NR NR/L2/RSE/100/02 ISSUE 5 PDF

2.1 Overview

The scope of this module is a change to the railway system affecting safety:

a) infrastructure and operational changes to the railways for which Network Rail is Infrastructure Manager, including non-mainline railways, as defined in Railways and Other Guided Systems (ROGS); and

b) changes to vehicles where Network Rail is identified as the Entity in Charge of Maintenance as defined in ROGS. The significance of changes to National Supply Chain vehicles is determined in accordance with procedure PE-MS005. A summary of all vehicle changes and significance decisions is reported annually to NRAP.

A proposer should refer to NR/L2/RSE/100/01 clause 2 for the scope of a change as defined by the NRAP accountabilities under our HSMS.

This module is applicable to projects from their project initiation.

The risk management process under CSM-RA as defined in this module may be used by the principal designer and or contractor to discharge their duties of a suitable and sufficient risk assessment under the CDM Regulations 2015.

The application of the CSM-RA Regulation to organisational change is not within scope, this is covered by NR/L2/HSS/020 Safety Validation of Organisational Change.

Where we have third party works; infrastructure and or operational changes to the railway system for which Network Rail is not the Infrastructure Manager as defined in ROGS, then a decision between the proposer and Network Rail needs to establish the process which will be used to demonstrate compliance to CSM-RA. It might be appropriate for Network Rail to agree to use this module and suggest to the third party that they can utilise the Regional System Review Panels (SRPs) as a vehicle for reviewing and assurance of the change under the use of this module. The SRP assurance is not a replacement or substitute for the requirement to appoint an independent assessor.

The CSM-RA Regulation is a part of a suite of Common Safety Methods. The Common Safety Method (CSM) for monitoring (Commission Regulation (EU) No 1078/2012) and the CSM for risk evaluation and assessment (Commission Implementing Regulation (EU) No 402/2013) have been retained for use in Great Britain.

A guiding principle of this document is that NRAP can and do delegate their duties to SRPs. However, in some circumstances NRAP undertake those duties themselves and therefore throughout this document SRP can and should be replaced with NRAP, where NRAP are undertaking those duties, i.e with Information Technology (IT) projects.

2.2 Alignment with the Systems Triage Process

To balance the level of assurance activity with the project risks, NR/L2/RSE/100/02has a progressive assurance approach to CSM-RA activity, which can be achieved by adopting the guidance in NR/L2/RSE/100/08. Compliance to this Level 2 module is still required unless a derogation has been applied for and granted.

2.3 Undertaking the assessment to complete an NRAP application

As described in more detail in further sections of this module, a proposer is required to complete the CSM-RA Significance Assessment in Appendix A, and complete and submit the NRAP application form NR/L2/RSE/100/02/F01. The first question the significance test asks is ‘Does the change impact safety’. To clarify even if the answer is ‘No’, the proposer is required to record on the form and in the NRAP application the justification for this proposal. The proposer continues to answer and document the rest of the questions, completing the NRAP application form NR/L2/RSE/100/02/F01, submitting it to NRAP and seek NRAP ratification of that decision. If NRAP agree that safety is not impacted, then CSM-RA does not apply. However other NR standards and UK legislation such as Health and Safety at Work Regulations 1999, ROGS, CDM and NR/L2/RSE/02009 might still apply which require a suitable and sufficient risk assessment and a documented demonstration of management of risk at design and construction stages.

Purpose

The purpose of this module is to define Network Rail’s arrangements for complying with the - Commission Implementing Regulation (EU) 402/2013 on the common safety method for risk evaluation and assessment, as amended by the Rail Safety (Amendment etc.) (EU Exit) Regulations 2019 [S.I. 2019/837] (as amended by the Railways (Safety, Access, Management and Interoperability) (Miscellaneous Amendments and Transitional Provision) (EU Exit) Regulations 2019 [S.I. 2019/1310]), referred to here on as the CSM-RA Regulation.

The module does not duplicate the CSM-RA Regulation, or any of the wide range of guidance available from the European Railway Agency (ERA), the Office of Rail and Road (ORR) and the Railway Safety and Standards Board (RSSB). Users are advised to consult these sources when complying with this module. The following provide details on the CSM-RA Risk Management Process:

• ORR Guidance: Common Safety Method for risk evaluation and assessment (see ORR website).

• GE/GN8646 Guidance on the Common Safety Method for Risk Evaluation and Assessment.

This module is part of a suite of processes governed by Network Rail Assurance Panel (NRAP) to provide appropriate review of projects, products and vehicles. Some elements of projects e.g. aspects that are novel, introducing new products, or might have interoperability requirements, might also come within scope of other modules in this suite.

Information on roles and responsibilities, and definitions used in this module can be found in NR/L2/RSE/100/01. See also RACI in 3.3.