# The Railways (Safety Case) Regulations 2000, Regulation 5: Safety case for train operations and for station operations


(1) Subject to regulation 16 (transitional provisions) a person shall not operate a train in relation to any railway infrastructure and a person shall not operate a station unless—
(a) he has prepared a safety case containing the particulars specified in Schedule 1; and
(b) the Executive has accepted that safety case.
(2) A person who prepares a safety case for acceptance pursuant to paragraph (1) shall submit the safety case to the Executive and at the same time, unless he is the relevant infrastructure controller, to the relevant infrastructure controller.
(3) An infrastructure controller who receives a safety case shall—
(a) procure the carrying out of an assessment of that safety case by an assessment body; and
(b) obtain from that body a report of that assessment which shall include—
(i) a recommendation as to whether in the view of that body the safety case is satisfactory for the purpose of the matters set out in regulation 2(4) on which the infrastructure controller must be satisfied;
(ii) where acceptance is recommended, a statement that in its view the procedures and arrangements described in it which affect or are likely to affect the performance of the infrastructure controller’s own health and safety duties will, when properly implemented with those described in any other safety case which the infrastructure controller has prepared, or which has been accepted pursuant to these Regulations and which relates to the railway infrastructure under the control of that infrastructure controller, be capable of ensuring compliance by the infrastructure controller with those duties in relation to the operation to which the first mentioned safety case relates; and
(iii) where acceptance is not recommended, the reasons for that decision.
(4) The infrastructure controller shall scrutinise a safety case submitted to him under paragraph (2) and shall send to the Executive—
(a) where the safety case submitted under paragraph (2) has been modified by agreement between the infrastructure controller and the person who has prepared the safety case, a copy of the safety case so modified;
(b) the recommendation of the infrastructure controller as to whether the safety case should or should not be accepted and, if the recommendation is that the safety case should not be accepted, the reasons for that recommendation;
(c) a copy of the record prepared by him pursuant to regulation 14(3); and
(d) a copy of the report of the assessment body obtained pursuant to paragraph (3).
(5) A recommendation made by an infrastructure controller pursuant to paragraph (4)(b) shall be accompanied by a statement identifying—
(a) the procedures and arrangements described in the safety case which do not affect or which are unlikely to affect the performance of his health and safety duties; and
(b) where any procedures or arrangements described in the safety case affect or are likely to affect the performance of his health and safety duties only to a limited extent, the extent to which they do or are likely to do so.
(6) The infrastructure controller shall send to the person who has submitted the safety case—
(a) a copy of the recommendation and the statement referred to in paragraph (5); and
(b) a copy of the report of the assessment body obtained under paragraph (3) relating to that safety case.
(7) The Executive shall, having regard to any recommendation made by the infrastructure controller under paragraph (4)(b)—
(a) notify the infrastructure controller and the person who has prepared the safety case whether the safety case has been accepted or not;
(b) where the decision differs from the recommendation of the infrastructure controller provided under paragraph (4)(b) or where the Executive does not accept the safety case, give reasons for that decision; and
(c) where the accepted safety case is different from that submitted to the Executive under paragraph (2) or, where paragraph (3)(a) applies, under that paragraph, notify the infrastructure controller of the changes made.
(8) The Executive may in writing direct the infrastructure controller to comply with the requirements imposed by paragraph (4) within such reasonable time, being a period of not less than 28 days, as may be specified by the Executive and where such direction is made the infrastructure controller shall comply with the direction.
(9) Nothing in paragraph (7) shall prevent the Executive determining, in the absence of a recommendation from the relevant infrastructure controller or, where applicable, the assessment body, whether a safety case should be accepted or not provided the Executive has given reasonable notice to the controller and, where applicable, the assessment body of its decision to do so.

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Source: https://www.legislation.gov.uk/uksi/2000/2688/regulation/5 (the official version)
Page: https://openlegislation.uk/railways-safety-case-regulations-2000/regulation-5
Contains public sector information licensed under the Open Government Licence v3.0. Source: legislation.gov.uk, The National Archives.