xmlns:atom="http://www.w3.org/2005/Atom" xmlns:atom="http://www.w3.org/2005/Atom"

PART 3U.K.GENERAL DUTIES

Risk assessmentU.K.

19.—(1) A transport operator shall—

(a)make a suitable and sufficient assessment of the risks to the safety of any persons for the purpose of identifying the measures he needs to take to ensure safe operation of the transport system in question insofar as this is affected by his operation; and

(b)implement the measures referred to in sub-paragraph (a).

(2) When carrying out an assessment or a review under paragraph (1) or (3), a transport operator shall apply the CSMs to the extent that the operation is carried out on the mainline railway.

(3) Any assessment under paragraph (1) shall be reviewed by the transport operator who made it if—

(a)there is a reason to suspect that it is no longer valid; or

(b)there has been a significant change in the matters to which it relates and where as a result of any such review changes to an assessment are required,

the transport operator concerned shall make them, and implement any changes to the measures identified pursuant to paragraph (1) as a result of the review.

(4) The transport operator shall record in relation to any assessment or review under this regulation—

(a)the assessment process undertaken, the methods of any calculation used and any assumptions made; and

(b)the significant findings of the risk assessment including the measures in place and any further measures the transport operator intends to take to ensure safe operation of the transport system in relation to his operation.

(5) Every transport operator shall make and give effect to such arrangements as are appropriate, having regard to the nature of his activities and the extent of the undertaking, for the effective planning, organisation, control, monitoring and review of the measures identified pursuant to paragraph (1) or (3) and shall record such arrangements.

Annual safety reportsU.K.

20.—[F1(1) Subject to paragraph (2), any transport operator who carries out operations on the mainline railway shall send to the [F2Office of Rail and Road] an annual safety report in respect of its operations on the mainline railway relating to the previous calendar year, which shall contain—

(a)information on how the transport operator’s safety targets, referred to in paragraph 2(b) of Schedule 1, are met;

(b)the results achieved through putting the transport operator’s safety plans, referred to in paragraph 2(b) of Schedule 1, into effect;

(c)statistics for the common safety indicators F3... insofar as they are relevant to the operations in question;

(d)the findings of safety auditing carried out pursuant to the procedures referred to in paragraph 2(k) of Schedule 1; and

(e)comments on any deficiencies or malfunctions relating to the running of vehicles or the management of infrastructure relating to the operation in question that may be relevant to the safety of that transport system,

and where an operation is carried out in part on the mainline railway and in part on another transport system the report shall include only information in respect of the part carried out on the mainline railway.]

(2) The first annual report required under paragraph (1) shall be sent by 30th June 2007 and subsequent reports by 30th June in each subsequent calendar year.

F4(3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F5(4) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F6(5) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[F7(6) For the purposes of paragraph (1)(c), the common safety indicators are those laid down in paragraphs 1.1 to 6.2 of, and the Appendix to, Annex I to the Directive, save that the Appendix is to be read with the following modifications—

(a)in paragraph 1.2, for “EUR 150 000” substitute “ £170,000 ”;

(b)in paragraph 5.1, for “Member State” substitute “ United Kingdom ”; and

(c)in paragraphs 7.3 and 7.4, for “railway network in Member States, whose scope is set out in Article 2” substitute “ mainline railway as defined in the Railways and Other Guided Transport Systems (Safety) Regulations 2006 ”]

Textual Amendments

Sending, issuing, and keeping of documents and making them available for public inspectionU.K.

21.—(1) Any application, notice, report or any other information sent to the [F8Office of Rail and Road] or records made pursuant to these Regulations shall be in writing and in English.

(2) Any certificate, authorisation, notice, direction, request for information, statement or report issued by the [F8Office of Rail and Road] pursuant to these Regulations shall be in writing and in English.

(3) An applicant who makes an application in respect of a safety certificate or a safety authorisation pursuant to regulations 7, 9, 10 or 12 shall when sending the application, notify the [F8Office of Rail and Road] of an address F9... for the purposes of this regulation (“notified address”).

(4) Subject to paragraphs (5) and (6), a transport operator shall keep at the notified address in relation to the operation in question—

(a)the safety certificate or safety authorisation issued in response to his application for such certificate or authorisation and the documentation referenced in that safety certificate or safety authorisation;

(b)any notice of amendment issued pursuant to Part 2 of these Regulations F10... in relation to his safety certificate or safety authorisation;

(c)any records he is required to make pursuant to regulation 19(4) and (5);

(d)any annual safety report sent to the [F8Office of Rail and Road] under regulation 20(1);

(e)any notification of changes or of a revision notified to the [F8Office of Rail and Road] under regulation 13 F11...; and

(f)a record of any findings of internal safety auditing carried out pursuant to the procedures referred to in paragraph 2(k) of Schedule 1 and of any action taken in consequence of such auditing,

or a hard or electronic copy of such documents.

(5) The documents referred to in paragraph (4) shall be kept as long as they—

(a)are or are a copy of the current safety certificate or safety authorisation or a notice of amendment thereof;

(b)are or are a copy of a notification of a major change or a revision which is relevant to the current operation of the transport undertaking;

(c)relate to the information on the basis of which the [F8Office of Rail and Road]'s acceptance referred to in regulation 7(4) or 10(3), as the case may be, was made in relation to a current safety certificate or safety authorisation; or

(d)relate to a risk assessment, as reviewed from time to time, carried out pursuant to regulation 19.

(6) The documents kept pursuant to paragraph (4)(d) or (4)(f) shall be kept for 5 years and the documents kept pursuant to sub-paragraphs (a), (b), (d) and (e) of paragraph (4) shall, subject to paragraph (7), be made available for public inspection at the notified address at reasonable times and on reasonable notice.

(7) Nothing in paragraph (6) shall require the disclosure of any information—

(a)relating to a named individual;

(b)which is commercially confidential; or

(c)which is detrimental to national security or to the security of the transport system in question.

(8) A person who has a notified address may subsequently notify the [F8Office of Rail and Road] of a different address F12... and in this case references in this regulation to the notified address shall be construed as a reference to the last address notified under this paragraph.

Textual Amendments

Co-operationU.K.

22.—(1) Every person to whom this paragraph applies shall co-operate as far as is necessary with a transport operator to enable him to comply with the provisions of these Regulations.

(2) Paragraph (1) applies to—

(a)any transport operator whose operations may affect or may be affected by operations carried out by the duty holder; and

(b)an employer of persons or a self-employed person carrying out work on or in relation to premises or plant owned or controlled by the duty holder.

(3) Every transport operator shall co-operate, insofar as is reasonable, with any other transport operator who operates on the same transport system where that other transport operator is taking action to achieve the safe operation of that transport system.

(4) In paragraph (2) “duty holder” means a transport operator referred to in paragraph (1).