Annex 1 to George Bearfield
george.bearfield@rssb.co.uk ; CER Deputy, or Peter Moran peter.moran@orr.gsi.gov.uk;
UK rail representative. So they can be logged with ERA for consideration by Safety
Performance Working Party; or
Please pass suggestions for changes to the method of assessing performance against
CSTs/NRVs to Marcus Dacre marcus.dacre@rssb.co.uk for consideration by the CST Task
Force.
OTHER INFORMATION
The revised Annex 1 of the Railway Safety Directive is expected to be published in the
Official Journal later this year. This revision will require UK transposition and a further
amendment to the Railways and Other Guided Transport Systems (Safety) Regulations
2006.
DATE UPDATED
April 2014
Railway Safety Legislation Update; No.71; April 2014
9
Regulation on the Common Safety Methods – Risk Evaluation &
Assessment
BACKGROUND
The Railway Safety Directive (2004/49/EC) requires that a series of Common Safety
Methods (CSMs) are developed by the ERA to describe how safety levels, achievement of
safety targets and compliance with other safety requirements are assessed in the different
member states.

Original Regulation
The CSM on Risk Evaluation & Assessment (CSM RA) was developed according to
Article 6(3)(a) of Directive 2004/49/EC (Safety Directive). The Regulation has applied
since 1 July 2012 to all significant changes to the railway system – ‘technical’
(engineering), operational and organisational. The Regulation can be found here:
http://eurlex.europa.eu/LexUriServ/LexUriServ.do?uri=OJ:L:2009:108:0004:0019:EN:PDF

Revised Regulation
Following the work of the CSM RA working group and its task forces, in January 2013, a
revised version of the Regulation was adopted by the Railway Interoperability & Safety
Committee (RISC). The revised version was published in the Official Journal of the
European Union on 3 May 2013 and will apply from 21 May 2015. The principal
amendments relate to the recognition and accreditation of Assessment Bodies. The
revised Regulation can be found here: http://eurlex.europa.eu/LexUriServ/LexUriServ.do?uri=OJ:L:2013:121:0008:0025:EN:PDF
The ORR guidance will be amended in due course.
CURRENT STATUS
 Risk Assessment Criteria
CER has prepared a draft paper on the development of harmonised risk acceptance
criteria for failures of functions of technical systems. RSSB has been engaged in this
work (drafting an annex which analyses CSM design targets against the requirements of
EN50126). The draft paper has generated further comments, particularly from SNCF.
RSSB and SNCF have subsequently been seeking to clarify their different interpretations
of some of the principles of this work. Without agreement on these principles, it is difficult
to see how a harmonised approach to future RAC can be agreed in the short-term.
RAILWAY INDUSTRY POSITION
In June 2014 RSSB will be publishing six Rail Industry Guidance Notes on the application of
the CSM RA in the Railway Group Standard Catalogue  GE/GN8640 Guidance on Planning an Application of the CSM on Risk Evaluation and
Assessment
 GE/GN8641 Guidance on System Definition
 GE/GN8642 Guidance on Hazard Identification and Classification
 GE/GN8643 Guidance on Risk Evaluation and Risk Acceptance
 GE/GN8644 Guidance on Safety Requirements and Hazard Management
 GE/GN8645 Guidance on Independent Assessment
In addition RSSB will also be publishing a revised Taking Safe Decisions Guidance
Document and supporting case studies
Railway Safety Legislation Update; No.71; April 2014
10
The Office of Rail Regulation has published Guidance on how to apply the CSM RA, and in
particular the use of the three risk acceptance principles, this document can be found here http://www.rail-reg.gov.uk/upload/pdf/common_safety_method_guidance.pdf
In December 2013 ORR published their “Policy statement on the relationship between the
CSM for Risk Evaluation and Assessment and other risk assessment requirements”, The
document clarifies the position that all changes must be tested formally for significance, and
subsequently which risk assessment processes should be applied, eg CSM RA or HASAWA.
The document can be found here - http://www.rail-reg.gov.uk/upload/pdf/rgd-2013-06.pdf
DATE UPDATED
April 2014
Railway Safety Legislation Update; No.71; April 2014
11
Regulation on the Common Safety Methods – Conformity
Assessment
BACKGROUND
The Railway Safety Directive (2004/49/EC) requires that a series of Common Safety
Methods (CSMs) are developed by the ERA to describe how safety levels, achievement of
safety targets and compliance with other safety requirements are assessed in the different
member states.
The CSMs on Conformity Assessment have been developed according to Article 6(3)(b) of
Directive 2004/49/EC (Safety Directive).
The CSM for assessing conformity with the requirements for obtaining railway safety
certificates was published on the 10 December 2010 and came into force across Europe on
3 January 2011. It can be found here: http://www.era.europa.eu/DocumentRegister/Documents/Regulation_1158_2010-CSM_on_Conformity_assessment.pdf
The CSM for assessing conformity with the requirements for obtaining railway safety
authorisations was published on the 11 December 2010 and came into force across Europe
on 3 January 2011. It can be found here: http://www.era.europa.eu/DocumentRegister/Documents/Regulation_1169_2010-CSM_on_Conformity_assessment.pdf
MAIN PROVISIONS
The CSMs on conformity assessment sets out the criteria that National Safety Authorities
(NSAs) will use to assess railway undertakings and infrastructure managers safety
management systems (SMS) and network specific requirements. In order to be granted
access to the infrastructure, a railway undertaking and infrastructure manager must hold a
safety certificate or authorisation respectively. The package will contain the following
elements –

Safety Certification Part A – SMS Assessment Criteria and Procedures;
– This is a standard European Certificate – designed to be transferable between
member states.

Safety Certification Part B – Harmonised Requirements, Assessment Criteria and
Procedures;
– This is a network-specific certificate to be issued to cover the particular requirements
of a member state’s network.

Safety Authorisation – SMS Assessment Criteria and Procedures, network specific
Harmonised Requirements, Assessment Criteria and Procedures;
– This is guidance and criteria for the assessment of safety authorisations for
infrastructure managers.
CURRENT STATUS
The EC has issued a mandate to ERA for the revision of the CSM for conformity assessment
and CSM for supervision with the aim of further harmonising approaches among Member
States. The revision will be based on NSA experience of using the CSMs and the findings of
the cross audits. The revision of the CSMs for conformity assessment shall be considered in
relation to the introduction of ECMs for freight wagons, common safety indicators (CSIs),
common safety targets (CSTs), other comon safety methods, technical specifications for
interoperability (TSIs) and existing European standards. The revision will also take account
of the proposed move to a single safety certificate being proposed in the recast of the Rail
Safety Directive. A report and the final reccommendations are expected by July 2016. ERA
Railway Safety Legislation Update; No.71; April 2014
12
will prepare a position paper in spring 20141 to explain how this work will be taken forward
and a new working group will be set up later in the year.
OTHER INFORMATION
ERA SMS Task Force has created SMS guidance to assist duty holders:
http://www.era.europa.eu/Document-Register/Pages/application-guide-for-SMS.aspx
New SMS web pages from the SMS Task Force are on the ERA Website:
http://www.era.europa.eu/Document-Register/Pages/Welcome-to-the-European-RailwayAgency-Safety-Management-Systems-Wheel.aspx
Application guide for the design and implementation of a Railway Safety Management
System was published in May 2013 and can be found here:
http://www.era.europa.eu/Document-Register/Documents/ERA-GUI-10-2013SAF%20V%201.pdf
New Guidance on the Assessment Criteria for non-mainline safety certificates and
safety authorisations under ROGs
Following changes to The Railways and Other Guided Transport Systems (Safety)
Regulations 2006 ORR has taken the opportunity to revise the assessment criteria for nonmainline safety certificates and safety authorisations. The aim is to reduce duplication by
having criteria that are applicable to both infrastructure managers and transport undertakings
together in one place. ORR published new guidance in March 2014, and can be found here http://orr.gov.uk/__data/assets/pdf_file/0019/11719/non-mainline-rogs-certificatesguidance.pdf
DATE UPDATED
1
April 2014
Not published yet
Railway Safety Legislation Update; No.71; April 2014
13
Regulation on the Common Safety Methods – Monitoring &
Supervision
BACKGROUND
The Railway Safety Directive requires that a series of Common Safety Methods (CSMs) are
developed by the ERA to describe how safety levels, achievement of safety targets and
compliance with other safety requirements are assessed in the different member states.
CSMs on Monitoring and Supervision have been developed according to Article 6(3)(c) of
Directive 2004/49/EC (Safety Directive). The Regulations were published in the official
journal on 17 November 2012 and apply from 7 June 2013.
Regulation 1078/2012 CSM on monitoring can be found here:
lex.europa.eu/LexUriServ/LexUriServ.do?uri=OJ:L:2012:320:0008:0013:EN:PDF
http://eur-
Regulation 1077/2012 CSM on Supervision can be found here:
lex.europa.eu/LexUriServ/LexUriServ.do?uri=OJ:L:2012:320:0003:0007:EN:PDF
http://eur-
MAIN PROVISIONS
These CSMs define, as far as they are not yet covered by TSIs, methods to check that the
structural subsystems are operated and maintained in accordance with the essential
requirements.
Monitoring - refers to tasks undertaken by Transport Operators to ensure compliance with
their SMS
Supervision - refers to activities by NSAs to check Transport Operators
CURRENT STATUS
The EC has issued a mandate to ERA for the revision of the CSM for conformity assessment
and CSM for supervision with the aim of further harmonising approaches among Member
States. The revision will be based on NSA experience of using the CSMs and the findings of
the cross audits. The revision of the CSMs for conformity assessment shall be considered in
relation to the introduction of ECMs for freight wagons, common safety indicators (CSIs),
common safety targets (CSTs), other comon safety methods, technical specifications for
interoperability (TSIs) and existing European standards. The revision will also take account
of the proposed move to a single safety certificate being proposed in the recast of the Rail
Safety Directive. A report and the final reccommendations are expected by July 2016. ERA
will prepare a position paper in spring 20141 to explain how this work will be taken forward
and a new working group will be set up later in the year.
RAILWAY INDUSTRY POSITION
The CSM is seen as high level and fits well with the current practices of the ORR and duty
holders, including ORR’s Risk Management Maturity Model (RM3): http://www.railreg.gov.uk/upload/pdf/management-maturity-model.pdf
OTHER INFORMATION
In August 2013 RSSB published Safety Assurance guidance to assist transport operators
with the CSM for monitoring requirements. The document can be found here http://www.rssb.co.uk/NP/SMS/Documents/50817%20Safety%20Assurance%20Guide%20H
ARDCOPY%20V12%20WEB.PDF
DATE UPDATED
1
April 2014
Not issued yet
Railway Safety Legislation Update; No.71; April 2014
14
The Fourth Railway Package
BACKGROUND
The European Commission published proposals for the ‘Fourth Railway Package’ on 31
January 2013.
The package is a complex series of proposals, summarised at:
http://ec.europa.eu/commission_2010-2014/kallas/headlines/news/2013/01/fourth-railwaypackage_en.htm
There are three main components to the technical pillar of the package, where new
proposals for safety legislation are put forward:
•
Interoperability Directive:
http://eur-lex.europa.eu/LexUriServ/LexUriServ.do?uri=COM:2013:0030:FIN:EN:PDF
•
Safety Directive:
http://eur-lex.europa.eu/LexUriServ/LexUriServ.do?uri=COM:2013:0031:FIN:EN:PDF
•
Agency Regulation:
http://eur-lex.europa.eu/LexUriServ/LexUriServ.do?uri=COM:2013:0027:FIN:EN:PDF
MAIN PROVISIONS
The proposals in the Fourth Railway Package focus on four key areas, summarised by the
Vice-President of the European Commission in charge of transport as:

Standards and approvals that work:
The Commission wants to cut the administrative costs of rail companies and facilitate the
entrance of new operators into the market. Under the new proposals, ERA will become a
“one stop shop”, issuing EU wide vehicle authorisations for placing on the market as well
as EU wide safety certificates for operators. Currently vehicle authorisations and safety
certificates are issued by each Member State. The stated expectation is that these
proposed measures would allow a 20% reduction in the time to market for new railway
undertakings and a 20% reduction in the cost and duration of the authorisation of rolling
stock, leading overall, to a saving for companies of €500 million by 2025.

Better quality and more choice through allowing new players to run rail services:
To encourage innovation, efficiency and better value for money, the Commission is
proposing that domestic passenger railways should be opened up to new entrants and
services from December 2019. Companies will be able to offer domestic rail passenger
services across the EU: either by offering competing commercial services or through
bidding for public service rail contracts, which account for a majority (over 90%) of EU
rail journeys and will become subject to mandatory tendering. The stated expectation is
that these proposals would bring clear benefits to passengers in terms of improved
services, increasing choice that, combined with structural reforms, could by 2035
produce more than €40 billion of financial benefits for citizens and companies involved
and would allow provision of up to an estimated 16 billion additional passenger-km.

A structure that delivers:
To ensure that the network is developed in the interests of all players, and to maximise
operational efficiencies, the Commission is proposing to strengthen infrastructure
managers so that they control all the functions at the heart of the rail network – including
infrastructure investment planning, day-to-day operations, maintenance and timetabling.
Faced with numerous complaints from users, the Commission considers that the
infrastructure managers must have operational and financial independence from any
Railway Safety Legislation Update; No.71; April 2014
15
transport operator running the trains. This is essential to remove potential conflicts of
interest and give all companies access to tracks in a non-discriminatory way. It is stated
that, as a general rule, the proposal confirms institutional separation as the simplest and
most transparent way to achieve this. Rail undertakings independent of infrastructure
managers will have immediate access to the internal passenger market in 2019.
However, the Commission can accept that a vertically integrated or “holding structure”
may also deliver the necessary independence, with strict firewalls to ensure the
necessary, legal, financial and operational separation.
Compliance Verification Clause: To safeguard this independence, in view of full
passenger market opening in 2019, rail undertakings forming part of a vertically
integrated structure could be prevented from operating in other Member States if they
have not first satisfied the Commission that all safeguards are in place to ensure a level
playing field in practice, and a fair competition is possible in their home market.

A skilled workforce:
A vibrant rail sector depends on a skilled and motivated workforce. Over the next 10
years, rail will face the combined challenges of attracting new staff to replace the third of
its workforce which will retire, while responding to a new and more competitive
environment. Experience in Member States which have opened their markets shows this
should lead to new and better jobs. Under the EU regulatory framework, Member States
will have the possibility to protect workers by requiring new contractors to take them on
when public service contracts are transferred, going beyond the general EU
requirements on transfers of undertakings.
CURRENT STATUS
In the European Council working group Member States have reached agreement on the
‘general approach’ texts on the Interoperability and Safety Directives. The ‘general
approach’ text of the revised ERA Regulation was agreed at the Transport Council in
February 2014. The general approach texts of the revised Safety and Interoperability
Directives and the ERA Regulation foresee the ERA issuing cross-border vehicle
authorisations and cross-border safety certificates. Domestic-only operators will have a
choice of applying to ERA or the NSA. The European Parliament has considered the
European Commission’s general approach text for the revised Safety and Interoperability
Directives and has proposed a number of amendments. The European Commission,
Council and European Parliament will seek to agree a consensus position on the proposals
later this year.
The European Parliament Transport Committee agreed on the 17 December to adopt the
proposals in the 4th Railway Package including the technical pillar. ERA will become a “onestop-shop” for issuing all vehicle authorisations and safety certificates. Negotiations will
continue between member states through the European Commission. A ‘trilogue’ will now
take place between the Council, the Parliament and the Commission on the general
approach texts of the technical pillar. This will probably not take place until after the
European Parliamentary elections in May. It is anticipated that negotiations on the general
approach texts of the technical pillar will continue until at least autumn 2014.
It is expected that the European Council working groups will meet imminently to discuss the
“Market Opening Pillar” of the Forth Railway Package.
More information on the fourth railway package can be found on European Commission’s
website - http://ec.europa.eu/commission_2010-2014/kallas/headlines/news/2013/01/fourthrailway-package_en.htm
Railway Safety Legislation Update; No.71; April 2014
16
RAILWAY INDUSTRY POSITION
In February 2013, the Commons Transport Select Committee launched a short inquiry into
the European Commission’s Fourth Railway Package. The Committee focussed on what
impact the package will have on rail in the UK. Evidence received from a number of parties,
including TFL, Network Rail and freight organisations, is published at:
http://www.publications.parliament.uk/pa/cm201213/cmselect/cmtran/writev/ec/contents.htm.
The CER ERA Steering Unit is currently working on a position paper on proposed
amendments for the Interoperability Directive, Safety Directive, and ERA Regulation, with
the finalisation expected mid April 20141. ATOC are inputting via this process. The DfT
have invited input though their ‘Interoperability Newsflash’ service, and are holding industry
workshops to consider the proposals under the technical pillar of the package. RSSB has
responded directly to this invitation where appropriate (particularly in relation to the
proposals relating to ‘national rules’).
DATE UPDATED
1
April 2014
Paper not published yet
Railway Safety Legislation Update; No.71; April 2014
17
Section 2. General Legislation
Railway Safety Legislation Update; No.71; April 2014
18
Electro-Magnetic Fields Directive (2004/40/EC amended by
2008/46/EC)
BACKGROUND
This is the third Directive of the suite of physical agents’ Directives. Directive 2004/40/EC
was published in 2004, but was never fully transposed by member states (including the UK)
on the advice of the Commission.
On 29 June 2013, the European Commission repealed Directive 2004/40/EC and published
Directive 2013/35/EU on the minimum health and safety requirements regarding the
exposure of workers to the risks arising from physical agents (electromagnetic fields) (20th
individual Directive within the meaning of Article 13(1) of Directive 89/391/EEC). The
published
document
is
available
here:
http://eurlex.europa.eu/LexUriServ/LexUriServ.do?uri=OJ:L:2013:179:0001:0021:EN:PDF.
Member states have been given 3 years up to 1st July 2016 to transpose the Directive into
national law.
MAIN PROVISIONS
Provisions cover risk assessments; control of exposure (with laid down action values and
exposure limit values); health surveillance and information, instruction and training.
The Directive addresses the protection of workers exposed to electromagnetic fields and the
carrying out of effective and efficient risk assessments, proportional to the situation
encountered at the workplace.
It also defines a protection system that graduates the level of risk in a simple and easily
understandable way and commits the European Commission to producing practical
guidelines to assist employers in meeting their obligations under the Directive.
The Directive contains technical annexes setting out the exposure limit values. Member
States have the option of maintaining or adopting more favourable provisions for the
protection of workers, in particular the fixing of lower values for the “action levels” or the
“exposure limit values” for electromagnetic fields.
CURRENT STATUS
HSE, on behalf of the UK, will continue working with stakeholders to ensure that all
legislative requirements are addressed. They anticipate that a significant number of
requirements will already be incorporated into UK law through the Management of Health
and Safety at Work Regulations 1999, keeping the introduction of any new legislative areas
to a minimum.
The EU will publish a Practical Guide early in 2016, supporting the Directive. HSE are
working with stakeholders to ensure any practical guidance required to support UK
implementation will also be available.
RAILWAY INDUSTRY POSITION
RSSB and LUL representatives will continue to participate in the transposition process,
development of UK guidance and attend industry meetings to confirm the railway’s position
that the legislation should be proportionate to the risk.
The Vehicle Train Energy System Interface Committee has indicated that further research
may be needed to update this report in the light of the revised Directive. Therefore a new a
new Research and Development project (T1051 – Investigation into the effects of applying
the Physical Agents (EMF) Directive in the UK railway system) is in development.
Railway Safety Legislation Update; No.71; April 2014
19
For more information please contact the project technical lead – David Knights;
david.knights@rssb.co.uk.
OTHER INFORMATION
An RSSB report into the implications of the original Directive is available at:
http://www.rssb.co.uk/SiteCollectionDocuments/pdf/reports/research/T515_rpt_final.pdf
DATE UPDATED:
October 2013
Railway Safety Legislation Update; No.71; April 2014
20
CD241 – Proposal to review HSE’s Approved Codes of Practice
(ACOPs)
BACKGROUND
On 28 November 2011 Professor Ragnar Löfstedt published his independent review of
health and safety legislation ‘Reclaiming health and safety for all’. The review reported that
overall a wide range of stakeholders supported the principles of ACOPs; however, it was felt
by many that there was room for improvement.
In his report Professor Löfstedt made the following recommendation: “HSE should review all
its ACOPs”. The Government accepted this recommendation and asked HSE to review its
52 ACOPs.
MAIN PROVISIONS
ACOPs are not law but do hold a special legal status (quasi-legal). By adhering to the
advice in ACOPs material in relevant circumstances duty holders can be confident they are
complying with the law.
HSE is currently reviewing its guidance and presenting it to users in increasing levels of
detail and specificity. These levels of guidance are arranged as follows:

Level 1 – Health and Safety Made Simple and the revised Essentials of Health and
Safety

Level 2 – The ‘brief guide to…’ hazard based leaflets which explain risks in more detail
and provide information on effective control

Level 3 – Guidance which goes into more detail and often includes case studies. This
includes:
a) Industry Guidance (INDGs) which are industry or topic based guidance leaflets aimed
at employers and workers.
b) Health and Safety Guidance (HSGs) which provide more comprehensive, detailed
advice often including case studies and can be either topic or sector based.

Level 4 – Legal series guidance which present Regulations, AcoP advice and guidance
This review aims to make sure that HSE’s portfolio of guidance is useful and balanced;
making it easier for employers to understand and therefore meet their legal responsibilities.
CURRENT STATUS
HSE has conducted an initial review of 32 of its 52 ACOPs. The remaining 20 ACOPs are
associated with ongoing sector specific consolidations or other regulatory amendments and
will be reviewed in the course of the delivery of those processes. Only the ACOPs relevant
to the rail industry are listed in the following table:
Railway Safety Legislation Update; No.71; April 2014
21
Section 1 – Proposals to revise, consolidate or withdraw ACOPs; to be delivered by end-2013
The initial review identified 15 ACOPs that HSE proposes to revise, consolidate or withdraw. If agreed these proposals will be taken forward by the review for delivery by
the end of 2013 – All completed
Section 2 – Proposals to make minor revisions or no changes – to be delivered by end-2014
The initial review identified 15 ACOPs where HSE proposes to make minor revisions or no changes. Subject to the outcome of the consultation, these changes will be
taken forward separately to the review for delivery by end-2014. All are CD241 unless stated
http://consultations.hse.gov.uk/consult.ti/cd241/viewCompoundDoc?docid=66420&partid=67572&sessionid=&voteid=&clientuid=194529
Consultation
Proposal and HSE consultation page
Legionella
HSE has published four documents to replace the original L8 -
L8 Legionnaires’ disease

L8 ACOP on the control of Legionella in water systems published
November 2013 http://www.hse.gov.uk/pubns/priced/l8.pdf

HSG 274 Part 1 Guidance on the control of Legionella in evaporative
cooling systems published November 2013
http://www.hse.gov.uk/pubns/priced/hsg274part1.pdf

HSG 274 Part 2 Guidance on the control of Legionella in water systems
published April 2014 http://www.hse.gov.uk/pubns/priced/hsg274part2.pdf

HSG 274 Part3 Guidance on the control of Legionella in other risk systems
published in November 2013
http://www.hse.gov.uk/Pubns/priced/hsg274part3.pdf
HSE has also launched a dedicated website containing information on
Legionella and how to control risks from exposure to Legionella from manmade
water systems. The website can be found here
http://www.hse.gov.uk/legionnaires/
Railway Safety Legislation Update; No.71; April 2014
22
Consultation
Status
-
Consultation
Proposal and HSE consultation page
Work equipment
CD241 - Retained these three ACOPS, revise and update their contents and
make it clearer what duty holders can do to comply with legal requirements.
L22 Safe use of work equipment
L112 Safe use of power presses
L114 Safe use of woodworking machinery
Lifting equipment
L113 Safe use of lifting equipment
Confined spaces
L101 Safe work in confined spaces
Pressure systems
L122 Safety of pressure systems
Hazardous substances
L132 Control of lead at work
Worker involvement
CD268 - HSE is currently reviewing all three retained ACOPs and has launched
a consultation on them. Consultation can be accessed here http://www.hse.gov.uk/consult/condocs/cd268.htm
23/05/2014
CD241 - Retained and revised, contents update their contents and make it
clearer what duty holders can do to comply with legal requirements.
Not open yet
CD241 - Retained and revised, contents update their contents and make it
clearer what duty holders can do to comply with legal requirements.
Not open yet
CD241 - ACOP is retained and minor amendments made to make it easier for
duty holders to understand what they can do to comply with legal requirements.
Not open yet
CD241 - ACOP is retained and amended to reflect changes to relevant
legislation, remove material that duplicates guidance now made available on
the HSE website and make it clearer what duty holders can do to comply with
legal requirements where required.
Not open yet
CD241 - It is proposed that no changes are required for this ACOP at this time.
Not open yet
L146 Consulting workers on health and safety
Railway Safety Legislation Update; No.71; April 2014
Consultation
Status
23
Annex 2 – ACOPs not reviewed due to ongoing sector specific consolidations of legislation or other regulatory amendments
20 ACOPs have not been reviewed at this time as they are associated with ongoing sector specific consolidations or other regulatory amendments and will be reviewed in
the course of the delivery of those processes.
Consultation
Proposal and HSE Consultation page
Construction
HSE currently consulting on changes to the CDM Regulations and the
withdrawal of the associated ACOP. Proposal CD261 can be found here
http://consultations.hse.gov.uk/gf2.ti/f/19170/525317.1/PDF/-/cd261r.pdf
N/A
The Docks Regulations 1988 will be revoked on 6 April 2014. This Approved
Code of Practice (ACOP), COP25 Safety in docks, will also be withdrawn on
that date.
COP25 Safety in docks applies up to and including 5 April 2014. A new ACOP,
L148 Safety in docks, will apply from 6 April 2014.
N/A
L144 Managing health and safety in construction
Docks
COP25 Safety in docks
Explosives
Consultation CD256 closed. Details of the proposal can be found here
L139 Manufacture of storage of explosives
http://www.hse.gov.uk/consult/condocs/cd256.htm
Consultation
status
24/09/2013
Flammable substances
L93 Approved tank requirements – The provisions for bottom loading
and vapour recovery systems of mobile containers carrying petrol
L133 Unloading petrol from road tankers
Consultation CD264 closed, Details of the proposal can be found here 07/02/2014
http://www.hse.gov.uk/consult/condocs/cd264.htm
COP6 Petroleum-spirit (plastic containers) Regulations 1982
Radiation
No information available
N/A
L121 Work with ionising radiation
OTHER INFORMATION
The ACOP review process is quite a large fluid one with updates and consultations being issued regularly. We will continue to update the RSLU on
the changes made, but as the RSLU is only published quarterly we recommend that readers subscribe to the HSE update service
http://press.hse.gov.uk/subscribe/ to up to date on progress.
DATE UPDATED
April 2014
Railway Safety Legislation Update; No.71; April 2014
24
CD261 – Proposal to replace the Construction (Design and
Management) Regulations 2007 and withdraw the associated ACOP
L144 New
BACKGROUND
The HSE's has opened a consultation on its proposal to replace the Construction (Design
and Management) Regulations 2007 (CDM 2007) which can be found here http://www.legislation.gov.uk/uksi/2007/320/contents/made and withdraw the associated
Approved
Code
of
Practice
L144,
which
can
be
found
here
http://www.hse.gov.uk/pubns/priced/l144.pdf. The proposed Regulations implement in Great
Britain the requirements of Directive 92/57/EEC on the implementation of minimum safety
and health requirements at temporary or mobile construction sites, apart from certain
requirements which are implemented by the Work at Height Regulations 2005. The
proposals support the strategic objectives of improved co-ordination, better value for money,
improved efficiency and use of technological changes in Construction 2025, the
Government's industrial strategy for construction, which can be found here –
https://www.gov.uk/government/uploads/system/uploads/attachment_data/file/210099/bis13-955-construction-2025-industrial-strategy.pdf
MAIN PROVISIONS

The main proposed changes are to:

Make the Regulations easier to understand

Replace the CDM co-ordinator role with the principal designer

Replace the ACOP with targeted guidance

Replace the detailed and prescriptive requirements for individual and corporate
competence with a more generic requirement

Align notification requirements with Directive 92/57/EEC.
CURRENT STATUS
This consultation began on 31 March and ends on 6 June 2014. Details of eth consultation
can be found here - http://www.hse.gov.uk/consult/condocs/cd261.htm?ebul=gdlaundries&cr=10/Apr14
RAILWAY INDUSTRY POSITION
OTHER INFORMATION
DATE UPDATED
April 2014
Railway Safety Legislation Update; No.71; April 2014
25
CD243 – Proposal to simplify and clarify Reporting of Injuries,
Diseases and Dangerous Occurrences Regulations 1995 (RIDDOR)
reporting requirements.
BACKGROUND
Following the recommendations made from the Lofstedt review of Health & Safety
Regulations in November 2011 the HSE led a review of the Reporting of Injuries, Diseases
and Dangerous Occurrences Regulations 1995 (RIDDOR).
The aim was to clarify and simplify RIDDOR and provide a reporting mechanism which is
appropriate for enforcing authorities’ current and anticipated needs.
The HSE consulted on the proposals and the outcome of the consultation can be viewed at:
www.hse.gov.uk/aboutus/meetings/hseboard/2013/300113/pjanb1304.pdf
The impact assessment of the consultation was published in May 2013 and can be found
here http://www.hse.gov.uk/consult/condocs/cd243-update.pdf
MAIN PROVISIONS
The Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 2013
(RIDDOR 2013) came into force on 1 October 2013 and can be found here:
http://www.legislation.gov.uk/uksi/2013/1471/contents/made.

RIDDOR 2013 replace the 1995 Regulations and, among other things:

remove the requirement for suicides to be reported to ORR;

replace the classification of ‘major injuries’ to workers with a shorter list of ‘specified
injuries’;

simplify the list of dangerous occurrences; and

reduces the list of 47 reportable occupational health conditions to eight groups of short
latency occupational diseases.
CURRENT STATUS
HSE has published guidance to RIDDOR 2013, which can be found here:
http://www.hse.gov.uk/riddor/index.htm
RAILWAY INDUSTRY POSITION
RSSB issued a revised version of SMIS containing the revised definitions on 12 April 2014
coinciding with ORR update of their accident reporting system, which can be found here http://orr.gov.uk/what-and-how-we-regulate/health-and-safety/investigating-health-andsafety-incidents/reporting-riddor-incidents.
It should be noted that the change to the definitions in RIDDOR does not impact upon the
mandatory requirement for all Railway Group Members to report into SMIS all injuries to
workforce, passengers and public, as defined in Railway Group Standard GE/RT8047
OTHER INFORMATION
On the 1 November 2013 ORR published rail-specific guidance to RIDDOR 2013, which can
be found here: http://orr.gov.uk/__data/assets/pdf_file/0010/2332/riddor-guidance.pdf. This
includes a new reporting mechanism, which removes the monthly ‘bulk’ reporting of certain
dangerous occurrences.
DATE UPDATED
April 2014
Railway Safety Legislation Update; No.71; April 2014
26
Section 3. Other railway related consultations
Railway Safety Legislation Update; No.71; April 2014
27
Section 4. News
Railway Safety Legislation Update; No.71; April 2014
28
News
Proposals to change evidential alcohol and drug testing on rail transport –
Draft Deregulation Bill
The Draft Deregulation Bill is intended to fulfil three purposes:

“freeing business from red tape”;

“making life easier for individuals in civil society”; and

“reducing bureaucratic requirements on public bodies”.
A Joint Committee of both Houses was appointed in July 2013
to consider the draft Bill which gathered oral evidence from
October-November 2013 and received over 300 written
submissions. The Committee concluded its inquiry in midDecember, publishing its report shortly after. The Bill has since
received its first reading in the House of Commons on 23
January 2014 with the second reading on 3 February 2014. The
draft
bill
can
be
found
here
https://www.gov.uk/government/uploads/system/uploads/attachment_data/file/210035/13070
1_CM_8642_Draft_Deregulation_Bill.pdf
It is currently in the Committee stage and the Government has indicated that it intends for
the Bill to be carried over to the next session of Parliament.
The Bill proposes the introduction of a number of changes to the enforcement of drink
and drunk driving relating to road or rail transport, such as removing the option for
individuals to opt for a replacement blood or urine specimen, making the evidential breath
test the primary means of testing unless there are particular reasons (e.g. medical) why
breath specimens cannot be obtained. These changes would apply to England and Wales
and Scotland.
Certification Body for freight wagon Entities in Charge of Maintenance
Following a review, ORR is to continue to act as the certification body for freight wagon
ECMs. This position will be reviewed again in 2 years, For more information vist ORR
website
http://orr.gov.uk/what-and-how-we-regulate/health-and-safety/regulation-andcertification/rogs/entities-in-charge-of-maintenance
Guidance for Users of Level Crossings
Network Rail has worked collaboratively with ORR
and the Heritage Railway to produce improved
guidance for users of level crossings. The guidance
is based on the user – pedestrian, driver, cyclist or
horse rider - rather than the type of level crossing
they may come across as in previous user
guidance
and
can
be
found
at
http://www.networkrail.co.uk/level-crossings/usinglevel-crossings/
Railway Safety Legislation Update; No.71; April 2014
29
Proposals for Revised Railway Safety Regulations
Subject to Ministerial clearance, ORR hopes to consult
soon on proposed modernised regulations around train
protection and the prohibition of Mark 1 rolling stock.
These draft regulations are intended to update and
improve requirements in existing legislation (primarily
the Railway Safety Regulations 1999 see http://www.legislation.gov.uk/uksi/1999/2244/pdfs/uksi
_19992244_en.pdf and the Railway Safety
(Miscellaneous) Provisions Regulations 1997 see
http://www.legislation.gov.uk/uksi/1997/553/
contents/made), removing regulations were they have
been superseded or are now redundant having served
their purpose whilst preserving legislation in safety
critical areas. The proposals form part of the
Department for Transport’s response to the
Government’s Red Tape Challenge to reduce and
improve legislation wherever possible. Look out for
consultation on this via ORR’s website.
Key Diary Dates
Date
Item
5 April 2014
HSE Health and Safety law poster 1999 version must be replaced by the 2009
poster or leaflet. The new version can be ordered from http://www.hse.gov.uk/pubns/books/lawposter.htm
29 Oct 2018 Train Driving Licences and Certificates Regulations 2010 (TDLCR) –
Requirement for existing drivers (cross-border and domestic) to hold licences
and certificates comes into effect http://www.rail-reg.gov.uk/server/show/nav.2447
21 May 2015 Common Safety Method on Risk Evaluation and Assessment Commission
Regulation (EC) No. 352/2009 will be repealed. Common Safety Method on
Risk Evaluation and Assessment Commission Regulation (EU) No 402/2013
which has been in force since 23 May 2013 will replace it
Court Cases
R v Network Rail Infrastructure Limited appeal hearing (Wrights Crossing; East
Suffolk 3rd July 2010)
On Friday 17 January 2014 the Court of Appeal handed down a judgement relating to the
sentencing of companies who have breached health and safety legislation. The two appeal
cases of R v Sellafield Limited and R v Network Rail Infrastructure Limited, were heard
together and highlight the important role that a company's finances has in determining the
level of fine imposed when sentencing offending companies
Railway Safety Legislation Update; No.71; April 2014
30
Network Rail was fined £500,000 in 2013 for an offence arising out of a collision at an
unmanned level crossing, causing very serious injuries to a child. Sellafield and Network Rail
appealed on the basis that the fines were manifestly excessive1.
Network Rail argued that –

the starting level of fine imposed was too severe given that it had pleaded guilty at the
first opportunity and would only be appropriate for cases where there was more than one
fatality, where the offence caused a public disaster or where the defendant had been
convicted of corporate manslaughter.

The trial judge failed to take in account previous cases where the Court of Appeal
observed that a fine of £666,667 was handed down after two individuals had been killed
was severe

The trial judge failed to give sufficient credit for Network Rail’s record, its commitment to
safety and the improvements it had made.
The court of appeal rejected Network Rail’s appeal, in doing so, the court took into
consideration the financial circumstances of the company and its corporate structure.
Network Rail have a turnover of £6.2 billion and an annual profit of £750 million.
The court ruled that there would have been no basis for criticism had the trial judge imposed
a “materially greater fine” than the £500,000 imposed on Network Rail. The court also stated
that the bonuses of Network Rail’s directors “should have been significantly reduced”
because of the incident and that it approaches sentencing with the purpose of bring home
the seriousness of eth offence to the shareholders and directors of the offending
organisation.
The Court of Appeal concluded that the actual harm caused was “serious; much greater
harm was foreseeable”. In terms on Network Rail’s culpability “there was no evidence of
specific senior management. The failures, serious and persistent though they were, were at
a lower operational levels”
1
The text only includes the findings relating specifically to Network Rail’s appeal
Railway Safety Legislation Update; No.71; April 2014
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