UK Statutory Instrument SI 2006 United Kingdom

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

These Regulations impose prohibitions and requirements in relation to safety on railways and other guided transport systems.

Read it on legislation.gov.uk (opens in a new tab)
Enforced by
ORR
Status
Amended (in force with amendments)
Penalty ceiling
Regulated

Does it bind you?

Business-side roles with duties under this instrument.

Any Person30 Conformity Assessment Body9 Operator2 Contractor2 Applicant2 Responsible Person1 Employer1

Plus 4 duties on the regulator, Crown ministers and public bodies — folded into the section list below.

Other Acts binding the same actors

If a role above is yours, these are the other instruments that most often bind it.

Any Person — also bound by 2684 other Acts
Conformity Assessment Body — also bound by 47 other Acts
Operator — also bound by 803 other Acts
Contractor — also bound by 171 other Acts
Applicant — also bound by 325 other Acts
Responsible Person — also bound by 115 other Acts
MH(CT)(S)A 2003 30 duties
Employer — also bound by 701 other Acts
TULRCA 1992 72 duties

What it requires

Regulations creating concrete business duties or carrying penalties, grouped as the instrument is structured. Titles link to the source text — blue means you’re leaving for legislation.gov.uk.

Part 1

INTRODUCTION

0 of 3 sections shown
3 other sections in this Part — procedural and definitional
s.001 Citation and commencement
s.002 Interpretation and application
s.002 Determination of exclusion from the mainline railway
Part 2

SAFETY MANAGEMENT, CERTIFICATION AND AUTHORISATION

1 of 19 sections shown
s.017 General provisions relating to safety certificates and safety authorisations Regulated
  • Consult safety representatives and employees before applying for safety certificate or authorisationEmployer
18 other sections in this Part — procedural and definitional
s.003 Use of infrastructure on the mainline railway
s.004 Use of infrastructure on other transport systems
s.005 Safety management system for the mainline railway
s.006 Safety management system for other transport systems
s.007 Safety certificate
s.008 Amended safety certificate
s.009 Further safety certificate
s.009 Format for safety certificates and applications
s.010 Safety authorisation
s.011 Amended safety authorisation
s.012 Further safety authorisation
s.013 Notice of changes by holder of a safety certificate or a safety authorisation
s.014 Direction to apply for an amended safety certificate or safety authorisation
s.015 Revocation of safety certificate
s.016 Revocation of safety authorisation
s.018 Notification to the European Railway Agency regarding safety certificates and safety authorisations relating to the mainline railway
s.018 Maintenance of vehicles on the mainline railway
s.018 Common safety targets
Part 3

GENERAL DUTIES

0 of 4 sections shown
4 other sections in this Part — procedural and definitional
s.019 Risk assessment
s.020 Annual safety reports
s.021 Sending, issuing, and keeping of documents and making them available for public inspection
s.022 Co-operation
Part 4

SAFETY CRITICAL WORK

0 of 4 sections shown
4 other sections in this Part — procedural and definitional
s.023 Interpretation and application of Part 4
s.024 Competence and fitness
s.025 Fatigue
s.026 Co-operation requirements for safety critical work
Part 5

MISCELLANEOUS

0 of 9 sections shown
9 other sections in this Part — procedural and definitional
s.027 Appeals
s.028 Offences
s.029 Transitional provisions and savings
s.030 Exemptions
s.031 Defence of due diligence
s.032 Amendment of ROTS
s.033 Consequential amendments
s.034 Revocation
s.034 Review
Schedules

Schedules

50 of 130 shown
s.sch001 Requirements on the safety management system Regulated
  • Your safety management system must describe responsibilities, show management control, involve workers, and ensure continuous improvementOperator
s.sch002 The following information shall be included in relation to Part... Regulated
  • Provide required information with safety certificate applicationApplicant
s.sch002 The following information shall be included in relation to Part... Regulated
  • Include required safety information in safety certificate applicationApplicant
s.sch008 Where Part A of a safety certificate is to be... Regulated
Other duties (1) — Crown / regulator
  • ORR must use prescribed form for Part A safety certificatesStatutory regulator
s.sch009 Applications to certification bodies must be made— Regulated
  • Use correct application forms for ECM and maintenance certificatesContractor
s.sch010 Organisation Regulated
  • Document your certification body's organisational structureConformity Assessment Body
s.sch010 Independence Regulated
  • Ensure independence of certification decisions and staffConformity Assessment Body
s.sch010 Competence Regulated
  • Ensure certification body and staff have required professional competenceConformity Assessment Body
s.sch010 Impartiality Regulated
  • Base certification decisions on objective evidence onlyConformity Assessment Body
s.sch010 Responsibility Regulated
  • Assess sufficient objective evidence before making a certification decisionConformity Assessment Body
s.sch010 Openness Regulated
  • Certification body must publish audit and certification informationConformity Assessment Body
s.sch010 Confidentiality Regulated
  • Keep client commercial information confidentialConformity Assessment Body
s.sch010 Responsiveness to complaints Regulated
  • Certification bodies must establish a complaint-handling procedureConformity Assessment Body
s.sch010 Liability and financing Regulated
  • Certification body must have insurance or reserves to cover liability risksConformity Assessment Body
s.sch010 Leadership: commitment to the development and implementation of the maintenance system of the organisation and to the continuous improvement of its effectiveness Regulated
  • Establish and implement a maintenance system with defined proceduresAny Person
s.sch010 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 Regulated
  • Continuously improve rail safety management systemResponsible Person
s.sch010 The organisation must have a procedure to identify and manage... Regulated
  • Have a procedure to identify and manage safety-critical maintenanceAny Person
s.sch010 The organisation must have procedures to guarantee conformity with the... Regulated
  • Keep procedures guaranteeing vehicle interoperability and safety complianceAny Person
s.sch010 The organisation must have a procedure to design and to... Regulated
  • Have procedures for maintenance facilities, equipment and toolsAny Person
s.sch010 When freight wagons start operations, the organisation must have procedures... Regulated
  • Create procedures for first maintenance file before new freight wagons operateAny Person
s.sch010 To keep the maintenance file updated throughout the lifecycle of... Regulated
  • Maintain procedures to update freight wagon maintenance fileAny Person
s.sch010 When the competence management process is applied to the maintenance... Regulated
  • Include key safety activities in competence management for maintenance developmentAny Person
s.sch010 When the documentation process is applied to the maintenance development... Regulated
  • Ensure traceability of maintenance development documentationAny Person
s.sch010 The organisation must have a procedure to check the competence,... Regulated
  • Have procedure to check maintenance entity competence before orderingAny Person
s.sch010 The organisation must have a procedure for the composition of... Regulated
  • Have a procedure for work package composition and maintenance order releaseAny Person
s.sch010 The organisation must have a procedure to send freight wagons... Regulated
  • Have a procedure for timely freight wagon maintenanceAny Person
s.sch010 Maintenance system Regulated
  • Establish and manage a maintenance system for freight wagonsAny Person
s.sch010 The organisation must have a procedure to manage the removal... Regulated
  • Have a procedure to manage removal of freight wagons for maintenance or defectsAny Person
s.sch010 The organisation must have a procedure to define the necessary... Regulated
  • Have a procedure defining freight wagon maintenance and release-to-service controlsAny Person
s.sch010 The organisation must have a procedure to issue a notice... Regulated
  • You must have a return-to-operation notice procedureAny Person
s.sch010 When the competence management process is applied to the fleet... Regulated
  • Include return to operation in your fleet maintenance competence processAny Person
s.sch010 When the information process is applied to the fleet maintenance... Regulated
  • Provide maintenance delivery staff with complete safety informationAny Person
s.sch010 When the information process is applied to the fleet maintenance... Regulated
  • Communicate fleet-maintenance return-to-service and use restrictions to usersAny Person
s.sch010 When the documentation process is applied to the fleet maintenance... Regulated
  • Record maintenance orders and return-to-operation detailsAny Person
s.sch010 The organisation must have procedures to— (a) check the completeness... Regulated
  • Set up procedures for checking and controlling fleet maintenance informationAny Person
s.sch010 The organisation must have procedures to ensure that— Regulated
  • Maintain procedures for correct use, storage and compliance of components and materialsAny Person
s.sch010 The organisation must have procedures to determine, identify, provide, record... Regulated
  • Provide suitable maintenance equipment and tools safelyContractor
s.sch010 Relationships between parties in the maintenance process Regulated
  • Ensure each freight wagon has a certified maintenance entity before departureOperator
s.sch010 Where necessary to ensure valid results, the organisation must have... Regulated
  • Calibrate and protect measuring equipment to ensure valid resultsAny Person
s.sch010 The organisation must have procedures to ensure that all facilities,... Regulated
  • Have documented procedures to use, calibrate and maintain facilities and equipmentAny Person
s.sch010 The organisation must have procedures to check that the performed... Regulated
  • Have procedures to verify maintenance and issue release noticesAny Person
s.sch010 When the competence management process is applied to the maintenance... Regulated
  • Include safety-critical maintenance activities in competence managementAny Person
s.sch010 When the information process is applied to the maintenance delivery... Regulated
  • Share maintenance delivery info with fleet management and development functionsAny Person
s.sch010 When the documentation process is applied to the maintenance delivery... Regulated
  • Keep detailed records of all maintenance activities affecting safetyAny Person
s.sch010 Certification bodies Regulated
  • Certification bodies must comply with accreditation criteria and cooperate to harmonise assessmentsAny Person
s.sch010 System of certification for entities in charge of maintenance Regulated
  • Apply and maintain ECM certification as entity in charge of maintenanceAny Person
s.sch010 System of certification for outsourced maintenance functions Regulated
  • Ensure outsourced maintenance functions are certified or demonstrate complianceAny Person
s.sch010 Role of the supervision regime Regulated
Other duties (1) — Crown / regulator
  • National safety authority must take decision and inform when ECM non-compliance suspectedStatutory regulator
s.sch011 The assessment of achievement of the NRVs and CSTs must... Regulated
Other duties (1) — Crown / regulator
  • ORR must carry out annual safety assessment of national reference values and common safety targetsStatutory regulator
s.sch011 The outcome of the assessment of achievement referred to in... Regulated
Other duties (1) — Crown / regulator
  • ORR must classify and publish safety performance assessment outcomesStatutory regulator
80 other schedules
s.sch001 Basic elements of the safety management system
s.sch002 Particulars of the type and extent of the operation in...
s.sch002 Particulars of how the safety management system of the applicant...
s.sch002 Information on the— (a) relevant statutory provisions which make provision...
s.sch002 Information on the different types of work or voluntary work...
s.sch002 Information on the different types of rolling stock used for...
s.sch003 Interpretation
s.sch003 Indicators relating to accidents
s.sch003 Indicators relating to accidents
s.sch003 Indicators relating to dangerous goods
s.sch003 Indicators relating to dangerous goods
s.sch003 Indicators relating to suicides
s.sch003 Indicators relating to suicides
s.sch003 Indicators relating to precursors of accidents
s.sch003 Indicators relating to precursors of accidents
s.sch003 Common methodologies to calculate the economic impact of accidents
s.sch003 Indicators to calculate the economic impact of accidents
s.sch003 Indicators relating to technical safety of infrastructure and its implementation
s.sch003 Indicators relating to technical safety of infrastructure and its implementation
s.sch003 Indicators relating to the management of safety
s.sch003 Indicators relating to management of safety
s.sch003 Definitions of the scaling bases
s.sch004 (1) The arrangements for the selection, appointment and retention of...
s.sch005 Subject to the following paragraphs of this Schedule—
s.sch005 Where a holder of a deemed safety certificate or safety...
s.sch005 Where a person— (a) was granted an exemption, which has...
s.sch005 The 2000 Regulations shall apply in relation to—
s.sch005 Notwithstanding the revocation of the 2000 Regulations, regulation 10 of...
s.sch005 For the purposes of this Schedule “the 2000 Regulations” means...
s.sch005 In paragraph 1 a notification of acceptance shall be construed...
s.sch005 Notwithstanding their revocation the 2000 Regulations shall continue in force...
s.sch005 A deemed safety certificate or safety authorisation shall—
s.sch005 A deemed safety certificate or safety authorisation shall be valid until—...
s.sch005 Where the date of the periodic review referred to in...
s.sch005 Where a transport operator— (a) holds a deemed safety certificate...
s.sch005 The holder of a deemed safety certificate or safety authorisation...
s.sch005 Where the revision referred to in paragraph 8 renders the...
s.sch006 Amendment to the Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1995
s.sch006 Amendment to the Railway Safety (Miscellaneous Provisions) Regulations 1997
s.sch006 Amendment to the Railway Safety Regulations 1999
s.sch006 Amendment to the Enterprise Act 2002 (Part 9 Restrictions on Disclosure of Information) (Amendment and Specification) Order 2003
s.sch008 Where Part B of a safety certificate is to be...
s.sch008 An application for a new, updated, amended or renewed—
s.sch008 The form referred to in paragraph 1 follows.
s.sch008 The form referred to in paragraph 2 follows.
s.sch008 The form referred to in paragraph 3 follows.
s.sch009 (1) A UK-issued ECM certificate must be issued in the...
s.sch009 For the purposes of this Schedule, a “maintenance functions certificate”...
s.sch009 The application form referred to in paragraph 1(a) follows.
s.sch009 The form referred to in paragraph 1(b) follows.
s.sch009 The form referred to in paragraph 2(1) follows.
s.sch009 The form referred to in paragraph 2(2) follows.
s.sch010 Purpose
s.sch010 For certification of an entity or organisation taking on one...
s.sch010 For certification of a maintenance workshop taking on the maintenance...
s.sch010 Scope
s.sch010 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
s.sch010 Monitoring: a structured approach to ensure that risk control measures are in place, working correctly and achieving the organisation's objectives
s.sch010 Structure and responsibility: a structured approach to define the responsibilities of individuals and teams for secure delivery of the organisation's safety objectives
s.sch010 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
s.sch010 Information: a structured approach to ensure that important information is available to those making judgments and decisions at all levels of the organisation
s.sch010 Documentation — a structured approach to ensure the traceability of all relevant information
s.sch010 Contracting activities — a structured approach to ensure that subcontracted activities are managed appropriately in order for the organisation's objectives to be achieved
s.sch010 Interpretation
s.sch010 When the risk assessment process, in particular paragraph 22.4, is...
s.sch011 Application
s.sch011 (1) The second assessment step must consider the safety performance...
s.sch011 The third assessment step must verify whether it is the...
s.sch011 (1) The fourth assessment step must verify whether the number...
s.sch011 Moving weighted averaging process for the annual assessment of achievement of NRVs
s.sch011 Measurement units for NRVs and CSTs
s.sch011 Decision flowchart
s.sch011 Values for NRVs
s.sch011 Values for CSTs
s.sch011 Interpretation
s.sch011 Measurement units for NRVs and CSTs
s.sch011 For the purpose of assessment of achievement of the NRVs...
s.sch011 Principles for the assessment of achievement of NRVs and CSTs
s.sch011 Procedure for assessment of achievement of NRVs and CSTs
s.sch011 (1) The first assessment step must verify whether the observed...
3 other provisions
s.para.100 (This Schedule substantially reproduces the provisions of Commission Regulation (EU)...
s.para.85 (This Schedule substantially reproduces the provisions of Commission Regulation (EC)...
s.para.92 (This Schedule substantially reproduces Annexes IV and V of Commission...

Help complying

Guvnor’s practical routes through this instrument.

Set up a land transport business

For road hauliers, bus and coach operators, taxi and private hire firms, rail operators and pipeline operators. Put the employer duties in …

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For new warehousing and transport-support businesses, from storage and cold stores to freight forwarding, customs clearance and cargo handling at ports, airports …
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