Railway Standards Code

Governance arrangements for Railway Group Standards, Rail Industry

Standards, National Operations Publications, and industry recommendations
for revisions to National Technical Specification Notices

Issue: Five
Approved by the Office of Rail and Road
Effective date 1 January 2024

© Copyright 2024
Rail Safety and Standards Board Limited
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Issue record

Issue Effective Comments

date
Interim Code 1 April 2003 Produced to cover the period between the establishment of
to 18 January RSSB on 1 April 2003 and the Railway Group Standards Code
Issue One – pending Issue One being consulted and published.
2004
Railway Group 19 January Fully consulted version of the Code developed by a cross
Standards 2004 industry group, based on the Interim Code and the provisions of
Code Issue Annex E to the document published by the Rail Regulator in
One February 2003 and entitled ‘Establishment of a Rail Industry
Safety Body: Notice of Proposed Licence Modifications and
Regulator’s Conclusions’.
Railway Group 1 February Issue One amended to reflect:
Standards 2006 • Changed scope of Railway Group Standards
Code Issue
• Renaming the Standards Co-ordination Committee as the
Two
Industry Standards Co-ordination Committee
• Renaming Subject Committees as Standards Committees
• Establishment of Lead and Support Standards Committees
• Standards Committees assigned responsibility for monitoring
European standards issues
• Targeted and open access consultation
• Housekeeping updates.
Railway Group 07 June 2008 Issue Two rewritten in its entirety and split into a Railway Group
Standards Standards Code (this document) and a supporting Standards
Code Issue Manual. The major changes in Issue Three of the Code are:
Three (the • Restatement of the scope of Railway Group Standards (may
Code) include any co-operation between duty holders)
• Removal of the decision criteria and implementation of a
decision framework)
• Non-compliances (pending standards change) have been
withdrawn and replaced by a process for small scale changes
to Railway Group Standard
• Deviation applicants must now consult affected parties prior
to a Standards Committee considering their application.
• Paper hardcopies have been withdrawn as the means of
issuing controlled copies of Railway Group Standards and
replaced by the electronic copy available online (see
www.rgsonline.co.uk
Railway Group 03 June 2013 Issue Four has been revised as follows:
Standards
Code Issue

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 Issue Effective Comments
date
Four (the • The board intervention procedure has been removed and
Code) will be published separately.
• A single, flexible Railway Group Standards change process,
rather than two separate processes depending on the scale
of the change proposed.
• A single type of deviation from Railway Group Standards,
with conditions if necessary, rather than two types of
deviation.
• A restatement of the scope of Railway Group Standards,
reflecting their role as national rules, and improving clarity
for decision makers.
• Opening the processes in the Code to anyone who must
comply with Railway Group Standards, not just RSSB
members.
• Reduction in detail about RSSB’s activities in administrating
the processes set out in the Code.
Railway 1 January Amended to:
Standards 2024 • Expand the Code to include the governance procedures for
Code Issue RISs, NOPs and recommendations for NTSN revisions, and
Five (the hence rename as the ‘Railway Standards Code’.
Code)
• Update the legislative context and other sections as
necessary to reflect changes to the regulatory framework as
a result of EU Exit.
• Clarify that deviations are only required for NTRs contained
in an RGS required for authorisation to place into service.
• Make all language gender neutral.

Publication
This document is published by RSSB and is available through www.rssb.co.uk.

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Contents

1 Background.................................................................................................... 5
2 Definitions ..................................................................................................... 7
3 Responsibilities of transport operators ......................................................... 9
4 Committees ................................................................................................. 10
5 Scope, decision taking principles and content of railway standards ........... 13
6 Changes to railway standards....................................................................... 14
7 Deviations from RGSs................................................................................... 17
8 Intervention and appeals ............................................................................. 19
9 Administration of the Code and the Standards Manual............................... 21
10 Publication ................................................................................................... 24

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 1 Background
1.1 Interoperability
1.1.1 The Railways (Interoperability) Regulations 2011 (as amended) place specific
responsibilities on the Secretary of State with respect to the publication of National
Technical Specification Notices (NTSNs) and supplementary National Technical Rules
(NTRs).
1.1.2 Decisions regarding these technical standards are informed by the rail industry.
a) For NTSNs, this is through formal recommendations for revisions.
b) For NTRs, this is typically through Railway Group Standards (RGSs) which
contain requirements that satisfy the conditions for national technical rules or
national safety rules applicable to the mainline railway system.
1.1.3 The Railway Standards Code (the Code) therefore sets out the conditions under
which the industry makes its decisions and provides recommendations to the
Secretary of State regarding NTSNs and NTRs to ensure that they:
a) Are laid down in an open and non-discriminatory manner
b) Foster the development of a single rail transport system in Great Britain
c) Implement the essential requirements
d) Are published in clear language, and
e) Are made available to all interested parties.
1.1.4 The Code does not set out procedures by which these recommendations are made
applicable as NTSNs or NTRs, on which the Secretary of State has reserved the right
to make decisions. The Secretary of State also reserves the right to make decisions
about NTRs applicable to the mainline railway system that are not RGSs.
1.2 Operating Licences
1.2.1 The Railways Act 1993 (as amended) requires transport operators to have a licence
from the Office of Rail and Road (ORR). This includes a Statement of National
Regulatory Provisions, which contains conditions for transport operators in relation
to compliance with the Code and applicable RGSs and Rail Industry Standards
(RISs).
1.2.2 The Code therefore also sets out a statement of the principles, which are approved
by the ORR, upon which the industry shall base its decisions about RGSs and RISs
and how these are published.
1.3 Purpose of the Code
1.3.1 The Code defines the procedures by which RGSs and RISs are:
a) Created, revised or withdrawn
b) Authorised
c) Published
d) Monitored and reviewed for effectiveness
1.3.2 The Code also defines the procedures by which:

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 a) Deviations from RGSs are managed
b) Recommendations for revisions to NTSNs are developed and authorised.
1.3.3 The Code is supported by a Standards Manual which describes how the
requirements of the Code are to be delivered. As a result, both the Code and the
Standards Manual (the Manual) need to be read together in order to obtain a
complete understanding of these procedures.

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 2 Definitions
2.1 In the Code, unless the context otherwise requires, the following terms shall have
the following meaning:

Deviation
A permission to comply with a specified alternative to a requirement or
requirements in an RGS. This has a specified scope and, where relevant, duration.
Essential requirements
As set out in Schedule 2 of the Railways (Interoperability) Regulations 2011 (as
amended).
Industry Categories
As set out in the RSSB Constitution Agreement
Infrastructure manager
This has the meaning given to it in the Railways and Other Guided Transport
Systems (Safety) Regulations 2006 (as amended), save that for the purpose of the
Code, the term is limited to those infrastructure managers who hold a safety
authorisation issued in respect of the mainline railway.
Interested party
Any party who is, or is likely to be, directly affected by the subject matter of an
existing or proposed railway standard, or any variation thereto.
Mainline railway
This has the meaning given to it in the Railways and Other Guided Transport
Systems (Safety) Regulations 2006 (as amended) but excluding any railway in
Northern Ireland; the dedicated high-speed railway between London St Pancras
International Station and the Channel Tunnel; and the Channel Tunnel.
Mainline railway system
The mainline railway and the management and operation of the mainline railway
as a whole.
National Operations Publication (NOP)
Defines instructions for direct application by staff employed by transport
operators. An example is the Rule Book, containing modules and handbooks with
instructions for operating personnel such as drivers, signallers, or track workers.
National safety rule (NSR)
As set out in the Railways and Other Guided Transport Systems (Safety)
Regulations 2006 (as amended).
National technical rule (NTR)
As set out in the Railways (Interoperability) Regulations 2011 (as amended).
National Technical Specification Notice (NTSN)
As set out in the Railways (Interoperability) Regulations 2011 (as amended).
Rail Industry Standard (RIS)

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 A document produced under the procedures set out in the Code (or in previous
versions of the Manual, or equivalent predecessor documents) that defines
requirements in respect of the mainline railway system that are not within the
scope of national technical rules or not necessary to set out as national technical
rules.
Railway Group Standard (RGS)
A document produced under the procedures set out in the Code (or equivalent
predecessor documents, including previous versions of the Code) that defines
requirements in respect of the mainline railway system. RGSs contain national
technical rules and national safety rules applicable to the mainline railway system.
Railway standard
Used in the Code to collectively refer to Railway Group Standards, Rail Industry
Standards, National Operations Publications authorised by RSSB, and industry
recommendations to the Department for Transport in relation to National
Technical Specification Notices.
Railway undertaking
This has the meaning given to the term ‘transport undertaking’ in the Railways
and Other Guided Transport Systems (Safety) Regulations 2006 (as amended),
save that for the purpose of the Code, the term is limited to those railway
undertakings who hold a safety certificate issued in respect of the mainline
railway.
Requirement
A discrete statement that identifies an action to be taken, a process to be
followed or a state to be achieved.
RSSB
The Rail Safety and Standards Board Limited.
Subsystem
As set out in the Railways (Interoperability) Regulations 2011 (as amended).
Transport operator
Either a railway undertaking or an infrastructure manager.

2.2 Other terms defined in the Railways and Other Guided Transport Systems (Safety)
Regulations 2006 (as amended) and the Railways (Interoperability) Regulations
2011 (as amended) shall have the meanings given to them in those regulations.

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 3 Responsibilities of transport operators
3.1 Transport operators shall:
a) Provide suitably empowered representatives to participate in, or be elected
for participation in, the Industry Standards Co-ordination Committee (ISCC),
standards committees, and any sub-committees, drafting groups or drafting
review groups.
b) Encourage their suppliers to provide suitable representatives to participate in,
or be elected for participation in, the ISCC, standards committees, and any
sub-committees and drafting groups.
c) Promptly and adequately review all documents issued for consultation under
the Code relating to changes that affect them and make suitable inputs and
responses in accordance with the procedures defined in the Code and the
Manual.
d) Provide all such information as may reasonably be required in order to assess
the impacts of:
i) A proposal to develop, revise or withdraw an RGS or RIS
ii) An application for a deviation from an RGS
iii) A proposal to develop, revise or withdraw an NTSN
e) Have internal arrangements directed towards ensuring that, when there is an
intention to change their practices or introduce new technology which may
require a change to an RGS or RIS, or a deviation from an RGS, a reasonably
sufficient time is allowed for the development to be accommodated by the
procedures defined in the Code and the Manual.

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 4 Committees
4.1 The Board of RSSB
4.1.1 The Board of RSSB (the Board) shall keep under review the activities of the Industry
Standards Co-ordination Committee, the standards committees and RSSB as they
relate to the responsibilities placed on them in the Code and the Manual and shall
fulfil the intervention function set out in 8.1.
4.2 Industry Standards Co-ordination Committee
4.2.1 A committee, known as the Industry Standards Co-ordination Committee (ISCC) and
accountable to the Board, shall be established and maintained.
4.2.2 The purpose of ISCC shall include:
a) Providing standards committees, RSSB and others with responsibilities for the
management of railway standards with direction, advice and guidance on
matters including, but not limited to:
i) The interpretation of the Code
ii) British, European and international standards issues relevant to the
mainline railway system which affect railway standards
iii) Prioritisation and resource allocation for changes to railway standards
iv) The reconciliation of uncertainty or conflict between standards
committees
v) The impact of any changes in legislation on the content of railway
standards
vi) Any strategies approved by the Board as relevant to railway standards
vii) Actions required to correct any alleged failure of process or causes of
undue delay, which may include elevating matters to the Board.
b) Providing advice to the Board under the intervention procedure in 8.1
c) Monitoring and reviewing the effectiveness of:
i) RGSs and RISs in meeting their purpose
ii) The procedures defined in the Code and the Manual.
d) Providing advice to the Department for Transport (DfT) and the Office of Rail
and Road (ORR) on:
i) the role of the requirements in RGSs as national technical rules or
national safety rules and the implications of these roles for the
management of RGSs.
ii) the suitability of requirements in NTSNs and proposals to change these
requirements.
4.2.3 It is permissible for ISCC to have other, additional purposes. These other purposes
shall be defined in the Manual.

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 4.3 Standards committees
4.3.1 Committees, known as standards committees and reporting to ISCC, shall be
established and maintained.
4.3.2 The purpose of the standards committees shall include:
a) Advising, prioritising and approving the creation of RGSs and RISs, and the
development, revision and withdrawal of RGSs and RISs.
b) Identifying and proposing new requirements, or improvements to
requirements defined in existing RGSs and RISs, or the withdrawal of
requirements from existing RGSs and RISs.
c) Ensuring the suitability of the requirements in RGSs as National technical rules,
or National safety rules.
d) Approving deviations from requirements in RGSs.
e) Approving the industry recommendation to the Secretary of State for revisions
to NTSNs.
f) Identifying and proposing improvements to the procedures defined in the
Code and the Manual.
g) Monitoring and reviewing the Technical Specifications for Interoperability and
other British, European and international standards in order to identify any
necessary revisions to requirements in railway standards.
h) Advising, prioritising and approving resources to support industry’s input to
British, European and international standards activities relevant to railway
standards.
i) Informing ISCC about issues which could have significant implications for the
mainline railway system.
4.3.3 Other than items 4.3.2 a), d) and e), standards committees may delegate to sub-
committees any of the activities listed in 4.3.2, subject to such terms and
restrictions as they may specify. Any sub-committee having delegated authority for
the activities listed in 4.3.2 shall from time-to-time provide a report on those
activities to the standards committee delegating the activities.
4.3.4 It is permissible for the standards committees to have other, additional, purposes.
These other purposes shall be defined in the Manual.
4.4 Membership of committees
4.4.1 The membership of ISCC and of each standards committee shall, as a minimum,
allow for a representative of each of the industry categories entitled to be
represented on the Board and a representative of RSSB.
4.4.2 Other than the chair of ISCC and the chair of a standards committee, each member
of ISCC or a standards committee representing an industry category shall represent
the views of their industry category.
4.4.3 A committee may co-opt persons to be members of that committee where it
appears to the committee that such persons will better enable it to fulfil its
functions, provided that the majority of the committee members are
representatives of the industry categories referred to in 4.4.1.

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 4.4.4 The DfT and the ORR may each appoint an observer to ISCC, each standards
committee and any sub-committee.
4.4.5 Information about ISCC and each standards committee shall be published which:
a) Lists the name of each member of the committee representing an industry
category, the industry category that the member represents, and the company
for which the member works
b) Lists the name of the member of the committee representing RSSB
c) Lists the name of each person co-opted as a member of the committee and
the company for which the person works, where the committee intends that
person to be a member of the committee for a period of greater than one year
d) Lists the name of any DfT and ORR observers to the committee
e) Identifies the chair of the committee
f) Identifies the point of contact for the committee and lists their contact details

4.5 Method of decision taking by committees

4.5.1 All decisions taken by committees shall be undertaken by consensus, where
consensus means general agreement, characterised by:
a) The absence of sustained opposition to substantive issues by any member of
the committee concerned
b) A process that involves considering the views of all the members of the
committee concerned and reconciling conflicting arguments.
4.5.2 When, in the opinion of the chair, a committee is unable to achieve consensus and
undue delay would result, the decision shall be elevated to the Board under the
intervention procedure in 8.1.
4.6 Administrative support for committees
4.6.1 RSSB is responsible for the administration of ISCC, standards committees and sub-
committees and their meetings, and the provision of the resources, support and
information necessary for their operation.

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 5 Scope, decision taking principles and content of
railway standards
5.1 Scope of RGSs and RISs
5.1.1 A requirement is within the scope of an RGS if it meets the characteristics of either
a national technical rule or a national safety rule and satisfies any criteria set out in
the Manual.
5.1.2 A requirement is within the scope of a RIS or a NOP if it satisfies any criteria set out
in the Manual.
5.1.3 RSSB may produce related documents to support application of railway standards
as set out in the Manual.
5.1.4 Requirements setting safety targets for the mainline railway system are not within
the scope of RGSs or RISs.
5.1.5 Requirements on safety management systems and safety certification of railway
undertakings or safety authorisation of infrastructure managers are not within the
scope of RGSs or RISs.
5.2 Decision taking principles for railway standards
5.2.1 In taking decisions related to requirements, including decisions on any proposals
for changes to requirements in railway standards or deviations from requirements in
RGSs, standards committees shall only approve solutions which promote the long-
term best interests of the mainline railway system as a whole.
5.2.2 Additionally, in taking decisions on proposals for changes to requirements in RGSs
or recommendations to revise NTSNs, standards committees shall only approve
solutions which enable the mainline railway system, its subsystems and
interoperability constituents to meet the essential requirements.
5.3 Content of RGSs and RISs
5.3.1 Each RGS and RIS shall identify:
a) Its purpose and scope.
b) The requirements to be met and, if further clarification is required, the
rationale for the requirement and what is to be done in order to comply with
those requirements.
c) Where appropriate, how conformity with each requirement may be assessed.
d) In the case of a process prescribing how subsystems and interfaces are
operated or managed, who is responsible for putting the process into effect.
e) Under what circumstances requirements are complied with or when processes
come into effect.
5.3.2 5.3.1 e) shall allow (so far as practical) a reasonable time for industry parties,
whom the relevant standards committee considers may be materially affected by
the change, to make consequential changes within their businesses.

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 6 Changes to railway standards
6.1 Proposals for changes to railway standards
6.1.1 A change to a railway standard means:
a) For RGSs, RISs and NOPs authorised by RSSB, creating new requirements, or
revising or withdrawing existing requirements.
b) For NTSNs, developing a formal industry recommendation to create new
requirements, or to revise or withdraw existing requirements.
6.1.2 Any party, including ISCC or a standards committee, may submit a proposal to
change a railway standard.
6.1.3 A proposal shall:
a) Clearly describe the need for the proposed change to a requirement.
b) State when this change is needed and the reasons for the stated timescale.
c) Provide relevant supporting information to assist the standards committee in
taking a decision in accordance with 5.2, regarding whether to proceed with
the proposal.
6.1.4 The method of submitting proposals for changes to railway standards shall be set
out in the Manual.
6.1.5 The proposer shall be kept informed of progress with the proposal, and of any
significant amendments to it, with an explanation for these amendments.
6.2 Consideration of proposals for changes to railway standards by
standards committees
6.2.1 The relevant standards committee shall review each proposal for change to a
railway standard (except for any which are trivial or vexatious), considering
whether the proposal is sufficiently complete, based on the requirements in 6.1.3.
6.2.2 The relevant standards committee shall decide, using the decision taking principles
set out in 5.2, whether to proceed with the proposal.
6.3 Production of railway standards
6.3.1 Appropriate expertise and experience shall be employed in the production of
changes to railway standards to achieve the necessary quality of output.
6.4 Determination of consultation requirements by standards
committees
6.4.1 For each proposed change to a railway standard the relevant standards committee
shall determine the manner in which consultation is to be undertaken in
accordance with either 6.5 or 6.6. If consultation is to be undertaken in accordance
with 6.5 the relevant standards committee shall determine:
a) The amount of the railway standard that should be subject to consultation, and
b) The time allowed for consultees to respond to the consultation.

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 6.5 Process for full consultation with industry
6.5.1 For each proposed change to a railway standard the parties listed below shall be
consulted:
a) All parties who have indicated a preference for being notified of proposed
changes to that railway standard or relevant technical area.
b) Any other parties or representative associations whose members might (in the
relevant standards committee’s reasonable opinion) be directly affected by
the proposed change.
c) Any other parties, including trades unions and passenger groups, whom a
standards committee reasonably considers will assist them in assessing the
matters listed in 5.2.
6.5.2 All parties who must currently comply or may reasonably be expected to have to
comply in future with the standard shall be given the opportunity to indicate a
preference for being notified of proposed changes to it.
6.5.3 Those parties who fall into points 6.5.1 a) to c) shall be advised of the existence of
the relevant consultation information on a website.
6.5.4 A facility shall be provided for any other party that wishes to comment to do so
through the website.
6.5.5 Once the consultation is complete, the relevant standards committees shall:
a) Consider fully and fairly all comments received, taking account of the
legitimate interests of the party commenting, and
b) Determine if and how the proposed change to the railway standard is
amended in response to the consultation comments.
6.5.6 The relevant standards committee shall approve the consultation comments and
associated responses which shall be published and sent to those parties who
commented on the proposed change.
6.6 Consultation with standards committees
6.6.1 Where a change to a railway standard is expected to have a limited impact, as
determined by the standards committee, or is urgently required in exceptional
circumstances, the relevant standards committee may decide that consultation can
be undertaken by standards committee members within the committee.
6.7 Approval and authorisation
6.7.1 All new, revised or withdrawn requirements in a railway standard shall require the
approval of the relevant standards committee.
6.7.2 Provided a correction or amendment does not change the meaning of any
approved requirement, after approval and prior to authorisation, it is permissible
for:
a) Typographical errors to be corrected, and
b) The text to be amended where that would bring clarity.

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 6.7.3 Following standards committee approval, RSSB shall authorise a change to
requirements in a railway standard, provided, in the opinion of RSSB, the
procedure set out in the Code and the Manual has been followed and the decision
taking principles set out in 5.2 have been applied correctly.
6.7.4 Where RSSB withholds authorisation of a change to requirements in an RGS it shall
provide reasons to the standards committee. The standards committee may
reconsider the railway standard, taking into account RSSB’s reasons for withholding
authorisation, and re-submit it to RSSB for further consideration.
6.7.5 On authorisation of the industry recommendation for new, revised or withdrawn
requirements in an NTSN, RSSB shall issue this as a formal industry
recommendation to the DfT.
6.8 Publication of RGSs, RISs and NOPs
6.8.1 On authorisation of new, revised or withdrawn requirements in an RGS, RIS or NOP:
a) The relevant RGS, RIS or NOP shall be published or withdrawn as required, and
b) The following parties shall be informed, specifying when the change will
become effective:
i) Relevant standards committees
ii) All parties who have indicated a preference for being notified of changes
to the RGS, RIS or NOP in question.

6.9 Reviewing the effectiveness of RGSs and RISs

6.9.1 All RGSs and RISs shall be subject to a periodic review to determine their ongoing
fitness for purpose.
6.9.2 If, in the opinion of ISCC or a standards committee, a requirement in an RGS or RIS
has ceased to be fit for purpose, a proposal for change shall be submitted in
accordance with 6.1.
6.9.3 The frequency and procedure for the review of RGSs and RISs shall be defined in the
Manual.
6.10 Availability of withdrawn documents
6.10.1 A collection of the following documents shall be maintained and published:
a) RGSs, RISs or NOPs withdrawn in accordance with the procedures set out in
this or earlier issues of the Code or Manual.
b) Such equivalent predecessor documents published by the British Railways
Board, Railtrack PLC, Railway Safety or RSSB as are available.

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 7 Deviations from RGSs
7.1 Deviation applications
7.1.1 An application for a deviation from an NTR contained in an RGS shall be made by:
a) Any party who must currently comply, or may reasonably be expected to have
to comply in future with it under the Railways (Interoperability) Regulations
2011 (as amended), or
b) A third party acting on behalf of, and with the support of, any party who must
currently comply, or may reasonably be expected to have to comply in future
with it under the Railways (Interoperability) Regulations 2011 (as amended).
7.1.2 A deviation from an NTR contained in an RGS shall be granted only to one or more
specified parties who must currently comply, or may reasonably be expected to
have to comply in future, with it.
7.1.3 The method of submitting applications for a deviation shall be set out in the
Manual.
7.1.4 All applications to deviate from a requirement in an RGS shall:
a) Clearly state the alternative provisions that will apply in place of the relevant
requirement.
b) Clearly state the scope of the deviation application.
c) Clearly state the duration for which it is intended to apply, either permanently
or temporarily until a specific date.
d) Demonstrate why it is not reasonable, in the particular circumstances, to
comply with the relevant requirement for the defined duration of the
deviation.
e) Demonstrate why the proposed alternative provisions are reasonable and
satisfy the intent of the requirement proposed to be deviated from, including
a suitable and sufficient supporting analysis.
f) Include the results of consultation undertaken with affected parties.

7.2 Consideration of deviation applications by standards committees

7.2.1 The relevant standards committees, or its chair in accordance with 7.4.2, shall
review each deviation application (except for any which are trivial or vexatious, as
determined by the standards committee chair) and consider whether it is
sufficiently complete, based on the factors listed in 7.1.4.
7.2.2 If, in the opinion of a standards committee or its chair, the deviation application is
not sufficiently complete, the standards committee or its chair shall determine
what additional information is required from the applicant to allow the relevant
committee or chair to determine whether to approve the deviation.
7.2.3 If, when considering a deviation application, the relevant standards committees or
their chair determine that there are reasonable grounds for revising the relevant
RGS, a proposal for change to the RGS shall be submitted in accordance with 6.1.

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 7.3 Consultation on deviation applications
7.3.1 The applicant for a deviation shall:
a) Consult all industry parties who are likely to be materially affected by this, and
b) Submit the results of that consultation with the deviation application.
7.3.2 If the relevant standards committee, or its chair in accordance with 7.4.2,
determines that further consultation is required, it (or they) shall determine:
a) The parties who are to be consulted
b) Who is to undertake the consultation
c) The manner in which consultation is to be undertaken, and
d) The time allowed for responses to the consultation.

7.4 Approval and authorisation

7.4.1 Except as provided in 7.4.2, all proposed deviations from an NTR contained in an
RGS shall require the approval of the relevant standards committee.
7.4.2 A deviation application may be approved by a standards committee chair outside
of a committee meeting:
a) If that standards committee has agreed that this may occur, and
b) Only in those circumstances prescribed by that standards committee.
7.4.3 If the proposed deviation application is not approved, the applicant shall be
informed of the decision and the reasons for it.
7.4.4 Provided a correction or amendment does not change the meaning of the
approved deviation, after approval and prior to authorisation, it is permissible for:
a) Typographical errors to be corrected, and
b) The text to be amended where that would bring clarity.
7.4.5 Following approval by the relevant standards committee, or its chair in accordance
with 7.4.2, RSSB shall authorise a proposed deviation from an RGS provided, in the
reasonable opinion of RSSB, the procedure set out in the Code and the Manual has
been followed and the decision taking principles set out in 5.2 have been applied
correctly.
7.4.6 Where RSSB withholds authorisation of a deviation it shall provide reasons to the
relevant standards committee or its chair if approved under 7.4.2. The standards
committee or its chair may reconsider the deviation, considering RSSB’s reasons for
withholding authorisation, and re-submit the deviation application to RSSB for
further consideration.
7.5 Publication
7.5.1 On authorisation:
a) The applicant shall be informed that the deviation has been authorised, and
b) An approved deviation certificate shall be published.
7.5.2 The applicant shall then inform any parties who are likely to be materially affected
by the deviation that it has been authorised.

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 8 Intervention and appeals
8.1 Board intervention
8.1.1 An intervention procedure shall be approved by the Board and published.
8.1.2 The intervention procedure shall include the requirement to publish reasons for
action where that action relates to an NTSN, an RGS, a RIS or a deviation and:
a) The Board decides to act itself, or
b) The Board directs another committee or body to act.
8.1.3 The Board shall apply the intervention procedure if:
a) The Board, following consultation with ISCC, considers a standards committee
is failing in a material way to apply the requirements of the Code or the
Manual (for example, without limitation, by failing to apply the decision taking
principles set out in 5.2 correctly, causing undue delay or failing to act), or
b) The chair of a committee has elevated a decision to the Board because, in the
opinion of the chair, the committee is unable to achieve consensus and undue
delay would be caused as a result.

8.2 Appeals to the Board

8.2.1 An appeals procedure shall be approved by the Board and published.
8.2.2 The appeal procedure shall include:
a) Timescales for:
i) The submission of appeals
ii) Withdrawal of appeals by the applicant
iii) The preparation of the appeal for the appeal hearing
iv) The appeal hearing, and
v) Notification of appeal hearing decisions.
b) The role of RSSB in submitting appeals to the Board
c) The declaration of interests by Board members at the appeal hearing
d) Legal representation at appeal hearings
e) Confidentiality requirements.
8.2.3 An appeal to the Board may be made by any interested party aggrieved in any
material respect by any:
a) Decision of ISCC, standards committees or RSSB
b) Delay or failure to act under the Code or the Manual by ISCC, standards
committees or RSSB.
8.2.4 An appeal to the Board shall be lodged in writing, preferably in an electronic form.
8.2.5 Once the Board has taken a decision on an appeal, a written statement shall be
prepared setting out the decision and the reasons for it.

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 8.2.6 The written statement shall be published and sent to:
a) The party who lodged the appeal, and
b) Any other party who was (or had a right to be) consulted on the matter to
which the appeal related.

8.3 Appeals to the ORR

8.3.1 A party who submitted an appeal to the Board may subsequently appeal to the ORR
against a decision of the Board in respect of that appeal.
8.3.2 The ORR may adopt such procedures as it thinks fit in considering such appeals.
8.3.3 Any determination of the ORR in respect of an appeal shall be binding on all
affected parties (including those parties with responsibilities for the management
of RGSs).

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 9 Administration of the Code and the Standards
Manual
9.1 Code implementation and transition arrangements
9.1.1 Issue Five of the Code replaces Issue Four in its entirety and is effective from 1
January 2024.
9.1.2 ISCC may direct that Issue Four of the Code (or any part thereof) shall continue to
apply to any decision regarding an RGS or deviation which is in the course of being
processed at the time Issue Five becomes effective.
9.1.3 All existing members of committees at the time Issue Five becomes effective shall
automatically be deemed members of the relevant committee from the time Issue
five becomes effective.
9.1.4 The process for holding elections or re-nomination of members of the committees
which are underway at the time Issue Five becomes effective shall continue to the
timescales which applied prior to Issue Five becoming effective.
9.1.5 All RGSs and deviations which are in force at the time Issue Five becomes effective
continue to remain in force until amended in accordance with Issue Five.
9.1.6 Except as provided in 9.1.2, all RGSs and deviations authorised on or after the date
on which Issue Five becomes effective shall be authorised by the procedures
described in this Code and Issue Four of the Manual.
9.1.7 Any reference in the Code to another document including, without limitation, any
statute or related subordinate instrument, regulation, or measure, shall include any
subsequent amendment to or replacement of that document.
9.2 Proposals to amend the Code
9.2.1 A proposal to amend the Code may be made by:
a) Any party who must currently comply, or may reasonably be expected to have
to comply in future, with NTSNs, RGSs, RISs or the Code
b) A third party acting on behalf of and with the support of any party who must
currently comply, or may reasonably be expected to have to comply in future,
with NTSNs, RGSs, RISs or the Code
c) A standards committee
d) ISCC
e) The ORR
f) The DfT
g) RSSB.
9.2.2 Any party making a proposal to amend the Code shall explain how it improves the
fitness of the Code for the purpose defined in 1.3.
9.2.3 Each such proposal shall be submitted to ISCC for consideration.

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 9.3 Consideration of proposals to amend the Code by ISCC and the Board
9.3.1 ISCC shall consider each such proposal and make a recommendation to the Board
for whether the proposal should proceed, with or without amendment, or be
rejected.
9.3.2 All such proposals and the associated ISCC recommendation shall be copied to the
ORR.
9.3.3 If the Board rejects any such proposal, it shall give reasons to the proposer and the
ORR for the rejection.
9.4 Consultation on proposed change to the Code
9.4.1 Where the Board supports a proposal for change, relevant parties shall be
consulted on the proposed change, including:
a) Parties who must currently comply, or may reasonably be expected to have to
comply in future, with NTSNs, RGSs, RISs or the Code
b) The ORR, and
c) Such other parties as may reasonably be considered to be appropriate in order
to assess the suitability of the Code as fit for the purpose set out in 1.3.
9.4.2 At least 20 working days shall be allowed for comments.
9.4.3 Once the consultation is complete, ISCC shall:
a) Consider fully and fairly all comments received, taking account of the material
interests and experience of the party commenting, and
b) Determine if and how the proposed change should proceed.
9.4.4 Once ISCC has approved the comments and associated responses, they shall be
published and sent to those parties who commented on the proposed change.
9.4.5 If ISCC decides, in the light of the response to the consultation, that amendment to
the proposal for change is warranted, the response document shall set out that
amendment.
9.5 Approval of the revised Code
9.5.1 Once the responses referred to in 9.4.4 has been sent, approval of the revised Code
shall be sought in line with the procedures set out in the RSSB Constitution
Agreement, including approval from the Board.
9.5.2 If that approval is given, the ORR shall be sent:
a) The revised Code
b) A list of the changes
c) The reasons for the changes, including why the changes improve the fitness of
the Code for the purpose in 1.3, and
d) A proposed period of time after the ORR approval in which the Code will come
into force.

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 9.5.3 Within one month after the receipt of those documents, the ORR may either:
a) Approve the revised Code, without amendment
b) If it is considered that the changes are not consistent with the purpose of the
Code in 1.3, approve the revised Code subject to amendments specified by the
ORR (after further consultation with the parties identified in 9.4.1), or
c) Reject the revised Code.
9.5.4 If the ORR approves the revised Code, with or without amendment, the ORR shall
agree the date on which the revised Code will come into force.
9.6 Publication of the revised Code
9.6.1 Once the ORR has approved the Code, it shall be published.
9.6.2 Such publication shall be in satisfaction of any obligations to provide a copy of the
Code to relevant parties, including the DfT and the ORR.
9.7 Production and maintenance of the Manual
9.7.1 RSSB shall produce and maintain a Standards Manual which describes how the
requirements of the Code are to be delivered.
9.7.2 The Manual shall be produced and subsequently amended using the procedure
defined in chapter 6, with ISCC acting in the role defined for the standards
committee.
9.7.3 ORR approval shall not be required in respect of amendments to the Manual.
9.7.4 In the event of any conflict between the Code and the Manual, the Code shall take
precedence.
9.8 Compliance with the Manual
9.8.1 The Manual shall be complied with by those with relevant responsibilities for
meeting the requirements set out in the Code.

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 10 Publication
10.1 Publication
10.1.1 Where the Code refers to a document being published, the document shall be
published online in a position and with links which enable visitors to that site to
locate it quickly and without difficulty.
10.2 Costs
10.2.1 Each party involved in the procedures described in this Code and the Manual shall
pay their own costs and expenses in relation to it.

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