Mark I Rolling Stock: HSE grants exemptions to southern train operating companies

HSE Press Release: E143-04 - 22 October 2004

The Health and Safety Executive (HSE) has granted exemptions to three southern Train Operating Companies (TOCs) and Network Rail to allow continued operation of Mark I rolling stock. These exemptions from the Railway Safety Regulations 1999 (RSR) allow the three TOCs - Southern, South West Trains Ltd and South Eastern Trains Ltd - and Network Rail to continue to run remaining Mark I rolling stock without central door locking until 30 November 2005, subject to conditions.

HSE's decision to grant the exemptions followed eight weeks of open public consultation on the application. HSE said at the start of consultation that, following its independent assessment of the case made by the industry, it was minded to grant the exemptions subject to conditions. The majority of consultees including the Strategic Rail Authority (SRA), the Office of Rail Regulation and the Rail Passengers' Council, as well as other parts of the industry supported HSE's proposal to grant an exemption.

The exemptions include conditions which mean that the TOCs will need to agree a programme with HSE before 1 January 2005 for the progressive withdrawal of remaining Mark I rolling stock. This will require its withdrawal as soon as reasonably practicable and no later than 30 November 2005. HSE had agreed that it would not be reasonably practicable to fit central door locking to rolling stock with such a limited life but the programme will require the TOCs to implement measures to manage safety risks, so far as reasonably practicable, in respect of doors and windows. The conditions also require Network Rail and the TOCs to notify each other and HSE as soon as possible of any significant issues, which could affect the replacement trains programme. The TOCs will be required to submit a monthly written statement keeping HSE informed of the progress with phasing out and replacement of Mark I rolling stock.

Note to Editors

1. The term 'Mark I rolling stock' is used to describe a series of vehicle types, including both electric and diesel multiple units and locomotive-hauled vehicles, built mainly in the 1960s and 1970s, which share certain characteristics. The term 'slam-door trains' is also commonly used. 'Mark I' carriages have a poor safety record in collisions because while they have a robust chassis, they also have a relatively weak body shell. RSR require the withdrawal of unmodified Mark I rolling stock from 1 January 2005 not just because it is less crashworthy than modern stock but because of the risks to passengers from drop-light windows and the absence of central door locking.

2. RSR regulation 4(1) prohibits the operation of Mark I rolling stock after 31 December 2002 unless it has been modified to prevent, so far as practicable, over-riding in the event of a collision. This prohibition applies to both the TOCs and Network Rail, the infrastructure controller. Since the beginning of 2003, unmodified Mark I rolling stock has been operated under an exemption HSE granted in October 2002. In granting that exemption, HSE accepted that the 'cup and cone' modification to improve crashworthiness had proved impractical. HSE also made that exemption conditional on bringing forward the fitment of Train Protection and Warning System (TPWS) to the exempted rolling stock. A further exemption application was necessary because the exemption granted in 2002 was due to expire on 31 December 2004. In granting a further exemption now, HSE has at the same time revoked the 2002 exemption.

3. RSR regulation 5(1) prohibits the operation of hinged door rolling stock without central locking from 1 January 2005. The TOCs consider, and HSE agrees, that it will not be reasonably practicable to withdraw all remaining Mark I rolling stock by that date and that to do so could result in a 20% rolling stock shortfall. To remain compliant with the law on 1 January 2005, they would therefore need to reduce services significantly, causing severe disruption to passengers and the possible introduction of new risks.

4. RSR regulation 6 provides HSE with a wide-ranging power to grant exemptions. It allows HSE to consider all circumstances of the case in reaching a decision. This means that, in addition to considering existing safety risks and requirements, HSE can also take into account, for instance, practicalities, costs, possible disruption to services, severe overcrowding, the transfer of risk to other modes of transport and the possible introduction of new risks.

5. It is possible that operators would have been able to run Mark Is for a longer period if decisions had been taken earlier to invest in the safety modifications required by these regulations. However, the industry took the decision to invest in new rolling stock. On 18 March 2004, South Eastern Trains Ltd, South West Trains Ltd, Southern and Network Rail Infrastructure Ltd applied formally for exemptions from Regulations 4(1) and 5(1) of the Railway Safety Regulations 1999. SRA co-ordinated the administration of the application. On 5 July 2004, HSE announced (see press release E092:04 at http://www.hse.gov.uk/press/2004/e04092.htm) that it would consult on the application, making it clear that it was minded to grant the exemption with conditions attached; see http://www.hse.gov.uk/railways/liveissues/mark1stock.htm.

6. Consultation ended on 30 August. The majority of the responses from consultees were broadly supportive of both the granting of the exemption and in attaching the proposed conditions. The TOCs must ensure the staged withdrawal of Mark I rolling stock, as quickly as is reasonably practicable, or on or after 1 January 2005 and no later than 30 November 2005, in order to comply with the conditions of the exemptions. HSE will monitor the industry's performance through monthly industry progress reports and in accordance with the agreed staged withdrawal plan.

7. The TPWS fitment programme also resulting from the RSR, was completed at the end of 2003 and has significantly reduced the likelihood of a train collision. In addition, some of the remaining Mark I stock that operates on routes with limited infrastructure clearance has been fitted with window bars to minimise the risks to passengers attempting to lean out of windows. The number of Mark I trains in service has already reduced significantly, as to date they have been withdrawn progressively under a replacement programme set up by the SRA to meet the requirements of the Regulations.

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