Certification and Assurance Stephen Clarke Lead Signatory - Ricardo Certification 1st November 2018

About us Ricardo Certification is an independent business within the Ricardo group that is accredited to provide assurance services by the relevant regulatory authorities. We have extensive experience of performing third-party assessment roles on high profile projects: In Europe we are the Notified Body and Assessment Body for the central section of London’s Crossrail and the migration of Denmark’s national network to ERTMS operation. In Asia, we have supported the introduction of new signalling technologies, including the first to be developed by domestic suppliers, and their application on China’s metros and mainline railways In the Middle East, we are the Independent Safety Assessor for Doha Metro and Riyadh Metro.

Scope of Services Technical safety of systems and products – signalling systems, track, switches, rolling stock etc Safety of the operating railway application systems and products to the railway railway operations (and maintenance) A focus on helping our clients achieve approvals, certify their products and bring systems into service

UK Safety Approvals In the UK, safety approvals for railway systems and operators of the railway are addressed in: RIR 2011 (the Railway Interoperability Regulations) ROGS 2006 (as amended in 2009) New mainline railways and changes to the mainline railway will typically require application of the EU’s Common Safety Method – Risk Assessment Regulation (CSM-RA Regulation) – if the change is ‘significant’ an Assessment Body will be required to check compliance Metro, Light Rail and Private railways do not need to apply CSM-RA, but a safety risk assessment is still required to show that the railway will be acceptably safe FOCUS is SAFETY OF THE OPERATIONAL RAILWAY – Safe systems, safe operation

Risk Assessment as defined in CSM-RA The CSM Risk Assessment Process has been applied for nearly 10 years Network Rail requires that all infrastructure upgrade projects apply the CSM-RA Regulations Only significant projects require an Assessment Body to check compliance Problems with application of the CSM-RA Regulations Applied to a very wide a range of projects The requirement to record and address All Foreseeable Hazards Benefits of the CSM-RA Regulations Application of the three types of Risk Assessment Principle Application of Codes of Practice to address hazards should be straightforward [but many projects do not take advantage of the provisions provided for application of COP]

Risk Assessment as defined in CSM-RA Lack of standardisation in approach to CSM-RA by projects Lack of use of standard hazard records as starting points for hazard identification Pockets of experience and lack of experience – especially when applying the process to large engineering works Different approaches to assessment by ASBOs – levels of assessment detail vary, and there are various in- house ways of doing things To improve consistency in Assessment there are: a UK ASBO forum an ERA ASBO Cooperation Group [Note though when you review approaches across Europe though there are greater inconsistencies]

BREXIT impact? NO MATERIAL CHANGE to Safety Approvals in the UK For INTEROPERATBILITY, EU NOBOs will need to be appointed by an EU-27 country BUT ASBOs appointment/accreditations are generic and applicable everywhere For INTEROPERABILTY Technical Standards for Interoperability - in time, the UK could diverge from those that are enforced in the EU BUT, since the CSM-RA has a generic definition of a risk management process, there is no reason why the UK would apply a different process than applied to railways in the EU-27 countries Note however that there will be an amendment to RIR 2011 and ROGS – principally to address the change in relationship with Europe The requirement for risk assessment and compliance with CSM-RA will remain

Stephen Clarke Ricardo Certification 5 St Mary’s Court Blossom Street York, YO24 1AH +44 (0)7789 176403 stephen.clarke3@ricardo.com