safety criticaltask s- clarification of rogs...

SAFETY CRITICAL TASKS-CLARIFICATION OF ROGS

REGULATIONS REQUIREMENTS

Railway Safety Publication 4

http://www.rail-reg.gov.uk

RAILWAY SAFETY PUBLICATIONS2


SAFETY CRITICAL TASKS-CLARIFICATIONOF ROGS REGULATIONS REQUIREMENTS

RAILWAY SAFETY PUBLICATIONSi i

Published by the Office of Rail Regulation 2007

The guide is intended to help people who may be affected by theRegulations to understand what the Regulations require. It is a simpleexplanation of the main provisions of the Regulations.

RAILWAY SAFETY PUBLICATIONS i i i

CONTENTS

INTRODUCTION 1Aim 1Legislation 1Interpretation of terms 2Competence 3Assessment of competence 3Fitness of safety critical workers 4Fatigue of Safety Critical Workers 4Heritage Railways and Heritage Tramways 4Conclusions 5References 6

ANNEX A. TABLES TO CLARIFY THEDEFINITION OF SAFETY CRITICAL TASKS 7

1. Regulation 23(1)(a) 7

1.1 Regulation 23(1)(a)(i) 7Table A. Driving a vehicle 7Table B. Dispatching and controlling 8the movement of vehicles

1.2 Regulation 23(1)(a)(ii) 9Table C. Signalling and signalling operations 9Table D. Operation of level crossing equipment 10Table E. Receiving and relaying communications 11or other activity capable of controlling themovement of vehicles

1.3 Regulation 23(1)(a)(iii) 11Table F. Coupling or uncoupling vehicles 11

1.4 Regulation 23(1)(a)(iv) 12Table G. Installation of components onto a vehicle 12

1.5 Regulation 23(1)(a)(v) 13Table H. Maintenance of a vehicle 13

RAILWAY SAFETY PUBLICATIONSiv

1.6 Regulation 23(1)(a)(vi) 14Table I. Checking a vehicle 14

2. Regulation 23(1)(b) 15

2.1 Regulation 23(1)(b)(i) 15Table J. Installation and maintenance of permanent way 15Table K. Inspection of track and structures 16Table L. On-track machines (OTMs, including 17on-track plant) and permanent way maintenancevehicles for installation and maintenanceTable M. Signal engineering 18Table N. Telecommunication systems 19Table O. Supplying electricity to the transport 21system, to vehicles using it and to thetelecommunications system

2.2 Regulation 23(1)(b)(ii) 22Table P. Controlling the supply of electricity to 22the electric traction and signalling systems

2.3 Regulation 23(1)(b)(iii) 23Table Q. Communicating with signallers, electrical 23control operators, PICOPs, Possession Masters andothers (see Table E for communications capable ofcontrolling the movement of vehicles)

2.4 Regulation 23(1)(b)(iv) 24Table R. Protecting persons on or near the track 24

3. Regulation 23(1)(c) 25Table S. Practical training and the supervision 25of practical training

Annex B. Heritage Railways and Heritage TramwaysClarification of Safety Critical Tasks 26

Table T. Job Titles used by Heritage 26Railways and Heritage Tramways

RAILWAY SAFETY PUBLICATIONS 1

INTRODUCTION

AIM

1. This guidance is aimed at those responsible for managing andcontrolling people who carry out safety critical tasks in therailway and associated industries. The guidance, clarifying thetasks that should be regarded as safety critical, is presented ina number of tables in Annex A. The tasks shown in the tablesare illustrative; they are not exhaustive lists nor are theydefinitive. If there is any doubt further clarification should beobtained from the Office of Rail Regulation.

2. The guidance replaces the Health and Safety Commission’sguidance published in 1999 Guidance on the definition ofactivities regarded as safety critical under the Railways(Safety Critical Work) Regulations 1994.

LEGISLATION

3. The Railways and Other Guided Transport Systems (Safety)Regulations 20061 (ROGS Regulations) impose prohibitionsand requirements in relation to safety on railways and otherguided transport systems. These include the infrastructure andoperation of main line railways, metros, tramways, heritagerailways and tramways and other guided transport systems.

4. Part 4 of the ROGS Regulations, which replaces the Railways(Safety Critical Work) Regulations 1994, sets out safetycritical work requirements. ROGS introduces some newterms, and specifically the new role of “Controller of SafetyCritical Work”. Every controller of safety critical work isrequired, so far as is reasonably practicable, to ensure that aperson under their management, supervision or control whocarries out safety critical work has been assessed ascompetent and fit to carry out that work (Regulation 24).There must be an accurate and up to date record ofassessment and this must be made available for inspectionon reasonable demand. There should be arrangements inplace for monitoring the competence and fitness ofindividuals. The controller of safety critical work should also


ensure that safety critical workers are not so fatigued thattheir health or safety or the health or safety of others couldbe significantly affected (Regulation 25).

INTERPRETATION OF TERMS

5. In the ROGS Regulations many words and terms are definedin Regulations 2 and 23 for use in these Regulations. Thefollowing terms are particularly relevant to safety critical workand some additional guidance is available in the ORRdocument ROGS – Guidance on Safety Critical Work Terms2

• assessor means any person who is competent to make animpartial and objective assessment of another person’scompetence or fitness to carry out safety critical work(Regulation 23);

• controller of safety critical work means any personcontrolling the carrying out of safety critical work on atransport system or in relation to a vehicle used on atransport system (Regulation 23);

• fitness means physical and mental fitness (Regulation 23);• installation includes the installation, examination or testing

of components (Regulation 23);• maintenance includes repair work, reconditioning,

examination, testing or alteration (Regulation 23);• safety critical tasks are listed in Regulation 23 and these

are reproduced in Annex A, together with clarification ofthe tasks given in the tables;

• transport system (Regulation 2) includes a siding whereROGS Part 4 on Safety Critical Work applies; and

• vehicle includes a mobile traction unit (Regulation 2). Thesafety critical tasks relevant to vehicles used on a transportsystem include ‘maintenance’, ‘installation of components’and ‘checking that the vehicle is working properly’(Regulation 23). In this guidance vehicle covers alocomotive, whether controlled from within or remotely, amultiple unit, a light rail vehicle, a tram, a road/rail vehicleon the running line, an on-track machine (OTM, includingon-track plant) and an unpowered vehicle, including thosefor use by passengers or for freight. The ROGS Guidanceon Regulations3 includes further details on the meaning of‘maintenance’ and ‘installation of components’.


COMPETENCE

6. ROGS Regulation 24(1) requires that every controller of safetycritical work ensures that persons carrying out safety criticalwork have been assessed as being competent and fit tocarry out the work. ORR has revised and published theguidance Developing and Maintaining Staff Competence,RSP14. This guidance provides a structured, risk-basedapproach for developing competence standards and usingthese to develop and assess competence.

7. More generally the assessment of competence is not just forsafety critical workers but applies to everyone whose workand decisions can affect health and safety. This shouldinclude activities and decisions made by companymanagement that may affect health and safety. This may beby decisions by front-line staff making day-to-daymanagement decisions, and by managers makingmanagement decisions on, for example, investment orrenewal (see RSP1, Principle 1 factor (a)).

8. The guidance on competence management (RSP1) uses 15principles to define key safety objectives to be achieved aspart of an integrated competence management system. Eachprinciple has a number of factors attached to it. Theydescribe what should be done to implement each factor, andprovide explanation on why it should be carried out. Theexamples provided, to help understanding and implementationof the factors, are taken mainly from the railway industry.

ASSESSMENT OF COMPETENCE

9. The assessment of competence is crucial for ensuring thatpersons carrying out safety critical work are competent(ROGS Regulation 24(1)(a)). Assessors who carry out thecompetence assessment of staff should themselves besubject to assessment of their competence with a rigoursimilar to that used to assess staff. Their ongoingprofessional competence as assessors (in the operation ofthe company competence management system) and alsotheir occupational competence (related to their knowledge,


skills, etc in the activity they are assessing) should beassessed (RSP1 Principle 6(b)).

10. Verification of the assessors is also required. The checksshould look at the use of appropriate competence standards,methods of assessment and the consistent use ofprocedures and work instructions. The verification shouldsupport assessors, ensuring that they remain competent andthat their judgements are consistent and to a uniformstandard. The quality of assessment records made by theassessors should be checked (RSP1 Principle 14(b)).

FITNESS OF SAFETY CRITICAL WORKERS

11. Appendix 1 of RSP14 is on the fitness requirements of theROGS Regulations. The purpose of determining the fitnessof an individual is to enable work to be carried outcompetently and to reduce the risk to health and safety. Therisk of any pre-existing disability or ill health affecting thesafety of the individual, others at work, and the public shouldbe reduced as far as possible.

FATIGUE OF SAFETY CRITICAL WORKERS

12. ROGS Regulation 25(1) requires that every safety criticalworker ‘does not carry out safety critical work incircumstances where he is so fatigued, or liable to becomeso fatigued, that his health or safety or the health or safety ofothers on a transport system could be significantly affected’.ORR has published guidance on managing fatigue Managingfatigue in safety critical work5.

HERITAGE RAILWAYS AND HERITAGE TRAMWAYS

13. Heritage railways and heritage tramways use a different range ofjob titles for people operating and maintaining their vehicles andinfrastructure. In Annex B, Table T lists the job titles most oftenused by heritage railways and heritage tramways for peoplecarrying out safety critical tasks. Some of these titles are genderspecific, as they are specific titles used by heritage railways andheritage tramways (eg Fireman, Foreman, etc). The tasks arethe same as those listed in Tables A to S in Annex A.


CONCLUSIONS

14. In this document the safety critical tasks defined in the ROGSRegulations have been clarified in the tables in Annex A.Annex B lists the equivalent job titles most often used byheritage railways and tramways.

15. The 1999 guidance on safety critical work, produced afterconsulting over 300 people across the industry, has beenused as a reference document. There has been additionalconsultation before finalising this document. If furtherclarification is required please contact the Office of RailRegulation for assistance.

16. It is only the Courts who can provide definitive interpretationof the law. Inspectors intend to use the information in thesetables as a guide in assessing compliance with the law and inconnection with any enforcement activity.


REFERENCES

1 The Railways and Other Guided Transport Systems (Safety)Regulations 2006 SI 2006/599 The Stationary Office 2006:ISBN 0 11 074307 5

2 ROGS – Guidance on Safety Critical Work Terms Office ofRail Regulation 2007 http://www.rail-reg.gov.uk/upload/pdf/ROGS_SCW_trms.pdf

3 The Railways and Other Guided Transport Systems (Safety)Regulations 2006 Guidance on Regulations Office of RailRegulation April 2006:http://www.rail-reg.gov.uk/upload/pdf/283.pdf

4 Developing and Maintaining Staff Competence SecondEdition, Railway Safety Publication 1, Office of Rail Regulation2007: http://www.rail-reg.gov.uk/upload/pdf/sf-dev-staff.pdf

5 Managing fatigue in safety critical work - Railways and OtherGuided Transport Systems (Safety) Regulations 2006 Officeof Rail Regulation July 2006:http://www.rail-reg.gov.uk/upload/pdf/293.pdf

ANNEX A. TABLES TO CLARIFY THE DEFINITION OF SAFETYCRITICAL TASKS

ANNEX B. HERITAGE RAILWAYS AND HERITAGE TRAMWAYS -CLARIFICATION OF SAFETY CRITICAL TASKS

Office of Rail RegulationOne Kemble StreetLondon WC2B 4ANTel: 020 7282 2000Fax: 020 7282 2040Email: [email protected]: www.rail-reg.gov.uk


mailto:[email protected]

http://www.rail-reg.gov.uk/upload/pdf/293.pdf

http://www.rail-reg.gov.uk/upload/pdf/sf-dev-staff.pdf

http://www.rail-reg.gov.uk/upload/pdf/283.pdf

http://www.rail-reg.gov.uk/upload/pdf/ROGS_SCW_trms.pdf

http://www.rail-reg.gov.uk/upload/pdf/ROGS_SCW_trms.pdf


ANNEX A

TABLES TO CLARIFY THE DEFINITION OF SAFETYCRITICAL TASKS

1. Regulation 23(1)(a)A safety critical task, in relation to a vehicle used on a transportsystem, means the following.

1.1 Regulation 23(1)(a)(i)Driving, dispatching or any other activity which is capable ofcontrolling or affecting the movement of that vehicle.

Table A. Driving a vehicle

A Task Regulation23(1)

Why task is safety criticalaccording to the ROGS Regulations

1 Driving a vehicle on therunning line.

(a)(i) Driving a vehicle on the transport system iscovered by this Regulation.

2 Driving a vehicle insidea possession.

(a)(i) A possession is part of a transport system,so that driving or operating a vehicle withina possession is covered by this Regulation.

3 Driving a vehicle withina siding.

(a)(i) A siding is specifically included as part ofthe transport system for this Regulation bythe definition of “transport system” inRegulation 2. Driving a vehicle within asiding is therefore covered by thisRegulation.

4 Working as conductordriver on a vehicle.

(a)(i) When a driver does not have the requiredroute knowledge, a conductor driver candirect the driver and is then controlling themovement of the vehicle and is covered bythis Regulation. (However, with both routeand traction knowledge, the conductordriver will drive the vehicle over that part ofthe journey where the driver lacks the routeknowledge and will then be the driver.)


Table B. Dispatching and controlling the movement of vehicles

B Task Regulation23(1)


1 Dispatching a train ortram.

(a)(i) Dispatching can be carried out by on-platform and on-board staff, and by thedriver of one-person-operated trains, lightrail and trams; dispatching controls themovement of vehicles and the personresponsible for dispatching, and also thosewho assist in dispatching, control or affectthe movement of vehicles and are coveredby this Regulation.

2 Authorising theevacuation of a train ortram in an emergency.

(a)(i) Authorising the evacuation of a train and tramincludes ensuring that all nearby vehiclemovements are controlled before giving theinstruction to evacuate to avoid accidentswith evacuated passengers on running linesor from road traffic; this is covered by thisRegulation.

3 Protecting a rail vehiclestopped byan accident, failure,obstruction or otherexceptional incident.

(a)(i) Protecting a rail vehicle controls themovement of trains on the same line andon adjacent lines to avoid collisions, and iscovered by this Regulation.

4 Controlling themovement of a railvehicle.

(a)(i) When controlling the movement of a railvehicle (eg propelling (reversing) a train) onthe running line, in a siding (eg shunting), orin a possession, the person controlling themovement of the train from the ground orfrom the front of the train directs the driverusing hand signals or radio, with the driverbeing in the rear of the train or on-trackmachine (OTM). Some OTMs can becontrolled remotely using a control box. Theperson controlling the movement of thevehicle and the driver, if present, are bothcovered by this Regulation.

5 Working as aPilotman duringsingle line workingor emergencies.

(a)(i) Having obtained the permission of thesignaller the Pilotman authorises all vehiclemovements that enter or foul any portion ofthe single line and may accompany thedriver of a vehicle; the Pilotman iscontrolling the movement of a vehicle andis covered by this Regulation.


1.2 Regulation 23(1)(a)(ii)

Signalling, and signalling operations, the operation of levelcrossing equipment, receiving and relaying of communications orany other activity which is capable of controlling or affecting themovement of that vehicle.

Table C. Signalling and signalling operations

C Task Regulation23(1)


1 Signalling duties. (a)(ii) Controlling the movement of trains on arunning line from a signal box or signallingcontrol centre, when the signaller iscontrolling trains to the requirements of theoperating rules, including during degradedoperations and emergency working, iscontrolling the movement of vehicles and iscovered by this Regulation.

2 Directing other staff forthe movement ofvehicles e.g. controlcentre staff whenimplementingcontingency plans inthe event of equipmentfailure.

(a)(ii) Communications from a variety ofcontrollers employed by infrastructuremanagers and train operators in the eventof failure of infrastructure or on-trainequipment can have a direct effect on themovement of vehicles; these people arecarrying out safety critical tasks and arecovered by this Regulation.

3 Hand signalling. (a)(ii) Hand signalling, often in an emergency, isused to control the movement of vehiclesand is covered by this Regulation.

4 Stopping trains in anemergency.

(a)(ii) Stopping trains in an emergency by aperson whose job is to stop trains asrequired, is controlling the movement ofvehicles. (This does not include all thosewho hold a track safety certificate). Thistask is safety critical and is covered by thisRegulation.

5 Operating points. (a)(ii) Controlling the setting of points, ormanually operating, securing or settingpoints following a failure or disconnection,and working to the instructions of thesignaller, controls the movement of vehiclesand is covered by this Regulation.


C Task Regulation23(1)


6 Controlling themovement of trains toand from the runninglines.

(a)(ii) Controlling the movement of trains to andfrom the running lines, which may includeoperating a ground frame working to theinstructions of the signaller, is controlling themovement of vehicles and is covered bythis Regulation.

7 Blocking lines andarranging possessions,including inemergencies.

(a)(ii) Blocking lines and arranging possessions,including in an emergency, is controlling themovement of vehicles and is covered bythis Regulation.

8 Controlling themovement of trains intoand out of apossession.

(a)(ii) Controlling the movement of trains into andout of a possession and onto the runningline is controlling the movement of vehiclesand is covered by this Regulation.

9 Controlling themovement of trainswithin a possession.

(a)(ii) A possession is the part of the transportsystem where maintenance is carried out,and where maintenance activities affect theline and can affect adjacent running lines,so that controlling the movement of a trainwithin a possession is controlling themovement of vehicles and is covered bythis Regulation.

Table D. Operation of level crossing equipment

D Task Regulation23(1)


1 Operating level crossingequipment andcontrolling signalslocally.

(a)(ii) Operating level crossing equipment andcontrolling signals by the level crossingkeeper, and a person locally controlling alevel crossing normally controlledautomatically or remotely; these people arecontrolling the movement of vehicles andare covered by this Regulation.

2 Operating level crossingequipment andcontrolling signalsremotely.

(a)(ii) Operating level crossing equipment andcontrolling signals remotely from a signalbox or signalling control centre is controllingthe movement of vehicles and is coveredby this Regulation.


1.3 Regulation 23(1)(a)(iii)

Coupling or uncoupling.

Table F. Coupling or uncoupling vehicles

F Task Regulation23(1)


1 Coupling anduncoupling vehicles.

(a)(iii) Coupling and uncoupling railway vehicles ina depot prior to departure onto a transportsystem, in a station, in sidings, on runninglines, and in a possession are covered bythis Regulation.

E Task Regulation23(1)


1 Communicating withsignallers and linecontrollers.

(a)(ii) Receiving and relaying communicationsbetween a signaller (Network Rail) or linecontroller (London Underground) with anelectrical control operator, driver, levelcrossing keeper, and locally controlling alevel crossing normally controlledautomatically or remotely and otherscontrolling or affecting the movement ofvehicles are covered by this Regulation.

2 Communicating withelectrical controloperators.

(a)(ii) Receiving and relaying communicationsbetween an electrical control operator, whocontrols the supply of electricity to thetransport system, and a driver or others whocontrol or affect the movement of vehiclesare covered by this Regulation.

3 Any activity capable ofcontrolling or affectingthe movement of avehicle.

(a)(ii) Any communication or activity capable ofcontrolling or affecting the movement of avehicle that could significantly affect thehealth or safety of persons on a transportsystem is covered by this Regulation.

Table E. Receiving and relaying communications or other activitycapable of controlling the movement of vehicles


1.4 Regulation 23(1)(a)(iv)

Installation of components, other than where the installation ofthose components is subject to supervision and checking by asafety critical worker or controller of safety critical work.

Table G. Installation of components onto a vehicle (This should beread in conjunction with ROGS – Guidance on Safety CriticalWork Terms2 and ROGS Guidance on Regulations3)

G Task Regulation23(1)


1 Installation ofcomponents ontovehicles normally inservice.

(a)(iv) The installation, examination or testing(including non-destructive testing) ofcomponents installed onto a vehicle in use onthe transport system can be carried out in adepot, sidings or exceptionally in anemergency on running lines. Where thesetasks could significantly affect the health orsafety of persons on a transport system, thetasks are safety critical and covered by thisRegulation except where the work is subjectto supervision and checking by a safetycritical worker or a controller of safety criticalwork.

2 Installation of signallingrelated componentsonto vehicles normally inservice.

(a)(iv) The installation, examination or testing ofsignalling related components installed ontoa vehicle in use on the transport system,including AWS and enhancements, ATP andvariants of ERTMS; this work can be carriedout in a depot, sidings or on the runninglines. These are safety critical tasks andcovered by this Regulation except where thework is subject to supervision and checkingby a safety critical worker or a controller ofsafety critical work.

3 Installation oftelecommunicationsrelated componentsonto vehicles normally inservice.

(a)(iv) The installation, examination or testing oftelecommunications related componentsinstalled onto a vehicle in use on thetransport system, including national radionetwork (NRN), cab secure radio (CSR) andCab Mobile systems; this work can becarried out in a depot, sidings or on therunning lines. These are safety critical tasksand covered by this Regulation exceptwhere the work is subject to supervision andchecking by a safety critical worker or acontroller of safety critical work.


1.5 Regulation 23(1)(a)(v)

Maintenance, other than where the carrying out of thatmaintenance is subject to supervision and checking by a safetycritical worker or controller of safety critical work.

Table H. Maintenance of a vehicle (This should be read in conjunctionwith ROGS – Guidance on Safety Critical Work Terms2 andROGS Guidance on Regulations3)

H Task Regulation23(1)


1 Maintenance of vehiclesnormally in service.

(a)(v) The maintenance, repair, reconditioning,examination, testing (including non-destructivetesting), alteration and day-to-day maintenanceof vehicles in use on the transport system, andincluding ‘hot spare’ trains on standby. Thiswork can be carried out in a depot, sidings oron the running lines. Where these tasks couldsignificantly affect the health or safety ofpersons on a transport system, the tasks aresafety critical and covered by this Regulationexcept where the work is subject to supervisionand checking by a safety critical worker or acontroller of safety critical work.

2 Maintenance ofsignalling relatedcomponents onvehicles normally inservice.

(a)(v) The maintenance, repair, reconditioning,examination, testing and alteration of signallingrelated components installed on a vehicle inuse on the transport system; thesecomponents include AWS and enhancements,ATP and variants of ERTMS. This work can becarried out in a depot, sidings or on therunning lines. These are safety critical tasksand covered by this Regulation except wherethe work is subject to supervision andchecking by a safety critical worker or acontroller of safety critical work.

3 Maintenance oftelecommunicationsrelated components onvehicles normally inservice.

(a)(v) The maintenance, repair, reconditioning,examination, testing and alteration oftelecommunications related componentsinstalled on a vehicle in use on the transportsystem; these include components of thenational radio network (NRN), cab secureradio (CSR) and Cab Mobile systems. Thiswork can be carried out in a depot, sidings oron the running lines. These are safety criticaltasks and covered by this Regulation exceptwhere the work is subject to supervision andchecking by a safety critical worker or acontroller of safety critical work.


1.6 Regulation 23(1)(a)(vi))

Checking that the vehicle is working properly and, where carryinggoods, is correctly loaded before being used.

Table I. Checking a vehicle

I Task Regulation23(1)


1 Checking that vehiclesare working properly.

(a)(vi) Before starting a journey and afterattaching or detaching vehicles a numberof checks, examinations or functional testsshould be carried out for the safe runningof vehicles, which may be powered orunpowered, including on-track plant andmachines, to determine if they are fit forpurpose and working properly. The personor persons responsible for checking thevehicles before they are used (including theperson carrying out train preparationchecks, and the driver) are covered by thisRegulation.

2 Checking that goodsare properly and safelyloaded.

(a)(vi) Before starting a journey loaded goodsvehicles should be checked to ensure thatthey are correctly loaded, includingchecking that the gross vehicle weight andany uneven loading are within limits, thegoods are satisfactorily secured and thegoods and any vehicle components do notand will not infringe the vehicle loadinggauge during the journey. The person orpersons responsible for carrying out thesechecks before the vehicles are used arecovered by this Regulation.


2. Regulation 23(1)(b)

A safety critical task, in relation to a transport system, means thefollowing.

2.1 Regulation 23(1)(b)(i)

Installation or maintenance of any part of it or of thetelecommunications system relating to it or used in connectionwith it, or of the means of supplying electricity directly to thattransport system or to any vehicles using it or to thetelecommunications system other than where the carrying out ofthat task is subject to supervision and checking by a safety criticalworker or a controller of safety critical work.

Table J. Installation and maintenance of permanent way

J Task Regulation23(1)


1 Installing track,components orstructures supportingthe permanent way.

(b)(i) The installation, examination and testing ofnew track, components and structuressupporting the permanent way andauthorising the use of the transport systemfor reduced speed or normal speed runningare covered by this Regulation. This includescomponents such as drainage and pumpsthat could significantly affect the health orsafety of persons on the transport system.These are safety critical tasks except wherecarrying out the task is subject tosupervision and checking by a safety criticalworker or a controller of safety critical work.

2 Maintaining track,components orstructures supportingthe permanent way.

(b)(i) The maintenance, repair, reconditioning,examination, testing and alteration of thetrack, components and structuressupporting the permanent way andauthorising the use of the transport systemfor reduced speed or normal speed runningare covered by this Regulation. Thisincludes the maintenance of componentssuch as drainage and pumps that couldsignificantly affect the health or safety ofpersons on the transport system. These aresafety critical tasks, except where carryingout the task is subject to supervision andchecking by a safety critical worker or acontroller of safety critical work.


Table K. Inspection of track and structures

K Task Regulation23(1)


1 Inspecting track. (b)(i) Track inspection, often carried out atregular intervals (eg by a patroller) mayidentify dangerous track defects thatrequire trains to operate at reduced speedor be stopped so that urgent maintenancework can be carried out; this is covered bythis Regulation.

2 Inspecting a bridgestrike.

(b)(i) After a bridge strike the track and bridgestructure must be examined for damageand structural integrity to determine if trainscan be authorised to run at normal linespeed or reduced speed, and themaintenance work required; this is coveredby this Regulation.

3 Examining anunderbridge, supportingstructure orembankment.

(b)(i) Examination of the track, supportingbridge, structure and embankment mayidentify damage or lack of structuralintegrity that requires trains to operate atreduced speed or be stopped so thaturgent maintenance work can be carriedout; this is covered by this Regulation.

J Task Regulation23(1)


3 Installing andcommissioning newinfrastructure.

(b)(i) The installation, testing and commissioningof new infrastructure is covered by thisRegulation. However, for large installationsit is likely that the supervision, checking andresponsibility for any operational limitations(eg temporary speed limits, etc) will becarried out by a safety critical worker andcovered by this Regulation.


Table L. On-track machines (OTMs, including on-track plant) andpermanent way maintenance vehicles for installation andmaintenance

L Task Regulation23(1)


1 Checking the settingsand calibrations on anOTM prior to use on therunning line.

(b)(i) The maintenance work of checking thesettings and calibrations on an on-trackmachine (OTM) to correct the track profileand support is covered by this Regulation,except where carrying out the task issubject to supervision and checking by asafety critical worker or a controller ofsafety critical work.

2 Operating an OTM thatalters the track profile.

(b)(i) The operation of an on-track machine (OTM)to maintain the permanent way affects theguidance and support for vehicles is coveredby this Regulation, except where carryingout the task is subject to supervision andchecking by a safety critical worker or acontroller of safety critical work.

3 Operating a vehicle onthe permanent way tocarry out maintenanceon the permanent wayor supporting structures,including the use of rail,road/rail, road wheeledor tracked vehicles.

(b)(i) The installation and maintenance of thepermanent way can involve a wide range ofvehicles including cranes and machinesthat could rotate and foul an adjacentrunning line. Every task that could affect thehealth or safety of people on the transportsystem is safety critical and is covered bythis Regulation, except where carrying outthe task is subject to supervision andchecking by a safety critical worker or acontroller of safety critical work.


Table M. Signal engineering

M Task Regulation23(1)


1 Installing signallingcomponents.

(b)(i) The installation, examination and testing ofsignalling components is covered by thisRegulation, except where carrying out thetask is subject to supervision and checkingby a safety critical worker or a controller ofsafety critical work.

2 Maintaining signallingequipment.

(b)(i) Maintenance, repair, reconditioning,examination, testing and alteration ofsignalling equipment components iscovered by this Regulation, except wherecarrying out the task is subject tosupervision and checking by a safetycritical worker or a controller of safetycritical work.

3 Installing andmaintaining thesignalling power supplysystem.

(b)(i) The installation and maintenance of thesignalling power supply system, thatpowers and therefore operates thesignalling equipment, is covered by thisRegulation, except where carrying out thetask is subject to supervision and checkingby a safety critical worker or a controller ofsafety critical work.

4 Inspecting signallingequipment.

(b)(i) Inspection, including the inspection as partof the investigation of an incident, mayresult in trains being stopped for urgentmaintenance work to be carried out, or adecision made on the use or non-use ofsignalling equipment; this is a safety criticaltask and covered by this Regulation.


Table N. Telecommunication systems

N Task Regulation23(1)


1 Installing andmaintaining NRN, CSRand Cab Mobile.

(b)(i) National radio network (NRN) is a securecommunication system connecting a driverto a Network Rail Control Office and coversmost of the UK. Cab secure radio (CSR) isa secure communication system between adriver and a signaller and is used mainly inSE England. The Cab Mobile system, usingGSM-R, is a secure communication systemconnecting a driver to a signaller and willsoon start to replace both NRN and CSRthroughout the UK.

Installation and maintenance of thesesystems also includes repair,reconditioning, examination, testing andalteration of the system or its components;these tasks are covered by this Regulationexcept where carrying out the task issubject to supervision and checking by asafety critical worker or a controller ofsafety critical work.

2 Installing andmaintaining signal posttelephones.

(b)(i) The location of every signal post telephone(SPT) is known to signallers. A SPT is usedby the signaller to identify where a traindriver, using the telephone, is speakingfrom and therefore locates the positionwhere the driver’s train is stopped; thisprovides crucial information to the signaller.

Installation and maintenance also includesrepair, reconditioning, examination, testingand alteration of the system or componentsof the signal post telephone system; thesetasks are covered by this Regulation exceptwhere carrying out the task is subject tosupervision and checking by a safetycritical worker or a controller of safetycritical work.


N Task Regulation23(1)


3 Installing andmaintainingelectrificationtelephones.

(b)(i) Electrification telephones are for use duringmaintenance and emergencies forcommunicating from the track and stationsto operators in the electrical control room(ECR). Errors in switching electrical powerwith up to 25,000 volts can seriously affectthe health and safety of those involved inthe installation and maintenance ofelectrification systems and components,and in emergencies can affect the healthand safety of operators and users of thetransport system.

Installation and maintenance also includesrepair, reconditioning, examination, testingand alteration of the system or componentsof the electrification telephone system;these tasks are covered by this Regulationexcept where carrying out the task issubject to supervision and checking by asafety critical worker or a controller ofsafety critical work.

4 Installing andmaintaining levelcrossing telephones.

(b)(i) Telephones at level crossings, being directlylinked to a signal box or signalling controlcentre, connects the caller to a signallerwho can say if it is safe to cross therailway line.

Installation and maintenance also includesrepair, reconditioning, examination, testingand alteration of the system or componentsof the level crossing telephone system;these tasks are covered by this Regulationexcept where carrying out the task issubject to supervision and checking by asafety critical worker or a controller ofsafety critical work.


Table O. Supplying electricity to the transport system, to vehiclesusing it and to the telecommunications system

O Task Regulation23(1)


1 Installing andmaintaining the powersupply and distributionsystem.

(b)(i) The power supply and distribution systemcovers the electrical equipment supplyingthe traction voltage, the conductors, theoverhead line equipment (OLE) structuresand equipment and the 3rd and 4th railsystem conductor rails and supports.

Installation and maintenance also includesrepair, reconditioning, examination, testingand alteration of the system or componentsof the systems, including fault finding andrectification. Where these tasks couldsignificantly affect the health or safety ofpersons on a transport system they arecovered by this Regulation, except wherecarrying out the task is subject tosupervision and checking by a safetycritical worker or a controller of safetycritical work.

2 Installing andmaintaining electricalequipment supplyingelectricity to thetelephone andtelecommunicationssystems.

(b)(i) Installation and maintenance also includesrepair, reconditioning, examination, testingand alteration of the system orcomponents, including fault finding andrectification, of the electrical equipmentsupplying the telecommunications systems,including NRN, CSR, Cab Mobile, SPT,electrification telephones and level crossingtelephones as listed in Table N.

Where these tasks could significantly affectthe health or safety of persons on atransport system they are covered by thisRegulation, except where carrying out thetask is subject to supervision and checkingby a safety critical worker or a controller ofsafety critical work.


2.2 Regulation 23(1)(b)(ii)

Controlling the supply of electricity directly to the transportsystem or to vehicles used on it.

Table P. Controlling the supply of electricity to the electric traction andsignalling systems

P Task Regulation23(1)


1 Controlling and isolatingthe traction supply.

(b)(ii) Controlling and isolating the electric tractionsupply to vehicles on a transport system,normally carried out in the Electrical ControlRoom, and isolating short sections carriedout by operators on the track are coveredby this Regulation.

2 Controlling the supplyof electricity to thesignalling system.

(b)(ii) The signalling system is part of thetransport system, so that controlling thesupply of electricity to the signalling systemis covered by this Regulation.


2.3 Regulation 23(1)(b)(iii)

Receiving and relaying of communications.

Table Q. Communicating with signallers, electrical control operators,PICOPs, Possession Masters and others (see Table Efor communications capable of controlling the movementof vehicles)

Q Task Regulation23(1)


1 Communicating withsignallers.

(b)(iii) Receiving and relaying communicationsbetween a signaller and drivers and otherscontrolling the movement of trains, thoseinvolved in setting up and operation ofpossessions, carrying out installation andmaintenance and others where thecommunication could significantly affect thehealth or safety of persons on a transportsystem are covered by this Regulation.

2 Communicating withelectrical controloperators.

(b)(iii) Receiving and relaying communicationsbetween an electrical control operator andthose who control the supply of electricityto the transport system, those carrying outinstallation and maintenance of theelectrical system and others where thecommunication could significantly affect thehealth or safety of persons on a transportsystem are covered by this Regulation.

3 Communicating with aPICOP (NR) andPossession Master(LUL)

(b)(iii) Receiving and relaying communicationsbetween a PICOP (person in charge ofpossessions, on Network Railinfrastructure), Possession Master (onLondon Underground) and those working ina possession where the communicationcould significantly affect the health or safetyof persons on a transport system arecovered by this Regulation.

4 Safety criticalcommunications byothers.

(b)(iii) Receiving and relaying communicationsbetween all persons, including usingspeech, touch, handsignals or using awhistle, horn, lamp, flags or audiblewarning systems (eg TOWS, LOWS or PeeWee systems) and others where thecommunication could significantly affect thehealth or safety of persons on a transportsystem are covered by this Regulation.


2.4 Regulation 23(1)(b)(iv)

Any person ensuring the safety of any persons working on ornear to the track, whether or not the persons working on or nearto the track are carrying out safety critical work.

Table R. Protecting persons on or near the track

R Task Regulation23(1)


1 Protecting peopleworking on or near thetrack.

(b)(iv) Ensuring the safety of people working on ornear the track is carried out by peopleincluding an IWA (individual working alone)protecting him/herself and by a Lookout,COSS (controller of site safety) and SiteWarden (on Network Rail) and ProtectionMaster (on London Underground) areprotecting others; these tasks are safetycritical where they could significantly affectthe health or safety of persons on a transportsystem and are covered by this Regulation.

2 Protecting people inpossessions.

(b)(iv) Ensuring the safety of people working inpossessions is carried out by peopleincluding a PICOP (person in charge ofpossessions), Engineering Supervisor andProtection Controller (on Network Rail) andPossession Master (on LondonUnderground); these tasks are safety criticalwhere they could significantly affect thehealth or safety of persons on a transportsystem and are covered by this Regulation.


3. Regulation 23(1)(c)

In relation to training, any practical training or the supervisionof any such training in any of the tasks set out in sub-paragraphs(a) to (b).

Table S. Practical training and the supervision of practical training

S Task Regulation23(1)


1 Practical training or thesupervision of practicaltraining in any of thetasks defined as safetycritical.

(c) The scope of this Regulation includespractical training, supervision of practicaltraining, coaching and assessment of thecompetence of individuals carrying outsafety critical tasks. This provides thepractical knowledge, understanding andexperience to carry out safety critical tasks.In this context practical training does notinclude the use of training aids such as asimulator or using a mock exercise in atraining workshop or depot.

The practical training should initially developcompetence in normal activities, beforeprogressing on to degraded operations andemergencies. The people carrying outpractical training, supervision of thepractical training, coaching andcompetence assessment are carrying outsafety critical tasks where they couldsignificantly affect the health or safety ofpersons on a transport system, and arecovered by this Regulation.


ANNEX B

HERITAGE RAILWAYS AND HERITAGE TRAMWAYS -CLARIFICATION OF SAFETY CRITICAL TASKS

Heritage railways and heritage tramways use different job titles forpeople carrying out the safety critical tasks listed in Annex A Tables Ato S. The equivalent job titles most often used by heritage railwaysand heritage tramways for people carrying out safety critical tasks arelisted in Table T.

Table T. Job Titles used by Heritage Railways and Heritage Tramways

No. Task Regulation23(1)

Job Titles used by HeritageRailways and Heritage Tramways

A1 Driving a vehicle on the runningline.

(a)(i) Driver

A2 Driving a vehicle inside apossession.

(a)(i) Driver

A3 Driving a vehicle within a siding. (a)(i) Driver

A4 Working as conductor driver on avehicle.

(a)(i) Driver

B1 Train dispatching. (a)(i) Guard, Station Staff, Driver

B2 Authorising the evacuation of atrain or tram in an emergency.

(a)(i) Guard

B3 Protecting a rail vehicle stoppedby an accident, failure, obstructionor other exceptional incident.

(a)(i) Driver, Fireman/Secondman, Guard

B4 Controlling the movement of a railvehicle.

(a)(i) Driver, Guard, Shunter

B5 Working as a pilotman duringsingle line working oremergencies.

(a)(i) Authorised competent staff

C1 Signalling duties. (a)(ii) Signalman

C2 Directing other staff for themovement of vehicles e.g. controlcentre staff when implementingcontingency plans in the event ofequipment failure.

(a)(ii) Controller, Signalman

C3 Hand signalling. (a)(ii) Signalman, competent personworking under the direction of aSignalman




C4 Stopping trains in an emergency. (a)(ii) Driver, Guard Signalman,competent Permanent Way (PW)staff

C5 Operating points. (a)(ii) Signal/Telephone Linesman,Technician, Signalman, Guard,Shunter, Fireman

C6 Controlling the movement oftrains to and from the runninglines.

(a)(ii) Signalman, Shunter, Fireman/Secondman, Guard, station staff

C7 Blocking lines and arrangingpossessions, including inemergencies.

(a)(ii) Line Controller, Signalman, Personin Charge of Possession, Isolationon Heritage Tramways by ElectricalEngineer, Overhead Linesman

C8 Controlling the movement oftrains into and out of apossession.

(a)(ii) Signalman, PWSupervisor/Foreman, Person inCharge of Possession

C9 Controlling the movement oftrains within a possession.

(a)(ii) PW Supervisor/Foreman, Person inCharge of Possession

D1 Operating level crossingequipment and controlling signalslocally.

(a)(ii) Signalman, Level Crossing Keeper

D2 Operating level crossingequipment and controlling signalsremotely.

(a)(ii) Signalman

E1 Communicating with signallersand line controllers.

(a)(ii) Driver, Guard, Fireman, Controller

E2 Communicating with electricalcontrol operators.

(a)(ii) Driver, Conductor

E3 Any activity capable of controllingor affecting the movement of avehicle.

(a)(ii) Driver, Shunter, Guard, Fireman

F1 Coupling or uncoupling vehicles. (a)(iii) Guard, Fireman/Secondman,Shunter, Station Staff

G1 Installation of components ontovehicles normally in service.

(a)(iv) Maintenance staff

G2 Installation of signalling relatedcomponents onto vehiclesnormally in service.


G3 Installation of telecommunicationsrelated components onto vehiclesnormally in service.





H1 Maintenance of vehicles normallyin service.

(a)(v) Maintenance staff

H2 Maintenance of signalling relatedcomponents on vehicles normallyin service.


H3 Maintenance of telecommunicationsrelated components on vehiclesnormally in service.


I1 Checking that vehicles areworking properly.

(a)(vi) Shedmaster/Locomotive Foreman,Examiner Fitter, Carriage & WagonExaminer/Foreman, Driver,Fireman/Secondman, Guard

I2 Checking that goods are properlyand safety loaded.

(a)(vi) Guard, Driver

J1 Installing track, components orstructures supporting thepermanent way.

(b)(i) Civil Engineer/Supervisor

J2 Maintaining track, components orstructures supporting thepermanent way.

(b)(i) Civil Engineer/Supervisor

J3 Installing and commissioning newinfrastructure.

(b)(i) PW Supervisor/Foreman

K1 Inspecting track. (b)(i) PW Patrolman

K2 Inspecting a bridge strike. (b)(i) Bridge Strike Nominee

K3 Examining an underbridge,supporting structure orembankment.


L1 Checking the settings andcalibrations on an OTM prior touse on the running line.

(b)(i) Technician

L2 Operating an OTM that alters thetrack profile.


L3 Operating a vehicle on thepermanent way to carry outmaintenance on the permanentway or supporting structures,including the use of rail, road/rail,road wheeled or tracked vehicles.

(b)(i) Driver

M1 Installing signalling components. (b)(i) Signal/Telephone Linesman,Technician




M2 Maintaining signalling equipment. (b)(i) Signal/Telephone Linesman,Technician

M3 Installing and maintaining thesignalling power supply system.

(b)(i) Signal/Telephone Linesman,Technician

M4 Inspecting signalling equipment. (b)(i) Signal/Telephone Linesman,Technician

N1 Installing and maintaining NRN,CSR and Cab Mobile.

(b)(i) Signal & Telegraph (S&T)Technician, Linesman, Electrician

N2 Installing and maintaining signalpost telephones.

(b)(i) S&T Technician, Linesman,Electrician

N3 Installing and maintainingelectrification telephones.


N4 Installing and maintaining levelcrossing telephones.


O1 Installing and maintaining thepower supply and distributionsystem.

(b)(i) Electrical Maintenance Engineer

O2 Installing and maintainingelectrical equipment supplyingelectricity to the telephone andtelecommunications systems.

(b)(i) S&T Technician, Electrician

P1 Controlling and isolating thetraction supply.

(b)(ii) Heritage Tramways – ElectricalEngineer, Overhead Linesman

P2 Controlling the supply of electricityto the signalling system.

(b)(ii) S&T Technician

Q1 Communicating with signallers. (b)(iii) Driver, Fireman, Guard, LevelCrossing Keeper, Line controller,Station Staff

Q2 Communicating with electricalcontrol operators.

(b)(iii) Driver, Fireman, Guard, LevelCrossing Keeper, Line controller,Station Staff

Q3 Communicating with a PICOP(NR) and Possession Master (LUL)

(b)(iii) Driver, Guard, Signalman, Controller

Q4 Safety critical communications byothers.

(b)(iii) All

R1 Protecting people working on ornear the track.

(b)(iv) Lookout, PICOW or equivalent, SiteWarden or equivalent

R2 Protecting people in possessions. (b)(iv) Lookout, PICOW or equivalent, SiteWarden or equivalent

S1 Practical training or the supervisionof practical training in any of thetasks defined as safety critical.

(c) Training Officer, Trainers, Inspectors

safety criticaltask s- clarification of rogs...

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