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The Railways and Other Guided Transport Systems (Safety) Regulations 2006

S.I. 2006/599 · Made 9 March 2006 · Extends to United Kingdom

Up to date with all changes known to legislation.gov.uk, revised to 27 February 2025.

HEALTH AND SAFETY

Made 9th March 2006

Laid before Parliament 17th March 2006

Coming into force

except for regulations 19, 23 to 26, 29 and 34 10th April 2006

regulations 19, 23 to 26, 29, and 34 1st October 2006

The Secretary of State, in exercise of the powers conferred upon him by sections 15(1), (2), (3)(a) and (c), (4), (5), (6), 18(2), 43(2) to (6), 47(2), 80, 82(3)(a) of, and paragraphs 1(1)(a) and (c), 1(2), 4(1), 6, 7, 8(1), 9, 14, 15(1), 16, 18(a) and 20 of Schedule 3 to, the Health and Safety at Work etc. Act 1974 M1 (“the 1974 Act”) –

  1. (a)

    for the purpose of giving effect without modifications to proposals submitted to him by the Health and Safety Commission under section 11(2)(d) of the 1974 Act after the carrying out by the said Commission of consultations in accordance with section 50(3) of that Act; and

  2. (b)

    it appearing to him that the modifications in paragraph 4 of Schedule 6 are expedient and it also appearing to him not to be appropriate to consult bodies in respect of such modifications in accordance with section 80(4) of the 1974 Act,

hereby makes the following Regulations:

Annotations to the whole text

Marginal citations

M1

1974 c. 37; sections 15 and 50 were amended by the Employment Protection Act 1975 (c. 71), section 116 and Schedule 15, paragraphs 6 and 16 respectively; the general purposes of Part I referred to in section 15(1) were extended by section 117 of the Railways Act 1993 c. 43; section 15(1) was amended by S.I. 2002/794, article 5(2) and Schedule 2; section 43(3) was amended by the Employment Protection Act 1975, Sections 116 and 125(3) and Schedule 15, paragraph 12 and Schedule 18; section 43(6) was substituted by the Employment Protection Act 1975, section 116 and Schedule 15, paragraph 12; Section 43(6) was amended by S.I. 2002/794, article 5(2) and Schedule 2; Sections 80(4) and (5) were substituted for subsections (4) to (6) as originally enacted by the Employment Protection Act 1975, section 116 and Schedule 15, paragraph 19; section 80(4) was amended by S.I. 2002/794, article 5(2) and Schedule 2; there are amendments to the Act not relevant to these Regulations.

Contents

  1. Part 1: INTRODUCTION
  2. 1Citation and commencement
  3. 2Interpretation and application
  4. 2ADetermination of exclusion from the mainline railway
  5. Part 2: SAFETY MANAGEMENT, CERTIFICATION AND AUTHORISATION
  6. 3Use of infrastructure on the mainline railway
  7. 4Use of infrastructure on other transport systems
  8. 5Safety management system for the mainline railway
  9. 6Safety management system for other transport systems
  10. 7Safety certificate
  11. 8Amended safety certificate
  12. 9Further safety certificate
  13. 9AFormat for safety certificates and applications
  14. 10Safety authorisation
  15. 11Amended safety authorisation
  16. 12Further safety authorisation
  17. 13Notice of changes by holder of a safety certificate or a safety authorisation
  18. 14Direction to apply for an amended safety certificate or safety authorisation
  19. 15Revocation of safety certificate
  20. 16Revocation of safety authorisation
  21. 17General provisions relating to safety certificates and safety authorisations
  22. 18Notification to the European Railway Agency regarding safety certificates and safety authorisations relating to the mainline railway Repealed
  23. 18AMaintenance of vehicles on the mainline railway
  24. 18BCommon safety targets
  25. Part 3: GENERAL DUTIES
  26. 19Risk assessment
  27. 20Annual safety reports
  28. 21Sending, issuing, and keeping of documents and making them available for public inspection
  29. 22Co-operation
  30. Part 4: SAFETY CRITICAL WORK
  31. 23Interpretation and application of Part 4
  32. 24Competence and fitness
  33. 25Fatigue
  34. 26Co-operation requirements for safety critical work
  35. Part 5: MISCELLANEOUS
  36. 27Appeals
  37. 28Offences
  38. 29Transitional provisions and savings
  39. 30Exemptions
  40. 31Defence of due diligence
  41. 32Amendment of ROTS
  42. 33Consequential amendments
  43. 34Revocation
  44. 34AReview
  45. Signature
  46. Schedule 1: SAFETY MANAGEMENT SYSTEM
  47. 1Requirements on the safety management system
  48. 2Basic elements of the safety management system
  49. Schedule 2: APPLICATION FOR A SAFETY CERTIFICATE
  50. Part 1: INFORMATION TO BE INCLUDED FOR A MAINLINE APPLICATION
  51. 1Paragraph 1
  52. 2Paragraph 2
  53. Part 2: INFORMATION TO BE INCLUDED FOR A NON-MAINLINE APPLICATION
  54. 3Paragraph 3
  55. 4Paragraph 4
  56. 5Paragraph 5
  57. 6Paragraph 6
  58. 7Paragraph 7
  59. Schedule 3COMMON SAFETY INDICATORS Repealed
  60. Part 1: COMMON SAFETY INDICATORS Repealed
  61. 1Interpretation Repealed
  62. 2Indicators relating to accidents Repealed
  63. 3Indicators relating to dangerous goods Repealed
  64. 4Indicators relating to suicides Repealed
  65. 5Indicators relating to precursors of accidents Repealed
  66. 6Indicators to calculate the economic impact of accidents Repealed
  67. 7Indicators relating to technical safety of infrastructure and its implementation Repealed
  68. 8Indicators relating to management of safety Repealed
  69. Part 2: COMMON DEFINITIONS AND METHODS TO CALCULATE THE ECONOMIC IMPACT OF ACCIDENTS Repealed
  70. 1Indicators relating to accidents Repealed
  71. 2Indicators relating to dangerous goods Repealed
  72. 3Indicators relating to suicides Repealed
  73. 4Indicators relating to precursors of accidents Repealed
  74. 5Common methodologies to calculate the economic impact of accidents Repealed
  75. 6Indicators relating to technical safety of infrastructure and its implementation Repealed
  76. 7Indicators relating to the management of safety Repealed
  77. 8Definitions of the scaling bases Repealed
  78. Schedule 4: WRITTEN SAFETY VERIFICATION SCHEME REQUIREMENTS
  79. Part: INFORMATION TO BE INCLUDED IN A SAFETY VERIFICATION SCHEME
  80. 1Paragraph 1
  81. Schedule 5: TRANSITIONAL PROVISIONS AND SAVINGS-SAFETY CERTIFICATES AND SAFETY AUTHORISATIONS Repealed
  82. 1Paragraph 1 Repealed
  83. 2Paragraph 2 Repealed
  84. 3Paragraph 3 Repealed
  85. 4Paragraph 4 Repealed
  86. 5Paragraph 5 Repealed
  87. 6Paragraph 6 Repealed
  88. 7Paragraph 7 Repealed
  89. 8Paragraph 8 Repealed
  90. 9Paragraph 9 Repealed
  91. 10Paragraph 10 Repealed
  92. 11Paragraph 11 Repealed
  93. 12Paragraph 12 Repealed
  94. 13Paragraph 13 Repealed
  95. 14Paragraph 14 Repealed
  96. Schedule 6: CONSEQUENTIAL AMENDMENTS
  97. 1Amendment to the Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1995 Repealed
  98. 2Amendment to the Railway Safety (Miscellaneous Provisions) Regulations 1997
  99. 3Amendment to the Railway Safety Regulations 1999
  100. 4Amendment to the Enterprise Act 2002 (Part 9 Restrictions on Disclosure of Information) (Amendment and Specification) Order 2003
  101. Schedule 7REVOCATION
  102. Schedule 8Format for safety certificates and applications
  103. Part 1
  104. 1Paragraph 1
  105. 2Paragraph 2
  106. 3Paragraph 3
  107. Part 2: Part A of a safety certificate
  108. 4Paragraph 4
  109. Part 3: Part B of a safety certificate
  110. 5Paragraph 5
  111. Part 4: Application form for a safety certificate
  112. 6Paragraph 6
  113. Schedule 9Applications for UK-issued ECM certificates by entities in charge of maintenance
  114. Part 1
  115. 1Paragraph 1
  116. 2Paragraph 2
  117. 3Paragraph 3
  118. Part 2: Application for a UK-issued ECM certificate
  119. 4Paragraph 4
  120. Part 3: Application for a maintenance functions certificate
  121. 5Paragraph 5
  122. Part 4: UK-issued ECM certificate
  123. 6Paragraph 6
  124. Part 5: Maintenance functions certificate
  125. 7Paragraph 7
  126. Schedule 10System of certification of entities in charge of maintenance in respect of Great Britain
  127. Part 1: Principles
  128. 1Purpose
  129. 2Scope
  130. 3Interpretation
  131. 4Maintenance system
  132. 5Relationships between parties in the maintenance process
  133. 6Certification bodies
  134. 7System of certification for entities in charge of maintenance
  135. 8System of certification for outsourced maintenance functions
  136. 9Role of the supervision regime
  137. Part 2: Principles to be used for organisations applying for a certificate in respect of maintenance functions outsourced by an entity in charge of maintenance
  138. 10Paragraph 10
  139. 11Paragraph 11
  140. Part 3: Criteria for accreditation or recognition of certification bodies involved in the assessment and award of UK-issued ECM certificates
  141. 12Organisation
  142. 13Independence
  143. 14Competence
  144. 15Impartiality
  145. 16Responsibility
  146. 17Openness
  147. 18Confidentiality
  148. 19Responsiveness to complaints
  149. 20Liability and financing
  150. Part 4: Requirements and assessment criteria for organisations applying for a UK-issued ECM certificate or for a certificate in respect of maintenance functions outsourced by an entity in charge of maintenance
  151. Management function requirements and assessment criteria
  152. 21Leadership: commitment to the development and implementation of the maintenance system of the organisation and to the continuous improvement of its effectiveness
  153. 22Risk assessment: a structured approach to assess risks associated with the maintenance of freight wagons, including those directly arising from operational processes and the activities of other organisations or persons, and to identify the appropriate risk control measures
  154. 23Monitoring: a structured approach to ensure that risk control measures are in place, working correctly and achieving the organisation's objectives
  155. 24Continuous improvement: a structured approach to analyse the information gathered through regular monitoring, auditing, or other relevant sources and to use the results to learn and to adopt preventive or corrective measures in order to maintain or improve the level of safety
  156. 25Structure and responsibility: a structured approach to define the responsibilities of individuals and teams for secure delivery of the organisation's safety objectives
  157. 26Competence management: a structured approach to ensure that employees have the competences required in order to achieve the organisation's objectives safely, effectively and efficiently in all circumstances
  158. 27Information: a structured approach to ensure that important information is available to those making judgments and decisions at all levels of the organisation
  159. 28Documentation — a structured approach to ensure the traceability of all relevant information
  160. 29Contracting activities — a structured approach to ensure that subcontracted activities are managed appropriately in order for the organisation's objectives to be achieved
  161. Requirements and assessment criteria for the maintenance development function
  162. 30Paragraph 30
  163. 31Paragraph 31
  164. 32Paragraph 32
  165. 33Paragraph 33
  166. 34Paragraph 34
  167. 35Paragraph 35
  168. 36Paragraph 36
  169. Requirements and assessment criteria for the fleet maintenance management function
  170. 37Paragraph 37
  171. 38Paragraph 38
  172. 39Paragraph 39
  173. 40Paragraph 40
  174. 41Paragraph 41
  175. 42Paragraph 42
  176. 43Paragraph 43
  177. 44Paragraph 44
  178. 45Paragraph 45
  179. 46Paragraph 46
  180. Requirements and assessment criteria for the maintenance delivery function
  181. 47Paragraph 47
  182. 48Paragraph 48
  183. 49Paragraph 49
  184. 50Paragraph 50
  185. 51Paragraph 51
  186. 52Paragraph 52
  187. 53Paragraph 53
  188. 54Paragraph 54
  189. 55Paragraph 55
  190. 56Paragraph 56
  191. Schedule 11: Common Safety Targets
  192. 1Application
  193. 2Interpretation
  194. 3Measurement units for NRVs and CSTs
  195. 4Paragraph 4
  196. 5Principles for the assessment of achievement of NRVs and CSTs
  197. 6Paragraph 6
  198. 7Paragraph 7
  199. 8Procedure for assessment of achievement of NRVs and CSTs
  200. 9Paragraph 9
  201. 10Paragraph 10
  202. 11Paragraph 11
  203. 12Paragraph 12
  204. 13Moving weighted averaging process for the annual assessment of achievement of NRVs
  205. 14Measurement units for NRVs and CSTs
  206. 15Decision flowchart
  207. 16Values for NRVs
  208. 17Values for CSTs
  209. Explanatory note