Safety Legislation Update Issue 67 April 2013

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Safety Legislation Update
Issue 67
April 2013
Author:
Suzanne Taberneso
Operational Feedback Advisor
RSSB
Block 2, Angel Square
1 Torrens Street
London EC1V 1NY
020 3142 5492
suzanne.taberneso@rssb.co.uk
Safety Legislation Update; April 2013
1
Forward
This Safety Legislation Update has been compiled by RSSB following consideration by the
Railway Safety Legislation Committee. Its aim is to identify emerging health and safety
legislation, 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
Entries in the Update are deleted once they become law. Significant changes to entries
since the previous issue are in bold. Each entry is dated with the month that the entry was
last updated.
The Legislation implementation and update status table 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.
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
Safety Legislation Update; April 2013
2
Contents
Forward
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 - European Legislation (General)
7
Electro-Magnetic Fields Directive (2004/40/EC amended by 2008/46/EC)
8
Musculoskeletal Disorders
9
Section 2 - EU Legislation (Railways)
11
Safety Performance Working Group – Common Safety Indicators & Common Safety Targets 12
European Regulation on the Common Safety Methods – Risk Evaluation & Assessment
14
European Regulation on the Common Safety Methods – Conformity Assessment
18
European Regulation on the Common Safety Methods – Monitoring & Supervision
20
The Fourth Railway Package - NEW
22
Section 3 - UK Legislation (General)
25
CD243 – Proposals to simplify and clarify Reporting of Injuries, Diseases and Dangerous
Occurrences Regulations 1995 (RIDDOR) reporting requirements.
26
CD248 – Proposal to remove the requirement for the HSE to approve first aid training and
qualifications under The Health and Safety (First-Aid) Regulations 1981 (as amended)
29
CD241 – Proposals to review HSE’s Approved Codes of Practice (ACoPs)
31
CD242 – Proposals to exempt from health and safety law those self-employed whose work
activities pose no potential risk of harm to others
34
Enforcement procedures against drink drivers and other offences
36
CD251 – Proposal to revise the guidance for duty holders to decide the appropriate
arrangements for the provision of first-aid under The Health and Safety (First-Aid)
Regulations 1981 (As Amended) - NEW
37
Section 4 - UK Legislation (Railways)
Level crossing legislation
38
39
Railways and Other Guided Transport Systems (Miscellaneous Amendments) Regulations 41
Section 5 - Other railway related consultations
43
ORR’s Approach to Transparency
44
Consultation on the rules, regulations, coroner areas and statutory guidance - NEW
46
Section 6 - News
48
News
49
Court Cases
49
Safety Legislation Update; April 2013
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
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
Safety Legislation Update; April 2013
4
Related websites
ATOC
www.atoc.org
BIS
www.bis.gov.uk
DCLG
www.communities.gov.uk
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.rail-reg.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/
Safety Legislation Update; April 2013
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Legislation Implementation and update status
Legislation
Implementation date
(where known)
Updated in
this issue?
Electro-Magnetic Fields Directive
October 2013
-
Musculoskeletal Disorders
By end of 2013

EUROPEAN LEGISLATION (GENERAL)
EUROPEAN LEGISLATION (RAILWAYS)
Safety Performance Working Group – Common Safety Indicators & 2nd set of CST’s 
Common Safety Targets
introduced Apr 2011
European Regulation on the
– Risk Assessment & Evaluation
Common
Safety
Methods July 2012

European Regulation on
– Conformity Assessment
the
Common
Safety
Methods January 2011
-
European Regulation on
– Monitoring & Supervision
the
Common
Safety
Methods June 2013
-
The Fourth Railway Package
January 2013
NEW
UK LEGISLATION (GENERAL)
CD243 – Proposals to simplify and clarify the Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1995 (RIDDOR).

CD248 – Proposal to revise the approval of first aid training and October 2013
qualification under the Health & Safety (First Aid) Regulations 1981–

CD241 – Proposals to review HSE’s Approved Codes of Practice

By end of 2013
CD242 – Proposals to exempt from H&S law, the self-employed whose work activities pose no potential risk of harm to others

Enforcement procedures against drink drivers and other offences

-
CD251 – Proposal to revise guidance on the provision of first-aid October 2013
equipment under the Health and Safety (First-Aid) Regulations 1981
NEW
UK LEGISLATION (RAILWAYS)
Level crossing legislation
May 2013
Railways and Other Guided Transport Systems (Miscellaneous Spring 2013
Amendments) Regulations and Guidance

OTHER RAILWAY RELATED CONSULTATIONS
ORR’s Approach to Transparency
N/A
Consultation on the rules, regulations, coroner areas and statutory Summer 2013
guidance
Safety Legislation Update; April 2013
NEW
6
Section 1 European Legislation (General)
Safety Legislation Update; April 2013
7
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 on the advice of
the Commission.
MAIN PROVISIONS
Provisions cover risk assessments; control of exposure (with laid down action values and
limit values); health surveillance and information, instruction and training.
CURRENT STATUS
Although the Directive was published in April 2004, it was postponed to April 2012, and
subsequently the Employment and Social Affairs committee further extended this to 31
October 2013, to provide time for a sensible new proposal to be developed and agreed.
A revised draft document (with a corrigendum) has now been developed and passed to the
European Parliament for negotiation. The HSE, state that this does not signify political
agreement, but is a very important stepping-stone. The European Parliament is now
looking at both the original Commission proposal, and the proposal that has emerged from
Council, and working towards a first reading relatively soon.
The draft documents are available at;
http://register.consilium.europa.eu/pdf/en/12/st14/st14020.en12.pdf
The corrigendum containing corrections to the text here:
http://register.consilium.europa.eu/pdf/en/12/st14/st14020-co01.en12.pdf
The draft directive is now based upon The International Commission on Non-Ionising
Radiation Protection (ICNIRP) recommendations and offers more flexibility than the original
published directive. It is intended that there will be a supporting Commission Practical
Guide that may simplify the compliance process by provision of information on the
application of the directive in practical situations. The HSE continue to actively encourage
the European Commission to develop a Directive that is proportionate to the risks and does
not put unnecessary burdens on UK businesses.
Once the text of the Directive is finalised, the HSE will update the impact assessment and
prepare for transposing the regulations into UK law. Guidance is also planned.
RAILWAY INDUSTRY POSITION
RSSB and LUL representatives will continue to monitor progress and attend industry
meetings to press the railway’s position that the legislation should be proportionate to the
risk. We will continue to brief interested stakeholders, the industry working group and
maintain contact with the HSE. RSSB welcomes industry comment on the drafts and will
collate any comments on behalf of the UK rail industry for forwarding to the HSE. Please
email 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:
November 2012
Safety Legislation Update; April 2013
8
Musculoskeletal Disorders
BACKGROUND
Following consultation exercises in 2004 and 2007 into the best way to provide increased
protection against musculoskeletal disorders (MSDs), the European Commission (EC)
proposed a new Directive which would merge the existing Manual Handling and Display
Screen Equipment directives.
In November 2008 the EC’s Advisory Committee on Safety and Health at Work (ACSH)
established a working party including UK employers’ representatives to prepare an opinion
on the development of further legislative initiatives on MSDs. In 2011 the Commission
decided that a new Directive combining and extending the Manual Handling Directive and
an updated Display Screen Equipment Directive should be developed.
Publication of the draft Directive had been expected in April 2012 following scrutiny of the
Impact Assessment by the Commission’s Impact Assessment Board (IAB) on 28th March
2012. However, the IAB rejected the proposal/assessment, because of concerns over the
impact of the proposal on small and medium enterprises. The IAB requested that DG
Employment Health & Safety Unit (DG Employment) resubmit a revised Impact
Assessment (IA).
Late in 2012 the European Commission announced that it was considering options
to progress work on this dossier. It appears that the EC is actively considering
producing a council recommendation rather than a new directive.
The HSE expects the EC to consult on this proposal in spring 2013. The EC hopes
that the finalised text will be adopted by the European Council before the end of
2013.
MAIN PROVISIONS
The proposal requires all tasks with a physical component to be assessed using four risk
factors: repetitive motion, awkward postures, force and contact stress – although these are
likely to be added to. Vibration is not included, however, as this is covered by the Physical
Agents’ Directive. More workplaces are likely to be covered than hitherto (e.g. train driving
cabs).
CURRENT STATUS
The ergonomics/musculoskeletal disorders dossier is currently being blocked in the EC.
An inter-service steering group (comprising representatives of different Commission DGs)
discussed this dossier on 4th September 2012. There was dissatisfaction expressed with
the current impact assessment (IA), in particular the Commission Secretariat General
highlighted that the IA did not provide enough evidence to support the choice made to
come forward with a new directive in this area.
Following a meeting at the end of September 2012 between DG Employment Director
General and the Andor cabinet, it was decided that they needed to reflect and potentially
adapt the different options they were considering. The EC now favour a Council
Recommendation on Ergonomics (including MSDs) rather than a Directive. They want to
deliver this recommendation before the end of 2013. The ACSH Working Party met on
the 19th February 2013 and the 13th March to discuss the dossier.
Terry Woolmer, from EEF is the UK business representative on the Working Party.
Safety Legislation Update; April 2013
9
UK POSITION
It is not yet known what impact a recommendation might have on the UK. While it will not
be legally binding on Member States (MS), there is an expectation that MS will take note of
or act upon its contents.
Although HSE welcomes the news that the Commission is considering alternatives to a
Directive, have not seen the draft text and is unable to provide any comments at this time
RAILWAY INDUSTRY POSITION
The potential impact on train driving cabs could be significant to the industry, particularly
with older rolling stock.
RSSB’s research called ‘T940 - Identifying, quantifying and managing the risk of
musculoskeletal injuries and illness among train drivers’ was published on 17th April 2012.
The report can be viewed at:
http://www.rssb.co.uk/sitecollectiondocuments/pdf/reports/research/T940_rb_final.pdf
The launch of the MAT Tool (Musculoskeletal Disorder Risk Assessment for Train Drivers)
took place in March 2012, and was held at RSSB’s offices in Angel. The event was
targeted at individuals who are involved in assessing and managing health risks in train
drivers.
The tools are available to RSSB member companies who employ train drivers.
OTHER INFORMATION
The HSE and the Health and Safety Laboratory (HSL) produced a downloadable tool called
The Assessment of Repetitive Tasks (ART) tool. This tool helps organisations reduce the
likelihood of their employees suffering from MSDs of the upper limbs associated with
repetitive tasks. http://www.hse.gov.uk/msd/uld/art/.
For more information see:
http://www.hse.gov.uk/aboutus/europe/euronews/dossiers/msd.htm
DATE UPDATED
March 2013
Safety Legislation Update; April 2013
10
Section 2 EU Legislation (Railways)
Safety Legislation Update; April 2013
11
Safety Performance Working Group – Common Safety Indicators &
Common Safety Targets
BACKGROUND
The Railway Safety Directive (2004/49/EC) requires that a series of Common Safety
Targets (CSTs) are set by the ERA on each member state. Member states are required to
provide Common Safety Indicators data (as per Annex 1 of the Safety Directive) to the ERA
annually.
MAIN PROVISIONS
The Safety Directive requires CSTs to be implemented for:

Individual risks relating to passengers, staff including the staff of contractors, level
crossing users and others, and, without prejudice to existing national and international
liability rules, individual risks relating to unauthorised persons on railway premises;

Societal risks.
The first set of targets (known as the National Reference Values (NRVs)) was introduced in
April 2009 and the second set in April 2011.
CURRENT STATUS

Common Safety Targets:
First assessment of the second set of CSTs/NRVs (other two were against the first set).
Even though the second set of CSTs/NRVs have not yet been formally adopted they
have been used by the ERA in the assessment of the 2010 performance.
The ERA Safety Performance Annual Report for 2012 can be viewed on the ERA website.
The only member state to fail one of the NRVs was Sweden for NRV 5 relating to
unauthorised persons. The ERA has asked the Swedish NSA to investigate this increase
further. This highlights a problem with the NRV assessment process - although Sweden
has one of the lowest Fatality and Weighted Serious Injury (FWSI) rates of all the member
states for NRV 5 it is being asked to investigate the increase in risk further, when some of
the other member states, that have FWSI rates an order of magnitude higher, have
achieved their NRVs and no further action is required.
This was discussed with the Safety Performance working group and logged as an issue to
be discussed when the CSM for the CSTs are reviewed next year.
A task force has been set up for the revision of the methodology for calculating
CSTs. Marcus Dacre (of RSSB) is a member of this task force. They met for the first
time in March 2013 and their work will be discussed within the Safety Performance
Working Group (SPWG), before a recommendation is made to the EC by the 30 th
June 2015.
Safety Legislation Update; April 2013
12

Common Safety Indicators guidance
A small number of additional changes to the CSI guidance document have been agreed
and a revised version of the document is now available on the ERA website.
Further proposals to revise Annex 1 have been developed and were agreed by the
SPWG in February 2013. The main changes are to the classifications of level
crossings, resulting in the number of level crossing types being reduced from 8 to 5.
Potential changes to the collection and calculation of economic indicators will be
discussed by the SPWG in due course following recommendation of the EC to omit
this from the data collection process.
Potential future proposals for the further revision of Annex 1 are being developed but no
timescales are yet agreed for this revision. Please pass any suggestions you have for
required changes to Annex 1 to George Bearfield at RSSB so they can be logged with ERA
for consideration by the SPWG in due course.
RAILWAY INDUSTRY POSITION
The railway industry, via RSSB, is responsible for providing the CSI data to the ORR by the
end of June each year and the ORR has to submit the data to the ERA by the end of
September. ORR sent its 2011 annual report to ERA at the end of September 2012. The
report is compiled using RSSB-collected CSI data and provides an overview of ORR’s
activities during the previous calendar year. The ERA uses a predefined methodology to
assess progress against the NRVs. Should performance fail to meet the NRVs, the
responsibility for initiating corrective actions rests with the member state (DfT and ORR)
although this will inevitably cascade down to the industry.
TRL and RSSB presented their joint work on precursors at an ERA workshop in
February 2013. The collection of precursors varies across member states and the
inclusion of additional precursors in the CSI data collection will be discussed
through the SPWG in due course.
OTHER INFORMATION
The revised NRVs were published in the 2011/12 Annual Safety Performance Report
(ASPR), which is available on the RSSB website.
For further information please email george.bearfield@rssb.co.uk
DATE UPDATED
April 2013
Safety Legislation Update; April 2013
13
European 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.
The ‘CSM on Risk Evaluation & Assessment’ has been developed according to Article
6(3)(a) of Directive 2004/49/EC (Safety Directive).
Following the work of the CSM on Risk Evaluation & Assessment working group and
its task forces, in January 2013, a revised version of the CSM on Risk Evaluation &
Assessment was adopted by the Railway Interoperability & Safety Committee (RISC).
The revised regulation will be available when it is published in the Official Journal of
the EU.
MAIN PROVISIONS
The Safety Directive required that a first set of CSMs covering risk evaluation and
assessment methods be adopted by the Commission by July 2012. The CSM on Risk
Evaluation and Assessment (the CSM) has been developed by the ERA based on an
examination of existing methods in the Member States.
The methods developed by the ERA (with the support of the CSM Working Group) are
predictive methods to be applied in order to assess the safety of any significant changes
brought to the railway system. The CSM applies to the whole rail system and covers the
assessment of the following changes:

Construction of new lines or significant changes of existing lines.

Introduction of new and substantially modified technical systems/sub-systems/
equipment.

Operational changes (such as new or substantially modified operational rules and
maintenance procedures).

Significant changes within RU/IM organisations.
The overall process for the CSM relies on hazard identification followed by an assessment
of acceptability via a demonstration that the identified hazards are controlled by, either:

The application of codes of practice (TSIs, NTRs, recognised standards, etc),

Comparison with similar reference systems
or

The application of explicit risk assessment and comparison with risk-acceptance
criteria.
CURRENT STATUS
The first phase of the Regulation, implemented on 19 July 2010, applied to significant
technical changes affecting vehicles and all significant changes concerning structural
subsystems.
Safety Legislation Update; April 2013
14
The regulation became applicable in full from 1 July 2012.
A guidance document has been issued by the ERA to accompany the Regulation. The
CSM Risk Assessment Working Group is expected to periodically review and update the
ERA guidance to ensure it remains fit for purpose, and to monitor the output from the CSM
task forces.
The ORR updated their guidance in December 2012. This can be viewed on the ORR
website.
Several task forces were established to work on the various elements of the CSM on Risk
Evaluation & Assessment, these were –

Significant Change

Roles and Responsibilities of Independent Assessment Bodies (RRIAB)

Risk Acceptance Criteria (RAC)
The RRIAB task force and the RAC task force have now concluded their work, and the
outputs of these two task forces were considered by the task force set up to develop the
text of the recommendations on the revised CSM Regulation

Significant Change Task Force
A key element of the regulation is that a duty holder must use a consistent approach
when assessing and introducing a ‘significant’ change. The regulation contains
guidelines on how to assess the significance of the change, but it is left to the duty
holder to determine whether a change is ‘significant’ and therefore when the processes
will apply.

Roles and Responsibilities of Independent Assessment Bodies Task Force
The regulations currently require that for projects intended for the international market,
the use of an accredited body should be mandatory. However, the ORR is proposing
the development of less rigorous requirements for purely domestic projects, which
would allow the use of internal assessment bodies. The ORR has approached UK
sector representatives in order to determine whether to continue to pursue this
approach for domestic projects.

Risk Acceptance Criteria Task Force
In terms of explicit risk estimation, the regulation currently defines one specific example
of risk assessment criteria, for the case of failures of technical systems: For technical
systems where a functional failure has credible direct potential for a catastrophic
consequence, the associated risk does not have to be reduced further if the rate of
failure is less than or equal to 10-9 per operating hour.
Risk acceptance criteria are to be defined so that they are sufficient, but not necessary.
The main advantage of this approach is that equipment manufacturers will know what
the minimum risk criteria is to which a system must be built for it to be accepted in all
member states.
Safety Legislation Update; April 2013
15

RAC for risks related to human actions
The ERA established a task force to make further progress on the topic of RAC for risks
related to human actions. In relation to this, ERA launched a dedicated study. The
tender procedure ended with the selection of the Swedish company MTO Safety.
Part of the terms of reference for the TF is to follow the work of the study, in order to
enable its outcome to be used as a basis for the development of a proposal for further
harmonised RAC in the framework of the CSM Regulation. The final report of the
Task Force was published on the ERA website in February 2013.

Drafting task force to revise the CSM regulation
The aim of this drafting task force was to develop the text of the recommendations on
the revised CSM Regulation, taking into account the work done by the first three task
forces. One of the key aims of the task force was to expand the current criterion, as
defined in the Regulation, to cover functional failures of technical systems with direct
potential for non-catastrophic outcomes. The task force met for the final time on 13
October 2011, and ERA subsequently submitted a report to Commission at the end of
December 2011. This report summarised the experience collected on the use of the
current CSM Regulation and included as annex the draft text of the revised regulation
(excluding modifications to paragraph 2.5.4 on Risk Assessment Criteria, which were to
be delivered at a later date).
The proposed text for criteria of paragraph 2.5.4 was, at the request of ERA, subject to
a validation exercise by CER; a CER-agreed position paper was delivered to ERA,
containing the proposed modifications to paragraph 2.5.4. These modifications were
considered by the CSM WG on 21 February 2012, but the WG did not feel in a position
to accept the proposed revisions at that time. This position remained at the ERA WG
meeting on 31st May 2012, and the text of 2.5.4 in the revised regulation therefore
remains unchanged compared with the existing Regulation.
RISC agreed the text of a revised CSM for risk assessment at their meeting held on
23rd and 24th January 2013. The main changes from the current regulation concern the
need for accreditation/recognition of assessment bodies used within the risk
management process. The regulation will come into force when it’s published in the
Official Journal and will apply two years after that date.
CURRENT STATUS
In January 2013, ERA issued an information note outlining its plan for the way
forward with the development of harmonised Risk Acceptance Criteria for Technical
Systems (RAC-TS) as a part of future revision(s) of the CSM for Risk Assessment (ie
after the version that will come into force during 2015). The note was been sent to
the members of the NSA Network and to the Network of Representative Bodies
today. This document sets out a proposal for RAC, which ERA states needs to be
validated by the European railway sector. Sector bodies have been invited to start a
process of response. An initial meeting of CER/EIM representatives met in March
2013 to consider a way forward. RSSB attended on behalf of ATOC. The meeting
identified a list of questions/issues where the group felt there was disagreement or
lack of common understanding among sector representatives. The clarification of
these issues is to form the first part of a staged process towards responding to the
ERA proposal. Getting agreement across the sector, and with ERA, regarding both
the positions on the outstanding issues and the associated implications for how the
validation process should be carried out will be crucial. A series of meetings
involving a task force of sector representatives is to be scheduled.
Safety Legislation Update; April 2013
16
RAILWAY INDUSTRY POSITION
As risk assessment is a familiar concept in the UK, it is not expected that the application of
the CSM will require any major changes in approach.
The ORR is required to report on the implementation of the CSM Regulation in its annual
safety report to ERA. RSSB has developed a guidance note on how to apply the CSM to
organisational change. It is available on the RSSB website. The guidance is included as
an Annex to the revised ORR guidance which was published in December 2012. ORR
Guidance.
OTHER INFORMATION
Further information can be sourced from RSSB’s website: ‘Management of
Engineering Change’.
DATE UPDATED
April 2013
Safety Legislation Update; April 2013
17
European 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 “CSM on Conformity Assessment” is being developed according to Article 6(3)(b) of
Directive 2004/49/EC (Safety Directive).
MAIN PROVISIONS
The CSM on conformity assessment sets out the criteria that National Safety Authorities
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;
–

Safety Certification Part B – Harmonised Requirements, Assessment Criteria and
Procedures;
–

This is a standard European Certificate – designed to be transferable between
member states.
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 CSM for Conformity Assessment was published in December 2010 and came into
force across Europe on 3 January 2011.
The new European assessment criteria can be found on the ORR website (http://www.railreg.gov.uk/server/show/nav.1520), and the revised ORR guidance document was
published on 13th April 2011, which can be viewed at: http://www.railreg.gov.uk/upload/pdf/cert_auth_criteria_mainline.pdf
It is not foreseen that the new assessment criteria will mean many changes to existing
safety management systems, although there will be some changes to the information that
needs to be provided in support of an application for a safety certificate / authorisation.
Further amendments to the CSM are possible due to the difficulty some NSAs are
experiencing with the award of safety certificates under (2004/49/EC).
A peer review on authorisations for placing into service began last year. The UK review
took place in early 2011. A final report was produced in November 2011.
Safety Legislation Update; April 2013
18

Migration Strategy
As required by the Railway Safety Directive, the ERA has been planning a migration
strategy to a single safety certificate, valid across the EU. The ORR responded to the
ERA’s consultation on the migration strategy during May 2011. There was a workshop
held by the ERA on 29th June 2011 which discussed the results of the consultation
exercise and the Agency’s proposal for the migration to a single European safety
certificate. The Commission asked ERA to set out in a recommendation what changes
to the Safety Directive will be required, and if any new regulations will be needed. This
is now in the current draft of the revised safety directive, under consultation as part of
the 4th Railway Package. ERA has also committed to produce a progress report on the
implementation of the migration strategy, and intends to set up a programme board to
bring together input from work streams such as risk assessment and operational rules.
The CSM also requires the National Safety Authorities (NSA’s) to supervise
Infrastructure Managers and Railway Undertaking in a consistent manner across
Europe. This is facilitated through Commission Regulation No 1077/2012 (CSM for
Monitoring & Supervision, see page 19), which comes into force on 07 June 2013
setting out the NSAs obligations.
RAILWAY INDUSTRY POSITION
The general position expressed by the sector at the workshop was largely positive in
that the concept of a move towards a single safety certification could indeed be a step
forward in the longer term. However there was a degree of caution expressed by certain
sector bodies (including CER) that it may be too soon to make such a significant change
given that the current system has not yet been fully implemented in all Member States and
that there is still a wide degree of variation in both experience and understanding in
implementing the requirements of the RSD.
There is not currently a high degree of
technical standardisation across Europe, which implies some on-going need for Part B
assessment.
These concerns were mitigated in part by the ERA stating that the
timescales for introducing a single safety certificate would be 2020 and that there would be
a robust development and transition strategy in place accordingly.
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
The final meeting of the ERA SMS Task Force took place on 22nd November 2012, when it
discussed the development of Safety Culture and Human Factors Guidance in relation to
SMS. This is expected to be published in early 2013.
DATE UPDATED
January 2013
Safety Legislation Update; April 2013
19
European 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 are being developed according to Article 6(3)(c) of
Directive 2004/49/EC (Safety Directive).
The “CSM on Monitoring and Supervision” working group agreed the main concept of the
CSM in June 2010.
MAIN PROVISIONS
As part of the CSM monitoring, rules will be created, focussing on railway undertakings’
and infrastructure managers’ self-supervision and audit to ensure ongoing compliance with
safety management systems after the award of a safety certificate. As this necessarily
affected the approach National Safety Authorities (NSA) should take to monitoring the
SMS, the working group also considered the NSAs’ role. This included developing
harmonised principles for post award supervision by NSAs in the CSM on Supervision.
CURRENT STATUS

Monitoring
The industry sector taskforce agreed that the CSM on Monitoring shall be applied by
RUs, IMs and ECMs who will also ensure that the risk control measures implemented
by their sub-contractors are also monitored in compliance with the CSM.
RUs, IMs and ECMs who already have methods or tools in place for monitoring may
continue to apply them so long as they are compatible with the provisions of the
Regulation and described in the SMS of the RU/IM or described in the system of
maintenance of the ECM.
The main requirements of the Regulations are that Transport Operators will need to
write Strategies and Plans for Monitoring, to be included in their SMSs or be referenced
within the SMS. These should coordinate the various monitoring activities such as
audits, measuring SPIs, inspections and recommendations from accident
investigations. The monitoring should prioritise resources on the basis of risk and
should lead to action plans to do the following where relevant:
–
correctly implement controls
–
improve existing controls
–
add new controls
RSSB has published guidance for industry on the CSM for monitoring: RSSB
Guidance.

Supervision
The separate task force drafting the Regulation on Supervision by NSAs agreed that all
NSAs undertake some sort of planning in order to carry out inspections and audits, and
that they are, or should be, risk-based. The NSA task force issued a draft regulation for
task force members to review. ERA proposed that the CSM contains a general
Safety Legislation Update; April 2013
20
requirement for NSAs to produce a strategy on how to supervise RUs and IMs and this
links to their supervision plan; however NSAs will be given freedom on how the
supervision plan is drawn up and executed, and on how they manage the competence
of their staff in order that they are appropriate to the NSA and the IM / RUs.
Under the regulation, an NSA will be required to:
–
–
–
–
–
–
Have a strategy and plan(s) for supervising IMs and RUs;
Have clear techniques for how to conduct their supervisory activities;
Have clear links between the assessment for safety certificates / authorisations and
supervision activity;
Operate a competence management system for those conducting supervision
activities;
Utilise decision making criteria when evaluating IM and RU activities;
Where necessary (such as cross border railway operation activity) that two or more
NSAs cooperate and coordinate their supervisory activity.
A Task Force made up of representatives across the NSA’s has met regularly, to develop
guidance on how the supervision will be conducted.
The International Liaison Group of Government Railway Inspectorates (ILGGRI) has
currently held three supervision task force meetings. ERA has also held a task force and
has produced guidance on how an NSA can use the CSM to implement a supervision
system. ERA Guidance.
Regulation 1078/2012 the CSM on Monitoring and Regulation 1077/2012 – the CSM on
Supervision (covering IMs, RUs & ECMs) came into force on 07 December 2012 and
applies from 07 June 2013.
The Regulations were published in the official journal on 17th November 2012 and can be
viewed in the links below.
Regulation 1078/2012 – CSM on monitoring
Regulation 1077/2012 – CSM on supervision
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).
OTHER INFORMATION
RSSB are developing industry guidance on ‘Safety Assurance’ in May 2013.
assist transport operators with the CSM for monitoring requirements.
DATE UPDATED
This will
April 2013
Safety Legislation Update; April 2013
21
The Fourth Railway Package - NEW
BACKGROUND
The ERA published proposals for the 'Fourth Railway Package' on 31 January. 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, the European Rail Agency 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 rail 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 and
maintenance, as well as timetabling. Faced with numerous complaints from users, the
Commission considers that the infrastructure managers must have operational and
financial independence from any transport operator running the trains. This is essential to
remove potential conflicts of interest and give all companies access to tracks in a non-
Safety Legislation Update; April 2013
22
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
"Chinese walls" to ensure the necessary, legal, financial and operational separation (see
MEMO for details). 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
The Commission's proposals must be approved by the European Parliament and Member
State Governments, before being adopted. Discussions were brought to the Ministerial
level for the first time on March 11th, 2013 in the occasion of the Transport Council. During
the debate, ministers broadly acknowledged the need to increase the efficiency of the
authorisation process. However, misgivings were expressed about the transfer of
competences from national authorities to the European Rail Agency as proposed by the
Commission. More specifically, several member states pointed out that responsibility for the
authorisation of vehicles used only on the national territory or on local or regional networks
should remain with national authorities, so that the specific situations in the different
countries can be properly taken into account. Some delegations argued that the
harmonisation of railway infrastructure was not yet advanced enough to justify a centralised
authorisation procedure and suggested that the role of the ERA should be enhanced
gradually. Several delegations were of the opinion that the ERA should be given a stronger
supervisory role, but not responsibility for authorisations. The issue of liability in the event
of accidents was also raised. Discussion of the proposal will continue in the Council's
preparatory bodies in the light of the comments made by the ministers.
European
Commission’s
website:
http://ec.europa.eu/commission_20102014/kallas/headlines/news/2013/01/fourth-railway-package_en.htm
RAILWAY INDUSTRY POSITION
In February 2013, the Commons Transport Select Committee launched a short inquiry into
the European Commission’s 4th 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.
Safety Legislation Update; April 2013
23
The CER ERA Steering Unit is currently working on a position paper on proposed
amendments for the Interoperability Directive, Safety Directive, and ERA Regulation.
Finalisation foreseen mid April 2013. 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’).
OTHER INFORMATION
DATE UPDATED
April 2013
Safety Legislation Update; April 2013
24
Section 3 UK Legislation (General)
Safety Legislation Update; April 2013
25
CD243 – Proposals to simplify and clarify Reporting of Injuries,
Diseases and Dangerous Occurrences Regulations 1995 (RIDDOR)
reporting requirements.
BACKGROUND
HSE are leading a review of RIDDOR, following the Lofstedt Review, which made
recommendations that HSE should review all its regulations to see if there was scope for
clarification, simplification and removing burdens on industry.
Although the regulation recently changed the requirement for reportable injuries for
workforce from +3 days to +7 days lost, HSE have prioritised another review, and they
have consulted on proposals for further changes to the RIDDOR Regulations.
MAIN PROVISIONS
The aim of the HSE’s proposal to revise what is reported under RIDDOR 95. It is in
response to the Lofstedt review and aims to clarify and simplify RIDDOR, as well as to
provide a reporting mechanism which is appropriate for HSE’s current and anticipated
needs.
Under the current proposals, the HSE intended to remove five reporting requirements:

Cases of occupational disease, other than those resulting from a work-related exposure
to a biological agent

Non-fatal accidents to people not at work

Dangerous occurrences outside of higher risk sectors or activities

The reporting by self-employed persons of injuries or illnesses to themselves.

Suicides on the relevant transport system.
The current requirement if there is a major injury to a worker is to notify the enforcing
authority by the ‘quickest practicable means’ and follow this up with a written report within
10 days. However, the HSE selects RIDDOR incidents for investigations against published
selection criteria (http://www.hse.gov.uk/enforce/incidselcrits.pdf) The HSE propose to
simplify the list of reportable major injuries to align with the incident selection criteria (apart
from item 10 below) as follows:
1. Any fracture other than to fingers, thumbs or toes
2. Any amputation
3. Crush injuries leading to internal organ damage
4. Head injuries that result in a loss of consciousness (guidance to be issued explaining
that fainting, seizures etc that lead to head injuries would not be included in the major
injury category)
5. Burns or scalds covering more than 10% of the body
6. Permanent blinding in one or both eyes
7. Any degree of scalping
8. Any asphyxiation from whatever cause
9. Any injury arising from working in a confined space resulting in hypothermia, heatinduced illness, requiring resuscitation or admittance to hospital for more than 24 hours
Safety Legislation Update; April 2013
26
10. Any diagnosed illness requiring medical treatment, which is reliably attributed to a workrelated exposure to a biological agent or its toxins or infected material (this enacts a
specific requirements of an EU Directive).
CURRENT STATUS
The HSE invited consultation on their proposals to simplify and clarify how
businesses comply with the requirements under the RIDDOR 95. The responses can
be viewed at http://www.hse.gov.uk/consult/condocs/cd243-responses.pdf
The outcome of the consultation can be viewed at:
www.hse.gov.uk/aboutus/meetings/hseboard/2013/300113/pjanb1304.pdf
The HSE has dropped its proposal that employers and other dutyholders should no longer
have to report occupational diseases, as agreed at a closed meeting on 30 January 2013.
The HSE board agreed to retain the duty to report non-fatal work-related accidents to
members of the public. The reforms to major injuries, dangerous occurrences and selfemployed workers will go ahead. Duties to report fatal injuries to workers and the public,
and over-seven-day injuries to workers, remain unchanged. The HSE board will advise the
minister to accept the modified package; subject to approval, the revisions are scheduled to
come into force on 1 October 2013.
The HSE had proposed removing the requirement to report occupational diseases except
where they result from exposure to biological agents. Following concerns raised at
consultation, it has now decided employers will have to report occupational cancers,
diseases attributable to biological agents and six short-latency diseases (hand-arm
vibration syndrome, dermatitis, carpal tunnel syndrome, severe cramp of the arm,
tendonitis and occupational asthma). The HSE had also proposed removing the
requirement to report work-related non-fatal injuries to members of the public who are
taken to hospital for treatment. In light of this the HSE will retain this requirement although
it will make the reporting stipulations and threshold clearer through improved guidance.
The other reforms proposed in the consultative document will go ahead:

The list of major injuries will be simplified and reduced to 10 types, so that it is more
closed aligned with the HSE’s incident selection criteria;

The list of 25 dangerous occurrences will be simplified and reduced to 20 so that they
focus on higher-risk sectors and activities; and

Self-employed workers will no longer have to report injuries to themselves.
RAILWAY INDUSTRY POSITION
RSSB has concerns about the implications and costs of changing the Safety Management
Information System (SMIS), and how the changes in definitions may affect historic data.
Industry has concerns over the alignment of the revised RIDDOR 95 and the Railway
Reporting guidance.
Safety Legislation Update; April 2013
27
OTHER INFORMATION
The ORR responded to the consultation. They agreed with the HSE’s proposals for the
removal of reporting suicides and occupational diseases from RIDDOR. They disagreed
with the proposal to remove non-fatal injuries to people not at work from being reported
under RIDDOR in relation to railways due to the high passenger/public interface with
railway operations.
Click here to view their response.
DATE UPDATED
April 2013
Safety Legislation Update; April 2013
28
CD248 – Proposal to remove the requirement for the HSE to
approve first aid training and qualifications under The Health and
Safety (First-Aid) Regulations 1981 (as amended)
BACKGROUND
Following the recommendation made from the Lofstedt review of Health & Safety
Regulations in November 2011 the HSE are revising the Health & Safety (First Aid)
Regulations 1981.
Although the regulations do not state a particular number of first-aid personnel are required,
it does currently stipulate that the training and qualifications for the appointed first-aid
person must be approved by HSE. The Lofstedt report says that this appears to both go
beyond the requirements of the Directive and have little justification. So long as
organisations meet a certain standard, allowing businesses to choose training providers
should allow them greater flexibility to choose what is right for their workplace, and possibly
reduce costs.
The review also found that a number of organisations felt the requirement under the
regulations to have a qualified first-aid person appointed in the workplace was an
unnecessary requirement for low-risk workplaces.
Lofstedt also suggested that there should be a revision of guidance clarifying what is
suitable for different environments to help businesses adopt measures that are suitable for
their workplace, and that explains clearly what the regulations actually require. It was
therefore recommended that HSE amends the Health and Safety (First Aid) Regulations
1981 to remove the requirement for HSE to approve the training and qualifications of
appointed first-aid personnel.
MAIN PROVISIONS
The policy objectives for the revision of the regulations are:

Removal of HSE approval of First Aid Training providers, to reduce the burden on
business;

To ensure that businesses can identify first aid courses that are appropriate for their
workplaces and select suitable training providers
To implement the recommendation there is a requirement to change legislation in order to
amend the Health and Safety (First Aid) Regulations 1981.
CURRENT STATUS
Following public consultation, HSE is working towards implementing the necessary
changes, subject to HSE Board and Parliamentary approval.
The anticipated changes to the Regulations are expected in October 2013.
The HSE has published the following 2 new pieces of draft guidance 
The first guidance document will help businesses to make an assessment of the
first aid requirements within their specific workplace and to put the necessary
provisions and competent personnel in place

The second guidance document will help businesses select an appropriate first
aid training provider to deliver their training requirements within the new system.
View: Draft guidance / Second edition / Third edition
Safety Legislation Update; April 2013
29
RAILWAY INDUSTRY POSITION
The industry welcomes this revision and the possible cost reductions that could result.
OTHER INFORMATION
DATE UPDATED
March 2013
Safety Legislation Update; April 2013
30
CD241 – Proposals 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 Approved Codes of Practice (ACoPs)”. The initial phase of the review should be
completed by June 2012 so businesses have certainty about what is planned and when
changes can be anticipated.
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 ACoP 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
The review of HSE guidance 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
The HSE completed the initial review of 32 out of its 52 ACoPs. There are 20 other ACoPs
that have not been reviewed at this time, due to their association with on-going sector
specific consolidations or other regulatory amendments, and therefore will be reviewed
during the delivery of these processes.
Safety Legislation Update; April 2013
31
The Management of the Health and Safety at Work Regulations 1999 ACoP was
considered by the HSE Board at their January 2013 meeting where they agreed the
ACoP could be taken forward for withdrawal. In its place will be a full suite of core
guidance that makes it easier for businesses to understand what is required and
how they can comply with the Regulations. The decision follows the Board's review
of proposals for the revised 'Managing for health and safety' publication (HSG65) an over-arching guide on the essential principles and practice of health and safety
management. The Management Regulations themselves will remain unchanged and
the ACoP will not be withdrawn until the revised HSG65 is published. Final
timescales are still to be agreed. (Management of health and safety (ACOP L21).
The HSE proposed a revision, consolidation or withdrawal of 15 ACoPs by the end of 2013.
The following was agreed:

The removal of the ACoPs on Agriculture (ACOP L116) and Pipelines (ACOP L81) was
valid; however, the HSE will put forward two separate papers to the board in early 2013.

The revision of Workplaces (ACOP L24) and Hazardous substances (ACOP L5)

the Dangerous substances and explosive atmospheres (ACOPs L134 - 138) Asbestos
(ACOPs L127, L143), and Gas safety (ACOPs L56, COP20), which all have more than
one ACoP associated with them, will be consolidated

The ACoP on Legionella (ACOP L8) will be split into a code and guidance
From the responses received to the consultation, there was strong support to make minor
revisions to all the following 14 ACoPs by the end of 2014.

Diving (ACOPs L103 - 107)

Work equipment (ACOPs L22, L112, L114)

Lifting equipment (ACOP L113)

Confined spaces (ACOP L101)

Pressure systems (ACOP L122)

Hazardous substances - pottery production (ACOP L60)

Hazardous substances - lead (ACOP L132)

Quarries (ACOP L118)
The HSE stated it would make no changes to the ACoP on Worker involvement (ACOP
L146)
The Board agreed to drop the proposal to limit all ACoP documents to a maximum of 32
pages.
The full consultation document, which ended on 14th September 2012, can be viewed at:
http://consultations.hse.gov.uk/gf2.ti/f/16674/438181.1/PDF/-/CD241%20Complete.pdf
In January 2013 HSE published the consultation responses, they can be viewed at:
http://www.hse.gov.uk/consult/condocs/cd241-analysis.pdf
RAILWAY INDUSTRY POSITION
The review of ACoPs was supported by the industry and companies were encouraged to
respond to the subsequent consultations on specific ACoPs.
Safety Legislation Update; April 2013
32
OTHER INFORMATION
For proposed consolidations or revisions of ACoPs there will be further opportunities to
comment on the detail of changes when HSE consults on the text of the revised ACoPs.
The Institute of Occupational Safety and Health (IOSH) is supporting the e-petition
against the proposed withdrawal of the ACOP for the Management of Health and
Safety at Work Regulations 1999 (L21) http://epetitions.direct.gov.uk/petitions/46262.
DATE UPDATED
April 2013
Safety Legislation Update; April 2013
33
CD242 – Proposals to exempt from health and safety law those
self-employed whose work activities pose no potential risk of
harm to others
BACKGROUND
In response to a recommendation in the Lofstedt Report, the Government asked the HSE
to take urgent action to draw up proposals for changing the law to remove health and safety
burdens from the self-employed in low-risk occupations, whose activities represent no risk
to other people.
The HSWA (section 53) gives a broad definition of a self-employed person. It states a “selfemployed person means an individual who works for gain or reward otherwise than under a
contract of employment, whether or not he himself employs others”.
MAIN PROVISIONS
Lofstedt’s recommendation centres on exempting those self-employed whose work
activities pose no potential risk of harm to others and thus it is appropriate to remove the
unnecessary application of health and safety law.
There are three options proposed to implement Lofstedt’s recommendation, and these
have been drawn as flow charts to explain the approach for each option. The three options
ensure the self-employed person constantly assesses the risk they pose to others and
consequently adjusting their behaviour. It is therefore proposed to exempt only those who
would not be expected to put others at risk at any point in the normal course of their work,
and all three options described are based on this premise.
Option 1 – Exempting from health and safety law, the self-employed who pose no potential
risk of harm to others
This would have the effect that a self-employed person who met the following preconditions
would be exempt from health and safety law:

They are self-employed;

They do not employ anyone; and

When carrying out their work activities/conducting their undertaking or by the products
and services created by the work activities, they must pose no potential risk of harm to
others.
Option 2 – Exempting from health and safety law, the self-employed who pose no potential
risk of harm to others (points 1 – 3 as above in option 1), and who do not work in a high risk
sector as prescribed by the Secretary of State. The ‘prescribed sectors’ who are out of
scope of this exemption are
 Agricultural activities
 Mining;
 Construction
 Diving;
 Quarries;
 COMAH and sub-COMAH sites;
 Offshire activities;
Safety Legislation Update; April 2013
34
Option 3 – Exempting from health and safety law, the self-employed who undertake officetype activities and pose no potential risk of harm to others. This is similar to option 1, with
an additional requirement to take into account work solely consisting of office-type
activities. In order to be exempt from health and safety, the following preconditions must be
met:

They are self-employed;

They do not employ others;

Their work solely consists of office-type activities; and
When carrying out their work activities/conducting their undertaking or by the products and
services created by the work activities they must pose no potential risk of harm to others.
Option 4 - to make no changes to the legislation at all.
CURRENT STATUS
In March 2013 HSE published the consultation responses, they can be viewed at:
http://www.hse.gov.uk/consult/condocs/cd242-responses.pdf
The HSE Board has agreed proposals for self-employed people whose work activities pose
no risk of harm to others to be exempted from health and safety law.
Self-employed workers in a defined list of high hazard industries or those carrying
out high risk activities where there is the potential to cause significant injury to
others will remain in the scope of the law. The change is expected to take 800,000
self-employed people out of the scope of health and safety regulations. ORR has
asked for railways to be included in the list of sectors that will not be covered by the
proposed exemption. Ministers will now consider the proposals and make the
decision whether to change the law.
RAILWAY INDUSTRY POSITION
Industry feels that this proposal will have a limited impact as if contactors are
exempt from this proposal, they will still fall under individual Transport Operator’s
Contractor Management policies.
OTHER INFORMATION
DATE UPDATED
March 2013
Safety Legislation Update; April 2013
35
Enforcement procedures against drink drivers and other offences
BACKGROUND
In June 2010 Sir Peter North wrote a report on the review of drink and drug driving law, and
in November 2010 the Transport Select Committee wrote a report on Drink and Drug
Driving Law. The Government responded to both reports in March 2011 proposing
legislative changes on drink and drug driving.
MAIN PROVISIONS
The legislative changes proposed in this consultation relate to Great Britain. The proposals
are consistent with the devolution of the drink drive limit in Scotland, through the Scotland
Act 2012.
The Government is seeking views on the following proposed changes –

The withdrawal of the ‘statutory option’;
The statutory option gives people the right to replace their breath alcohol specimens
with either a specimen of blood or specimens of urine in cases where the lower of the
two breath readings provided does not exceed 50 microgrammes (mcg) of alcohol per
100 millilitres (ml) of breath. The consultation seeks to withdraw this right.

Changes as to when preliminary breath tests are needed;
The consultation seeks to remove the requirement for preliminary testing to be done
where two evidential tests have been undertaken away from a police station.

Changes to the testing procedures in hospital;
The consultation seeks views to allow a wider range of registered healthcare
professionals to take evidential blood specimens, and not just hospitals.

Changes to who can assess if someone is under the influence of drugs;
Under the Road Traffic Act (1988) only a doctor can determine if a driver is under the
influence of drugs. The DfT are speaking to stakeholders on whether other healthcare
professionals can form this opinion.

Amendments to the regimes for aviation, rail and shipping which mirror the road regime.
The legislative changes would apply to the Road Traffic Act 1988. This Act or other
parallel legislative provisions, apply similar measures to the drink drive offence to
railways, shipping and aviation. The consultation seeks views about whether any
changes here should also apply to these other transport sectors.
CURRENT STATUS
The consultation closed for comments on 2nd January 2013 and the DfT are currently
analysing the responses. The consultation paper is available from:
https://www.gov.uk/government/consultations/enforcement-procedures-against-drinkdrivers-and-other-offenders
RAILWAY INDUSTRY POSITION
OTHER INFORMATION
DATE UPDATED
January 2013
Safety Legislation Update; April 2013
36
CD251 – Proposal to revise the guidance for duty holders to
decide the appropriate arrangements for the provision of first-aid
under The Health and Safety (First-Aid) Regulations 1981 (As
Amended) - NEW
BACKGROUND
The Health and Safety Executive (HSE) consulted late last year on proposals to amend the
Health and Safety (First Aid) Regulations 1981 (the 1981 Regulations). This was in
response to Professor Ragnor Lofstedt’s recommendation in his review of health and safety
legislation Reclaiming health and safety for all: an independent review of health and safety
legislation to remove the requirement for HSE to approve first aid training and
qualifications.
MAIN PROVISIONS
This consultation seeks views on the content of revised guidance to help duty holders
decide on appropriate arrangements for the provision of first aid at the business.
CURRENT STATUS
HSE consulted on Professor Lofstedt’s recommendation late last year and the responses
have been collated and analysed.
This analysis was presented to the HSE Board at its
3
meeting on 27 February 2013 . The HSE Board approved the proposal to proceed with the
amendment to the 1981 Regulations to remove HSE approval of training and qualifications.
Subject to Parliamentary approval, the intention is for this amendment to be commenced 6
October 2013.
In addition to consulting on the amendment to the 1981 Regulations, HSE also sought
views on some principles for the content of the revised guidance (L74) to assist duty
holders in making arrangements for first aid provision in their workplace as well as the
status of the current Approved Code of Practice (ACoP).
The consultation started in March 2013 and is due to finish on the 3rd May, details can be
found here http://consultations.hse.gov.uk/gf2.ti/f/18178/467877.1/PDF/-/CD251.pdf
RAILWAY INDUSTRY POSITION
Industry considers that this proposal will not require any changes to those operators
who have currently taken into account passenger first aid provisions at stations.
For those operators who haven’t taken passenger first aid provisions into account
they should consider this proposal and make a conscious decision as to whether it
applies to their operation.
OTHER INFORMATION
DATE UPDATED
March 2013
Safety Legislation Update; April 2013
37
Section 4 UK Legislation (Railways)
Safety Legislation Update; April 2013
38
Level crossing legislation
BACKGROUND
Following a joint submission by the ORR and the DfT. The Law Commission, together with
the Scottish Law Commission, agreed to carry out a review of the law relating to level
crossings as part of the Law Commission’s Tenth Programme of Law Reform. The project
covers level crossings in Scotland, England and Wales. The Law Commission is a
statutory independent body whose role is to keep the law under review and recommend
reform where needed.
MAIN PROVISIONS
The Law Commission and the Scottish Law Commission are carrying out a project which
examines the legal framework relating to level crossings, with a view to simplify and
modernise. The legislation governing level crossings is complex and antiquated, much of it
dating back to the nineteenth century. At present, the provisions relating to level crossings
are scattered amongst legislation relating to different areas of law. With the legislation
currently contained in public Acts, private special Acts, bye-laws or subordinate legislation,
there is a requirement to attempt to consolidate the law in this area.
This consultation proposes a complete overhaul of existing level crossings legislation, and
particularly looks at:

The creation of level crossings

Current regulation of level crossings

Level crossing closures

Rights of way and access issues

Criminal offences

Signs and highway code
CURRENT STATUS
Following a review of the current level crossing legislation, the Law Commission and
Scottish Law Commission published a joint consultation paper. Consultation took place
between July and Nov 2010, including meetings with a rail, road and other interest groups
and meetings with members of the Commissions’ advisory group. The Commissions also
carried out site visits to Network Rail, heritage railway and tramway systems.
The Commissions published a paper in July 2010, starting a consultation period which ran
from July to November 2010. 114 written submissions were received.
The Commissions attended a large number of consultation events with interested groups,
including RSSB, train operating companies, the ORR, the DfT, NR, heritage railways,
tramway operators, BTP, dock and industrial site owners, highway authorities, passenger
groups, disability groups, and representatives of level crossing users. Visits were
undertaken to level crossings on the mainline railway, a heritage railway and a tramway
system.
After the close of the consultation period, the Law Commissions analysed all the responses
and developed a joint policy paper, setting out their provisional recommendations for
consideration by the Commissioners.
The Law Commissions held a meeting with their advisory group at RSSB in April 2011 to
update the group on these provisional conclusions.
Commissioners at the Law
Safety Legislation Update; April 2013
39
Commission and Scottish Law Commission then approved provisional proposals, including
the following:

Safety and convenience at level crossings should be regulated under the Health and
Safety at Work etc Act 1974 (HSWA 1974), along with regulations and approved codes
of practice made under it;

HSWA 1974 regulations should provide for the issuing of level crossing plans to be
agreed, which would provide site-specific information and directions for individual level
crossings while the generic safety measures would be set out in regulations;

The Secretary of State may direct the terms of a level crossing plan or even direct
maximum downtimes for level crossing barriers where necessary;

The draft bill should impose a duty on rail and highway/roads authorities to co-operate,
a duty to consult stakeholders when changes to level crossing arrangements are
proposed, and a duty on the body proposing changes to publish their proposals;

The draft Bill should provide for a new system for closing private and public level
crossings by means of level crossing closure orders;

ORR should retain primary responsibility for enforcing safety regulation at level
crossings;

No new criminal offences specific to level crossings should be created; and

A power should be created enabling the Secretary of State to make a single set of
regulations in relation to signs at level crossings.
The teams have been working with Parliamentary counsel to prepare a draft Bill
and regulations. These were shared with the Advisory Group on 17 July 2012. The
provisional proposals put forward in the consultation paper represented the Commissions’
initial view about how the law should be reformed. They have now reviewed these
proposals on the basis of the responses to the consultation paper, and the proposed policy
has been approved by the Commissioners of the Law Commission and the Scottish Law
Commission. A draft of the Level Crossings Bill, accompanying regulations and the final
report are expected to be published in early May 2013, together with an analysis of the
responses and a draft Bill.
The full consultation document can be viewed on the Law Commission website.
There is also a summary of the consultation paper available on the Law Commission
website.
RAILWAY INDUSTRY POSITION
RSSB, Network Rail and ATOC responded to this consultation.
OTHER INFORMATION
The ORR is currently in correspondence with Network Rail concerning AOCLs, and it will
also press the Sentencing Guidelines Council to increase the suggested penalties for level
crossing misuse by motorists.
DATE UPDATED
January 2013
Safety Legislation Update; April 2013
40
Railways and Other Guided Transport Systems (Miscellaneous
Amendments) Regulations
BACKGROUND
The European Commission (EC) adopted Regulation 445/2011 on a system of certification
of Entities in Charge of Maintenance (ECM’s) for freight wagons on 10th May 2011. The
revised Railway Safety Directive, which amends the Railway Safety Directive (2004/49/EC),
requires that an ECM for freight wagons obtains a certificate from a certification body to
show that it has a satisfactory system of maintenance. The ORR will initially be a
certification body for ECMs.
Since the publication of the ECM Regulation in May 2011, the UK created a two-stage
implementation plan to transpose the requirements of the revised Railway Safety Directive
and give effect to the ECM. The first implementing instrument, the Railways and Other
Guided Transport Systems (Safety) (Amendment) Regulations 2011, came into force in
Great Britain on 26th August 2011 http://www.rail-reg.gov.uk/server/show/nav.1511
MAIN PROVISIONS
The ROGS Miscellaneous Amendments set out the amendments required for introducing
the certification regime for ECM of freight wagons required under European Directive
2008/110/EC (‘the revised Railway Safety Directive’) in Great Britain, and is the second
stage of the implementation of the two European Directives into ROGS.
The Railways and Other Guided Transport Systems (Safety) Regulations 2006
The proposed changes to ROGS include:

Removing the current requirement for mainline operators to carry out safety verification,
which takes into account the introduction of the common safety method on risk
evaluation and assessment. This will avoid duplication by removing the need for
mainline duty holders to carry out the existing safety verification requirements in ROGS
as well as applying the CSM on risk evaluation and assessment.

Amending the definition of ‘mainline railway’ in ROGs to explain what systems are
within scope and ensure that operators of heritage and light rail systems can be
excluded from the requirements applicable to mainline operators where appropriate.
An Approved List of Exclusions will be available on the ORR website.

Removing the requirement for non-mainline operators to send annual safety reports to
ORR, this will reduce administrative burdens.

Clarifying that controllers of safety-critical work must have suitable and sufficient
monitoring arrangements in place.

Ensuring that the 28-day ‘affected parties’ consultation period runs concurrently with
ORR’s 4-month processing time for applications for safety certificates and safety
authorisations. This will reduce the time it takes for applicants to receive a safety
certification or authorisation.

Clarifying the meanings of ‘national safety rules’ and ‘placed in service’.
Safety Legislation Update; April 2013
41
Train Driving Licences and Certificates Regulations 2010
The draft regulations also contain proposals to amend the Train Driving Licences and
Certificates Regulations 2010 to clarify the meaning of ‘in code form’ in relation to medical
restrictions in train driving licences and reflect the changes made to the definition of
‘mainline railway’ in ROGS.
Changes to Health and Safety (Enforcing Authority for Railways and Other Guided
Transport Systems) Regulations 2006
The ORR is proposing to extend the powers of ORR inspectors to give them jurisdiction to
enter, and undertake enforcement in certain premises that are currently excluded from their
remit, i.e. warehouses and factories. This amendment will ensure that ORR inspectors
have the necessary powers to inspect and enforce, on railway operational matters only, in
premises where an ECM may have maintenance facilities.
CURRENT STATUS
The consultation document was published on 30th July 2012, and can be viewed on the
ORR website. The closing date for responses was 23rd October 2012.
The ROGS Miscellaneous Amendments are expected to come into force in spring
2013. The ORR’s response to consultation comments will be published shortly
before the amendments come into force.
The ROGS Miscellaneous Amendments have been laid before Parliament and are
currently due to be published by the end of April 2013. The guidance to ROGS will
be amended to reflect the changes.
RAILWAY INDUSTRY POSITION
RSSB’s response was endorsed by SPG.
Miscellaneous Amendments.
The railway industry supports the ROGS
OTHER INFORMATION
DATE UPDATED
April 2013
Safety Legislation Update; April 2013
42
Section 5 Other railway related consultations
Safety Legislation Update; April 2013
43
ORR’s Approach to Transparency
BACKGROUND
Openness and Transparency are both crucial elements in delivering the Governments’
objectives for strengthened public accountability; public service improvement; and
encouraging wider economic growth through the development of products and services
based on public sector information. Transparency is also a key factor in the Governments’
strategy, which was laid out in its document ‘Better Choices: Better Deals’. In support of
this strategy, the DfT published a Command Paper in March 2012 called ‘Reforming our
Railways: Putting the Customer First’ (http://www.dft.gov.uk/publications/reforming-ourrailways/), which details how this kind of approach could be used within the rail industry.
The ORR has supported this view of transparency in the railways and ‘believes it has a vital
role to play in driving the behavioural changes necessary for industry reform, delivering
better value for money and delivering a customer focussed industry’. In May 2011 the ORR
launched the National Rail Trends (NRT) Portal, which provides the public access to a wide
variety of rail statistics. The NRT has a report wizard which enables users to query detailed
data and see key data via tables and charts.
MAIN PROVISIONS
The ORR has published a consultation document to gain views on the ORR’s approach to
transparency. They believe transparency is important in driving the behavioural changes
necessary for industry reform, delivering better value for money and a more customer
focussed industry.
The ORRs vision for the development of more transparency in the rail industry is:

Hold the sector to account by reputation in absolute terms and by comparison;

Hold ORR to account in how they discharge their statutory responsibilities, in the
substance of their decisions and what they spend;

Exposure where the industry spends the money it receives and on what, to enable
passengers, funders and taxpayers to consider whether they are getting value for
money and to support informed choices about future spends including at local level;

Enable passengers and freight customers to exercise choice where available and to
match the service or product to their needs; and

Stimulate the design and introduction of new consumer led services and products by
third party developers with potential downstream commercial applications.
CURRENT STATUS
The ORR has published a consultation document which describes why they believe
transparency is so important, and outlines the current focus and activities of ORR and the
industry. They are seeking views on how they should go about assessing the risks and
benefits of more transparency and what factors they should take into account, including
how we should measure whether their objectives are being achieved.
The consultation document and the responses received can be viewed on the ORRs
website. The closing date for responses was 19th October 2012.
Safety Legislation Update; April 2013
44
ORR held a stakeholder workshop on 10th December 2012, which was attended by Colin
Dennis of RSSB and other industry stakeholders. This conference discussed what
transparency means in the context of the railways and how they can work together to
deliver the benefits that transparency can bring to passengers, taxpayers and the industry.
RAILWAY INDUSTRY POSITION
RSSB responded to the consultation. This can be viewed here.
OTHER INFORMATION
This year the ORR is establishing a way in which to evaluate their effectiveness. Results of
this evaluation will be published in Spring 2013.
The ORR published two reports on 23rd November 2012. The first report compares the
expenditure of the 19 franchised Train Operating Companies (TOC’s). The second report
provides an analysis comparing TOCs in Great Britain to those in other European
countries.
These are available on the ORR’s website.
DATE UPDATED
January 2013
Safety Legislation Update; April 2013
45
Consultation on the rules, regulations, coroner areas and statutory
guidance - NEW
BACKGROUND
The current legislation governing the role of the coroner and the conduct of inquests is
primarily the Coroners Act 1988 and the Coroners Rules 1984.
Successive reviews of the coroner system – most recently those conducted by Tom Luce
and Dame Janet Smith in 2003 – identified much that is good in the current system, but
also some fundamental problems. These included a lack of consistency between coroner
districts and an absence of national supervision or leadership. Most importantly the reviews
highlighted a lack of clear participation rights for bereaved people, and a lack of standards
for the treatment and support of all those who come into contact with coroners.
The consultation paper sets out the proposals for implementing the coroner reforms in Part
1 of the Coroners and Justice Act 2009. It seeks views on proposed coroner investigation
regulations, inquest rules, fee and allowance regulations, coroner areas, and statutory
guidance for bereaved people.
This consultation is aimed at coroners, coroners' officers and other staff, bereaved people,
voluntary organisations who help bereaved people, local authorities, and all those who
have an interest in coroner services.
MAIN PROVISIONS

Coroners and Justice Act 2009
These reviews – and the issues they identified – led to Part 1 of the Coroners and
Justice Act 2009 (‘the 2009 Act’). The objectives of the 2009 Act are:
–
To put the needs of bereaved people at the heart of the coroner system
–
For coroner services to continue to be locally delivered but within a new national
framework, with national leadership, and
–
To enable a more efficient system of investigations and inquests.
The 2009 Act provides for a number of structural changes to the coroner system. It creates
the new national head of the coroner system, the office of Chief Coroner. It introduces the
new concept of ‘investigations’ into deaths as well as inquests, as well as making new
provisions relating to coroner areas, creating new titles for coroners, and removing barriers
to where investigations can be held. The majority of the provisions in Part 1 of the Act have
not yet been implemented. They will be commenced when the new rules, regulations and
orders on coroner areas come into force.
The Ministry of Justice intends to implement the majority of the provisions in Part 1 of the
2009 Act for which it is responsible. The main exceptions to this are the three sections of
the Act that have either been repealed or will shortly be repealed – the Chief Coroner’s
appeal function (section 40), inspection of the coroner system (section 39), and public
funding for advocacy (section 51).
Implementing the coroner reforms in Part 1 of the Coroners and Justice Act 2009
Consultation Paper.
Safety Legislation Update; April 2013
46

2010 policy consultation on implementing the 2009 Act
In spring 2010 the Ministry of Justice consulted on aspects of policy to inform the
drafting of secondary legislation to underpin the Coroners and Justice Act 2009. The
consultation sought views on issues such as:
–
Transferring cases from one coroner to another
–
Post-mortem examinations
–
Disclosure of relevant information by coroners
–
Conduct of inquests
–
The training of coroners, their officers and other support staff.
Where appropriate the responses to the 2010 consultation have fed into the draft rules
and regulations which are now being consulted on.

Public Bodies Act 2011
Following a review of public bodies in 2010, the Ministry of Justice set out alternative
proposals for delivering coroner reform, including transferring the Chief Coroner’s statutory
functions to other office holders. However, following debates during the parliamentary
passage of the Public Bodies Act 2011, Parliament agreed that the post of Chief Coroner
should be preserved, but with a more focused remit than originally intended. The 2011 Act
therefore repealed the system of appeals to the Chief Coroner set out in section 40 of the
2009 Act. The Ministry of Justice intends to give the Chief Coroner all of the remaining
statutory powers in the 2009 Act.
CURRENT STATUS
The consultation ran from the 1st March 2013 to the 12th April 2013. Details cn be found
here https://consult.justice.gov.uk/digital-communications/coroner-reforms The Ministry of
Justice is currently analysing the responses to the consultation and plan to publish a
consultation response document in spring 2013 and aim to implement the 2009 Act’s
coroner provisions in summer 2013.
RAILWAY INDUSTRY POSITION
OTHER INFORMATION
DATE UPDATED
April 2013
Safety Legislation Update; April 2013
47
Section 6 - News
Safety Legislation Update; April 2013
48
News
-
Court Cases
Network Rail and one of its signalmen have been fined when a train hit a car at a
level crossing
Network Rail and one of its signallers have been fined for failing to ensure the safety of a
woman killed when a train hit a car at a level crossing.
On 16 January 2010, a collision occurred between a passenger train and two cars at the
level crossing at Moreton-on-Lugg, near Hereford. The front-seat passenger in one of the
cars was fatally injured. The driver was seriously injured and detained in hospital.
The two occupants of the other car attended hospital as a precaution. There were no
casualties on the train, which did not derail.
The level crossing is controlled from the adjacent signal box. The cause of the accident
was that the signaller raised the barriers in error when the train was approaching and too
close to be able to stop before reaching the level crossing. He had just been involved in an
absorbing telephone call that had interrupted his normal task of monitoring the passage of
the train. As a result he believed that the train had already passed over the crossing.
The signaller was fined £1,750 and ordered to complete 275 hours of unpaid work, while
Network Rail was given a £450,000 fine.
Both were found guilty of health and safety regulations following a two-week trial in
February 2013.
The RAIB report can be view here http://raib.gov.uk/cms_resources.cfm?file=/110228_R042011v2_Moreton_on_Lugg.pdf
Balfour Beatty fined after worker suffers severe injuries
On 12 May 2009 Keith Hawley, was manoeuvring a large piece of rail track into a press at
Balfour Beatty Rail Track Systems Ltd in Osmaston Street, Sandiacre, when his right hand
became trapped between the rail and a conveyor roller.
He suffered flesh wounds and a broken finger on that occasion, but on 29 March 2010 the
other hand was seriously injured when Mr Hawley became trapped for a second time while
carrying out the same work.
The little finger on his left hand was severely crushed and his ring finger had to be partially
amputated.
Balfour Beatty Rail Track Systems Ltd, was found guilty of breaching Section 2(1) of the
Health and Safety at Work etc Act 1974 for failing to provide a safe system of work. The
firm was fined £8,000 and ordered to pay costs of £41,438.
Network Rail fined £100,000 for causing serious injury of track worker in Cheshunt,
Hertfordshire
On 30 March 2010 at 11:44 hours, a passenger service running from Stansted Airport to
London Liverpool Street, travelling at about 30 mph (48 km/h), struck a member of railway
Safety Legislation Update; April 2013
49
staff at Cheshunt Junction in Hertfordshire. The person who was struck was one of a team
of eight people carrying out maintenance work on the track, and he was seriously injured.
There was no damage to the train or infrastructure.
The investigation has identified that the track worker who was struck did not move to a
position of safety and remained in the path of the train as it passed through the junction.
The track worker had not expected the train to follow the route which took it onto the line on
which he was working.
Network Rail was fined £100,000 and ordered to pay costs of £25,000 following a
prosecution for breaches of health and safety law which resulted in the serious injury of a
Network Rail track maintenance worker in March 2010.
The RAIB report can be view here http://www.raib.gov.uk/cms_resources.cfm?file=/110323_R062011_Cheshunt.pdf
Network Rail driver jailed over death after texting at the wheel
A female driver, 29, was sentenced at Teesside Crown Court for causing the death by
dangerous driving to another driver - a man aged 25, in December 2011. The Skoda car in
which he was travelling was stationary because of a puncture at the time of the crash the
man was standing behind it while the wheel was being changed, he suffered traumatic
injuries and was pronounced dead at the scene on the northbound carriageway of the A19
near Northallerton.
The driver did not see the stricken car until it was too late to avoid a crash. “Other motorists
were able to pull out as they approached the Skoda”, said the prosecutor, who added: "The
defendant had her head in her phone."
The defendant was employed as a delivery driver for Network Rail, Was driving a fiesta van
and had been texting on her mobile phone and had driven 500 to 600 miles that day in the
works van, deleted the message before dialing 999 to summon emergency services to the
scene near Mount Grace Priory in North Yorkshire.
He told the court: "The evidence shows in the 30 minutes before the collision, the
defendant was using her Blackberry to send and read texts." She sent two & read three,
and was reading the final text rather than looking at the road before the collision. They were
not urgent matters, and amounted to little more than idle banter. "She had been reading
and composing text messages over a lengthy period of time prior to impact while driving at
motorway speeds on a winter's night."
As well as receiving three years' imprisonment, the driver was also disqualified from driving
for six years and will have to take an extended driving test. The story in full story can be
viewed here.
Safety Legislation Update; April 2013
50
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