Deviations from Standards

Temporary Non-Compliance:
GUIDANCE ON APPLICATIONS FOR TEMPORARY NON-COMPLIANCE

The requirements contained in Railway Group Standards (RGS) are mandatory on all Duty Holders

It is recognised that there may be circumstances where it is not reasonably practicable to comply, either in total or in part, with all the requirements contained within Railway Group Standards. In these cases it is necessary to formalise the situation in accordance with the requirements of the Railway Group Standards Code (RGSC). This document provides guidance on how to apply the requirements contained in the RGSC.

Temporary Non-Compliance (TNC) - Definition

This is where the Duty Holder intends to not comply with a Railway Group Standard (or obtain a Non-Compliance or Derogation) for a predetermined period.

If the application is agreed, the Duty Holder will be issued with a Certificate of Temporary Non-Compliance. The Certificate will contain an expiry date and the Duty Holder will have to introduce a safety management system, which will produce at least the same level of safety as that which would be achieved by complying with the requirements of Railway Group Standard.

Completing the Application Form

All applications should be submitted in electronic format to proposalsanddeviations@rssb.co.uk. A signed copy should also be supplied.

Specific items to consider for Temporary Non-Compliances

a) Applications in this category can only be made by Duty Holders.
b) The applicant should ensure that the Designated Competent Authority for the subject area(s) in question supports (and signs) the application form.
c) The applicant should clearly demonstrate why it is unreasonable to comply with the RGS in accordance with the compliance requirements contained in that RGS.
d) In nearly all cases it will be necessary to introduce temporary controls for the duration of the TNC to compensate for not complying with the RGS. The applicant needs to demonstrate that the these temporary controls make the situation at least as safe as that achieved by complying with the RGS and that risks are reduced to as low as reasonably practicable.
e) The applicant needs to show how compliance will be achieved by demonstrating that the method of elimination is practical and achievable within the timescale of the TNC.
f) Except in very limited circumstances (listed in the RGSC), all applications will be approved, approved with modifications or rejected by a subject committee.

Examples of situations where Temporary Non-Compliance may be suitable

Temporary non-compliances are suitable for the following circumstances:

a) Where it is not reasonably practicable to comply with the RGS within the specified compliance requirements and more time is needed to comply fully.
b) Where a new alternative practice is to be used for a trial period and other controls are present to control the safety of the temporary situation.
c) Where a Duty Holder needs more time than allowed in the RGS to assess the impact of full compliance.
d) Where circumstances change for a limited period of time and an alternative practice is more appropriate.

Conditions attached to Temporary Non-Compliance

a) Temporary non-compliances always have a limited validity and the expiry date will be shown on the certificate. The maximum validity is 12 months.
b) The certificate holder should review the situation at suitable intervals to ensure that the timescale for compliance is achievable and practical. If the timescale becomes unrealistic, the certificate holder should instigate plans to recover the situation as soon as possible.
c) An extension to a temporary non-compliance may be granted providing the situation remains as safe as that would have been achieved by complying with the RGS.
d) It is important that reapplications are submitted with enough time to give the application sufficient attention.

Treatment of Temporary Non-Compliances on publication of a new RGS.

In order to clarify the circumstances where a Railway Group Member is in possession of Temporary Non-Compliance against a Railway Group Standard, which has been re-issued or superseded, the Briefing Note for the new document will set out the situation for all certificates in force at the time of publication.

General guidance is set out below:

When an RGS is superseded by a new issue of the same RGS.
A Temporary non-compliance automatically applies to the new issue of the RGS until the expiry date stated on the certificate unless otherwise advised by RSSB.

When an RGS is superseded by a new issue of a new RGS (ie an RGS with a different reference number).
A Temporary Non-Compliance automatically applies to the new RGS until the expiry date shown on the certificate unless otherwise advised. The certificate will not normally be revised to reflect the new RGS number.

In all cases, the new RGSs and particularly the compliance requirements and Briefing Notes should be studied by the holder of a TNC to ensure that their particular circumstances are adequately covered. The alternative controls agreed for the TNC should also be reconsidered in relation to the requirements of the new RGS.

Download - Deviation application form