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

1. Introductory Text

2. PART 1 INTRODUCTION

   1. 1. Citation and commencement

   2. 2. Interpretation and application

   3. 2A. Determination of exclusion from the mainline railway

3. PART 2 SAFETY MANAGEMENT, CERTIFICATION AND AUTHORISATION

   1. 3. Use of infrastructure on the mainline railway

   2. 4. Use of infrastructure on other transport systems

   3. 5. Safety management system for the mainline railway

   4. 6. Safety management system for other transport systems

   5. 7. Safety certificate

   6. 8. Amended safety certificate

   7. 9. Further safety certificate

   8. 9A. Format for safety certificates and applications

   9. 10. Safety authorisation

   10. 11. Amended safety authorisation

   11. 12. Further safety authorisation

   12. 13. Notice of changes by holder of a safety certificate or a safety authorisation

   13. 14. Direction to apply for an amended safety certificate or safety authorisation

   14. 15. Revocation of safety certificate

   15. 16. Revocation of safety authorisation

   16. 17. General provisions relating to safety certificates and safety authorisations

   17. 18. Notification to the European Railway Agency regarding safety certificates and safety authorisations relating to the mainline railway

   18. 18A. Maintenance of vehicles on the mainline railway

   19. 18B. Common safety targets

4. PART 3 GENERAL DUTIES

   1. 19. Risk assessment

   2. 20. Annual safety reports

   3. 21. Sending, issuing, and keeping of documents and making them available for public inspection

   4. 22. Co-operation

5. PART 4 SAFETY CRITICAL WORK

   1. 23. Interpretation and application of Part 4

   2. 24. Competence and fitness

   3. 25. Fatigue

   4. 26. Co-operation requirements for safety critical work

6. PART 5 MISCELLANEOUS

   1. 27. Appeals

   2. 28. Offences

   3. 29. Transitional provisions and savings

   4. 30. Exemptions

   5. 31. Defence of due diligence

   6. 32. Amendment of ROTS

   7. 33. Consequential amendments

   8. 34. Revocation

   9. 34A. Review

7. Signature

8. 1. SCHEDULE 1

      SAFETY MANAGEMENT SYSTEM

      1. 1. Requirements on the safety management system

      2. 2. Basic elements of the safety management system

   2. SCHEDULE 2

      APPLICATION FOR A SAFETY CERTIFICATE

      1. PART 1 INFORMATION TO BE INCLUDED FOR A MAINLINE APPLICATION

         1. 1. The following information shall be included in relation to Part...

         2. 2. The following information shall be included in relation to Part...

      2. PART 2 INFORMATION TO BE INCLUDED FOR A NON-MAINLINE APPLICATION

         1. 3. Particulars of the type and extent of the operation in...

         2. 4. Particulars of how the safety management system of the applicant...

         3. 5. Information on the— (a) relevant statutory provisions which make provision...

         4. 6. Information on the different types of work or voluntary work...

         5. 7. Information on the different types of rolling stock used for...

   3. SCHEDULE 3

      COMMON SAFETY INDICATORS

      1. . . . . . . . . . ....

      2. Part 1 COMMON SAFETY INDICATORS

         1. 1. Interpretation

         2. 2. Indicators relating to accidents

         3. 3. Indicators relating to dangerous goods

         4. 4. Indicators relating to suicides

         5. 5. Indicators relating to precursors of accidents

         6. 6. Indicators to calculate the economic impact of accidents

         7. 7. Indicators relating to technical safety of infrastructure and its implementation

         8. 8. Indicators relating to management of safety

      3. PART 2 COMMON DEFINITIONS AND METHODS TO CALCULATE THE ECONOMIC IMPACT OF ACCIDENTS

         1. 1. Indicators relating to accidents

         2. 2. Indicators relating to dangerous goods

         3. 3. Indicators relating to suicides

         4. 4. Indicators relating to precursors of accidents

         5. 5. Common methodologies to calculate the economic impact of accidents

         6. 6. Indicators relating to technical safety of infrastructure and its implementation

         7. 7. Indicators relating to the management of safety

         8. 8. Definitions of the scaling bases

   4. SCHEDULE 4

      WRITTEN SAFETY VERIFICATION SCHEME REQUIREMENTS

      1. INFORMATION TO BE INCLUDED IN A SAFETY VERIFICATION SCHEME

         1. 1. (1) The arrangements for the selection, appointment and retention of...

   5. SCHEDULE 5

      TRANSITIONAL PROVISIONS AND SAVINGS-SAFETY CERTIFICATES AND SAFETY AUTHORISATIONS

      1. 1. Subject to the following paragraphs of this Schedule—

      2. 2. In paragraph 1 a notification of acceptance shall be construed...

      3. 3. Notwithstanding their revocation the 2000 Regulations shall continue in force...

      4. 4. A deemed safety certificate or safety authorisation shall—

      5. 5. A deemed safety certificate or safety authorisation shall be valid until—...

      6. 6. Where the date of the periodic review referred to in...

      7. 7. Where a transport operator— (a) holds a deemed safety certificate...

      8. 8. The holder of a deemed safety certificate or safety authorisation...

      9. 9. Where the revision referred to in paragraph 8 renders the...

      10. 10. Where a holder of a deemed safety certificate or safety...

      11. 11. Where a person— (a) was granted an exemption, which has...

      12. 12. The 2000 Regulations shall apply in relation to—

      13. 13. Notwithstanding the revocation of the 2000 Regulations, regulation 10 of...

      14. 14. For the purposes of this Schedule “the 2000 Regulations” means...

   6. SCHEDULE 6

      CONSEQUENTIAL AMENDMENTS

      1. 1. Amendment to the Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1995

      2. 2. Amendment to the Railway Safety (Miscellaneous Provisions) Regulations 1997

      3. 3. Amendment to the Railway Safety Regulations 1999

      4. 4. Amendment to the Enterprise Act 2002 (Part 9 Restrictions on Disclosure of Information) (Amendment and Specification) Order 2003

   7. SCHEDULE 7

      REVOCATION

   8. SCHEDULE 8

      Format for safety certificates and applications

      1. (This Schedule substantially reproduces the provisions of Commission Regulation (EC)...

      2. PART 1

         1. 1. Where Part A of a safety certificate is to be...

         2. 2. Where Part B of a safety certificate is to be...

         3. 3. An application for a new, updated, amended or renewed—

      3. PART 2 Part A of a safety certificate

         1. 4. The form referred to in paragraph 1 follows.

      4. PART 3 Part B of a safety certificate

         1. 5. The form referred to in paragraph 2 follows.

      5. PART 4 Application form for a safety certificate

         1. 6. The form referred to in paragraph 3 follows.

   9. SCHEDULE 9

      Applications for UK-issued ECM certificates by entities in charge of maintenance

      1. (This Schedule substantially reproduces Annexes IV and V of Commission...

      2. PART 1

         1. 1. Applications to certification bodies must be made—

         2. 2. (1) A UK-issued ECM certificate must be issued in the...

         3. 3. For the purposes of this Schedule, a “maintenance functions certificate”...

      3. PART 2 Application for a UK-issued ECM certificate

         1. 4. The application form referred to in paragraph 1(a) follows.

      4. PART 3 Application for a maintenance functions certificate

         1. 5. The form referred to in paragraph 1(b) follows.

      5. PART 4 UK-issued ECM certificate

         1. 6. The form referred to in paragraph 2(1) follows.

      6. PART 5 Maintenance functions certificate

         1. 7. The form referred to in paragraph 2(2) follows.

   10. SCHEDULE 10

       System of certification of entities in charge of maintenance in respect of Great Britain

       1. (This Schedule substantially reproduces the provisions of Commission Regulation (EU)...

       2. PART 1 Principles

          1. 1. Purpose

          2. 2. Scope

          3. 3. Interpretation

          4. 4. Maintenance system

          5. 5. Relationships between parties in the maintenance process

          6. 6. Certification bodies

          7. 7. System of certification for entities in charge of maintenance

          8. 8. System of certification for outsourced maintenance functions

          9. 9. Role of the supervision regime

       3. 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

          1. 10. For certification of an entity or organisation taking on one...

          2. 11. For certification of a maintenance workshop taking on the maintenance...

       4. PART 3 Criteria for accreditation or recognition of certification bodies involved in the assessment and award of UK-issued ECM certificates

          1. 12. Organisation

          2. 13. Independence

          3. 14. Competence

          4. 15. Impartiality

          5. 16. Responsibility

          6. 17. Openness

          7. 18. Confidentiality

          8. 19. Responsiveness to complaints

          9. 20. Liability and financing

       5. 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

          1. Section 1 Management function requirements and assessment criteria

             1. 21. Leadership: commitment to the development and implementation of the maintenance system of the organisation and to the continuous improvement of its effectiveness

             2. 22. Risk 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

             3. 23. Monitoring: a structured approach to ensure that risk control measures are in place, working correctly and achieving the organisation's objectives

             4. 24. Continuous 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

             5. 25. Structure and responsibility: a structured approach to define the responsibilities of individuals and teams for secure delivery of the organisation's safety objectives

             6. 26. Competence 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

             7. 27. Information: a structured approach to ensure that important information is available to those making judgments and decisions at all levels of the organisation

             8. 28. Documentation — a structured approach to ensure the traceability of all relevant information

             9. 29. Contracting activities — a structured approach to ensure that subcontracted activities are managed appropriately in order for the organisation's objectives to be achieved

          2. SECTION 2 Requirements and assessment criteria for the maintenance development function

             1. 30. The organisation must have a procedure to identify and manage...

             2. 31. The organisation must have procedures to guarantee conformity with the...

             3. 32. The organisation must have a procedure to design and to...

             4. 33. When freight wagons start operations, the organisation must have procedures...

             5. 34. To keep the maintenance file updated throughout the lifecycle of...

             6. 35. When the competence management process is applied to the maintenance...

             7. 36. When the documentation process is applied to the maintenance development...

          3. SECTION 3 Requirements and assessment criteria for the fleet maintenance management function

             1. 37. The organisation must have a procedure to check the competence,...

             2. 38. The organisation must have a procedure for the composition of...

             3. 39. The organisation must have a procedure to send freight wagons...

             4. 40. The organisation must have a procedure to manage the removal...

             5. 41. The organisation must have a procedure to define the necessary...

             6. 42. The organisation must have a procedure to issue a notice...

             7. 43. When the competence management process is applied to the fleet...

             8. 44. When the information process is applied to the fleet maintenance...

             9. 45. When the information process is applied to the fleet maintenance...

             10. 46. When the documentation process is applied to the fleet maintenance...

          4. SECTION 4 Requirements and assessment criteria for the maintenance delivery function

             1. 47. The organisation must have procedures to— (a) check the completeness...

             2. 48. The organisation must have procedures to ensure that—

             3. 49. The organisation must have procedures to determine, identify, provide, record...

             4. 50. Where necessary to ensure valid results, the organisation must have...

             5. 51. The organisation must have procedures to ensure that all facilities,...

             6. 52. The organisation must have procedures to check that the performed...

             7. 53. When the risk assessment process, in particular paragraph 22.4, is...

             8. 54. When the competence management process is applied to the maintenance...

             9. 55. When the information process is applied to the maintenance delivery...

             10. 56. When the documentation process is applied to the maintenance delivery...

   11. SCHEDULE 11

       Common Safety Targets

       1. 1. Application

       2. 2. Interpretation

       3. 3. Measurement units for NRVs and CSTs

       4. 4. For the purpose of assessment of achievement of the NRVs...

       5. 5. Principles for the assessment of achievement of NRVs and CSTs

       6. 6. The assessment of achievement of the NRVs and CSTs must...

       7. 7. The outcome of the assessment of achievement referred to in...

       8. 8. Procedure for assessment of achievement of NRVs and CSTs

       9. 9. (1) The first assessment step must verify whether the observed...

       10. 10. (1) The second assessment step must consider the safety performance...

       11. 11. The third assessment step must verify whether it is the...

       12. 12. (1) The fourth assessment step must verify whether the number...

       13. 13. Moving weighted averaging process for the annual assessment of achievement of NRVs

       14. 14. Measurement units for NRVs and CSTs

       15. 15. Decision flowchart

       16. 16. Values for NRVs

       17. 17. Values for CSTs

9. Explanatory Note