UK Statutory Instrument
2006
United Kingdom
The Railways and Other Guided Transport Systems (Safety) Regulations 2006
At a glance
Enforced by
What's here
18 compliance obligations, 1 practical guide
Who this Act binds
Business-side actors with duties under this Act, ranked by how often they appear.
- Any Person 13
- Operator 2
- Contractor 1
- Employer 1
Plus 1 non-business duty on Crown ministers, regulators, local authorities or tribunals — shown collapsed under each section below.
Relevant guidance
Practical guides for businesses affected by this Act, ordered by how closely they engage with it.
Supporting — topic alignment
1 guidesOther Acts binding the same actors
For each actor bound by this Act, the other UK Acts that bind them most often. Useful for understanding the full compliance landscape facing each role.
Any Person also bound by 2338 other Acts (top 5 shown)
- Human Medicines Regulations 2012 2012 169 duties
- Merchant Shipping Act 1995 1995 144 duties
- Insolvency (England and Wales) Rules 2016 2016 101 duties
- Road Traffic Act 1988 1988 95 duties
- Air Navigation Order 2016 2016 95 duties
Operators also bound by 730 other Acts (top 5 shown)
- Regulation (EU) No 965/2012 (Air Operations) 2012 138 duties
- Commission Implementing Regulation (EU) 2018/2066 of 19 December 2018 on the monitoring and reporting of greenhouse gas emissions pursuant to Directive 2003/87/EC of the European Parliament and of the Council and amending Commission Regulation (EU) No 601/2012 (Text with EEA relevance) 2018 121 duties
- Commission Regulation (EU) No 601/2012 of 21 June 2012 on the monitoring and reporting of greenhouse gas emissions pursuant to Directive 2003/87/EC of the European Parliament and of the Council (Text with EEA relevance) (repealed) 2012 112 duties
- Space Industry Regulations 2021 2021 75 duties
- Regulation (EU) 2016/429 of the European Parliament and of the Council of 9 March 2016 on transmissible animal diseases and amending and repealing certain acts in the area of animal health (‘Animal Health Law’) (Text with EEA relevance) 2016 66 duties
Contractors also bound by 178 other Acts (top 5 shown)
- The National Health Service (Personal Medical Services Agreements) Regulations 2015 2015 137 duties
- The National Health Service (General Medical Services Contracts) Regulations 2015 2015 134 duties
- Construction (Design and Management) Regulations 2015 2015 114 duties
- The National Health Service (General Medical Services Contracts) (Wales) Regulations 2023 2023 93 duties
- The Health and Personal Social Services (General Medical Services Contracts) Regulations (Northern Ireland) 2004 2004 87 duties
Employers also bound by 694 other Acts (top 5 shown)
- The Income Tax (Pay As You Earn) Regulations 2003 2003 236 duties
- Provision and Use of Work Equipment Regulations 1998 1998 120 duties
- TULRCA 1992 1992 72 duties
- Employment Rights (Northern Ireland) Order 1996 (current NI employment law) 1996 52 duties
- Income Tax (Earnings and Pensions) Act 2003 2003 50 duties
What this Act requires
Sections that create concrete duties on businesses or carry penalties. Procedural and definitional sections are folded into the “Browse other sections” expander at the bottom of each group. Click any section title to read the source text on legislation.gov.uk.
Part 1 — INTRODUCTION
Browse 3 other sections in this Part — procedural / definitional / commencement
Citation and commencement
Interpretation and application
Determination of exclusion from the mainline railway
Part 2 — SAFETY MANAGEMENT, CERTIFICATION AND AUTHORISATION
General provisions relating to safety certificates and safety authorisations
- Consult safety representatives and employees before applying for safety certificate or authorisation Employer
Browse 18 other sections in this Part — procedural / definitional / commencement
Use of infrastructure on the mainline railway
Use of infrastructure on other transport systems
Safety management system for the mainline railway
Safety management system for other transport systems
Safety certificate
Amended safety certificate
Further safety certificate
Format for safety certificates and applications
Safety authorisation
Amended safety authorisation
Further safety authorisation
Notice of changes by holder of a safety certificate or a safety authorisation
Direction to apply for an amended safety certificate or safety authorisation
Revocation of safety certificate
Revocation of safety authorisation
Notification to the European Railway Agency regarding safety certificates and safety authorisations relating to the mainline railway
Maintenance of vehicles on the mainline railway
Common safety targets
Part 3 — GENERAL DUTIES
Browse 4 other sections in this Part — procedural / definitional / commencement
Risk assessment
Annual safety reports
Sending, issuing, and keeping of documents and making them available for public inspection
Co-operation
Part 4 — SAFETY CRITICAL WORK
Browse 4 other sections in this Part — procedural / definitional / commencement
Interpretation and application of Part 4
Competence and fitness
Fatigue
Co-operation requirements for safety critical work
Part 5 — MISCELLANEOUS
Browse 9 other sections in this Part — procedural / definitional / commencement
Appeals
Offences
Transitional provisions and savings
Exemptions
Defence of due diligence
Amendment of ROTS
Consequential amendments
Revocation
Review
Schedules
Requirements on the safety management system
- Your safety management system must describe responsibilities, show management control, involve workers, and ensure continuous improvement Operator
Applications to certification bodies must be made—
- Use correct application forms for ECM and maintenance certificates Contractor
Organisation
- Document your certification body's organisational structure Any Person
Independence
- Ensure independence of certification decisions and staff Any Person
Competence
- Ensure certification body and staff have required professional competence Any Person
Impartiality
- Base certification decisions on objective evidence only Any Person
Openness
- Certification body must publish audit and certification information Any Person
Confidentiality
- Keep client commercial information confidential Any Person
Responsiveness to complaints
- Certification bodies must establish a complaint-handling procedure Any Person
Liability and financing
- Certification body must have insurance or reserves to cover liability risks Any Person
Leadership: commitment to the development and implementation of the maintenance system of the organisation and to the continuous improvement of its effectiveness
- Establish and implement a maintenance system with defined procedures Any Person
Maintenance system
- Establish and manage a maintenance system for freight wagons Any Person
Relationships between parties in the maintenance process
- Ensure each freight wagon has a certified maintenance entity before departure Operator
Certification bodies
- Certification bodies must comply with accreditation criteria and cooperate to harmonise assessments Any Person
System of certification for entities in charge of maintenance
- Apply and maintain ECM certification as entity in charge of maintenance Any Person
System of certification for outsourced maintenance functions
- Ensure outsourced maintenance functions are certified or demonstrate compliance Any Person
Role of the supervision regime
Other duties (1) — Crown / regulator
- National safety authority must take decision and inform when ECM non-compliance suspected Statutory regulator
Browse 113 other Schedules — structural / supplementary
Basic elements of the safety management system
The following information shall be included in relation to Part...
The following information shall be included in relation to Part...
Particulars of the type and extent of the operation in...
Particulars of how the safety management system of the applicant...
Information on the— (a) relevant statutory provisions which make provision...
Information on the different types of work or voluntary work...
Information on the different types of rolling stock used for...
Interpretation
Indicators relating to accidents
Indicators relating to accidents
Indicators relating to dangerous goods
Indicators relating to dangerous goods
Indicators relating to suicides
Indicators relating to suicides
Indicators relating to precursors of accidents
Indicators relating to precursors of accidents
Common methodologies to calculate the economic impact of accidents
Indicators to calculate the economic impact of accidents
Indicators relating to technical safety of infrastructure and its implementation
Indicators relating to technical safety of infrastructure and its implementation
Indicators relating to the management of safety
Indicators relating to management of safety
Definitions of the scaling bases
(1) The arrangements for the selection, appointment and retention of...
Subject to the following paragraphs of this Schedule—
Where a holder of a deemed safety certificate or safety...
Where a person— (a) was granted an exemption, which has...
The 2000 Regulations shall apply in relation to—
Notwithstanding the revocation of the 2000 Regulations, regulation 10 of...
For the purposes of this Schedule “the 2000 Regulations” means...
In paragraph 1 a notification of acceptance shall be construed...
Notwithstanding their revocation the 2000 Regulations shall continue in force...
A deemed safety certificate or safety authorisation shall—
A deemed safety certificate or safety authorisation shall be valid until—...
Where the date of the periodic review referred to in...
Where a transport operator— (a) holds a deemed safety certificate...
The holder of a deemed safety certificate or safety authorisation...
Where the revision referred to in paragraph 8 renders the...
Amendment to the Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1995
Amendment to the Railway Safety (Miscellaneous Provisions) Regulations 1997
Amendment to the Railway Safety Regulations 1999
Amendment to the Enterprise Act 2002 (Part 9 Restrictions on Disclosure of Information) (Amendment and Specification) Order 2003
Where Part A of a safety certificate is to be...
Where Part B of a safety certificate is to be...
An application for a new, updated, amended or renewed—
The form referred to in paragraph 1 follows.
The form referred to in paragraph 2 follows.
The form referred to in paragraph 3 follows.
(1) A UK-issued ECM certificate must be issued in the...
For the purposes of this Schedule, a “maintenance functions certificate”...
The application form referred to in paragraph 1(a) follows.
The form referred to in paragraph 1(b) follows.
The form referred to in paragraph 2(1) follows.
The form referred to in paragraph 2(2) follows.
Purpose
For certification of an entity or organisation taking on one...
For certification of a maintenance workshop taking on the maintenance...
Responsibility
Scope
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
Monitoring: a structured approach to ensure that risk control measures are in place, working correctly and achieving the organisation's objectives
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
Structure and responsibility: a structured approach to define the responsibilities of individuals and teams for secure delivery of the organisation's safety objectives
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
Information: a structured approach to ensure that important information is available to those making judgments and decisions at all levels of the organisation
Documentation — a structured approach to ensure the traceability of all relevant information
Contracting activities — a structured approach to ensure that subcontracted activities are managed appropriately in order for the organisation's objectives to be achieved
Interpretation
The organisation must have a procedure to identify and manage...
The organisation must have procedures to guarantee conformity with the...
The organisation must have a procedure to design and to...
When freight wagons start operations, the organisation must have procedures...
To keep the maintenance file updated throughout the lifecycle of...
When the competence management process is applied to the maintenance...
When the documentation process is applied to the maintenance development...
The organisation must have a procedure to check the competence,...
The organisation must have a procedure for the composition of...
The organisation must have a procedure to send freight wagons...
The organisation must have a procedure to manage the removal...
The organisation must have a procedure to define the necessary...
The organisation must have a procedure to issue a notice...
When the competence management process is applied to the fleet...
When the information process is applied to the fleet maintenance...
When the information process is applied to the fleet maintenance...
When the documentation process is applied to the fleet maintenance...
The organisation must have procedures to— (a) check the completeness...
The organisation must have procedures to ensure that—
The organisation must have procedures to determine, identify, provide, record...
Where necessary to ensure valid results, the organisation must have...
The organisation must have procedures to ensure that all facilities,...
The organisation must have procedures to check that the performed...
When the risk assessment process, in particular paragraph 22.4, is...
When the competence management process is applied to the maintenance...
When the information process is applied to the maintenance delivery...
When the documentation process is applied to the maintenance delivery...
Application
(1) The second assessment step must consider the safety performance...
The third assessment step must verify whether it is the...
(1) The fourth assessment step must verify whether the number...
Moving weighted averaging process for the annual assessment of achievement of NRVs
Measurement units for NRVs and CSTs
Decision flowchart
Values for NRVs
Values for CSTs
Interpretation
Measurement units for NRVs and CSTs
For the purpose of assessment of achievement of the NRVs...
Principles for the assessment of achievement of NRVs and CSTs
The assessment of achievement of the NRVs and CSTs must...
The outcome of the assessment of achievement referred to in...
Procedure for assessment of achievement of NRVs and CSTs
(1) The first assessment step must verify whether the observed...
Other sections — not classified into a Part
These sections sit outside the numbered Parts — usually provisions added or moved by later amendments.
Browse 3 other sections
(This Schedule substantially reproduces the provisions of Commission Regulation (EU)...
(This Schedule substantially reproduces the provisions of Commission Regulation (EC)...
(This Schedule substantially reproduces Annexes IV and V of Commission...
Official guidance
Authoritative sources published by regulators or government explaining this legislation.
- Improvement notices 2013 | Office of Rail and Road (opens in a new tab) from ORR Detailed Guidance
- Managing safety when investing in the rail network | Office of Rail and Road (opens in a new tab) from ORR Detailed Guidance
- Investing in the rail network: Licensing | Office of Rail and Road (opens in a new tab) from ORR Detailed Guidance
- Investing in the rail network: Authorising vehicles and infrastructure (Interoperability) | Office of Rail and Road (opens in a new tab) from ORR Detailed Guidance
- Assessing the costs and benefits of health and safety interventions in rail | Office of Rail and Road (opens in a new tab) from ORR Detailed Guidance
- Safety critical work | Office of Rail and Road (opens in a new tab) from ORR Detailed Guidance
- Mainline transport operators annual safety reports | Office of Rail and Road (opens in a new tab) from ORR Detailed Guidance
- Exclusions from mainline railway requirements | Office of Rail and Road (opens in a new tab) from ORR Detailed Guidance
- Entities in charge of maintenance | Office of Rail and Road (opens in a new tab) from ORR Detailed Guidance
- Duty of cooperation/dispute resolution | Office of Rail and Road (opens in a new tab) from ORR Detailed Guidance
- ... and 6 more
Enforcement and responsible bodies
The regulators that administer or enforce this legislation.
Office of Rail and Road
Independent safety and economic regulator for Britain's railways. Regulates health and safety for the mainline rail network, London Underground, light rail, trams, …
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Browse legislation
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Regulators
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