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

Made: 9th March 2006

Laid before Parliament: 17th March 2006

Coming into force

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 (“the 1974 Act”) –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; andit 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:

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 (“the 1974 Act”) –

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

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:

PART 1 — INTRODUCTION

Citation and commencement

1

These Regulations may be cited as the Railways and Other Guided Transport Systems (Safety) Regulations 2006 and shall come into force—

• (a) as respects all regulations except for regulations 19, 23 to 26, 29, and 34 on 10th April 2006; and

• (b) as respects regulations 19, 23 to 26, 29 and 34 on 1st October 2006.

Interpretation and application

2

• (1) In these Regulations—

• “2011 EU ECM Regulation” means Commission Regulation (EU) No 445/2011 on a system of certification of entities in charge of maintenance for freight wagons and amending Regulation (EC) No 653/2007 as it had effect or as it has effect in EU law, as the context dictates;

• “2019 EU ECM Regulation”, save in the expression “assimilated 2019 EU ECM Regulation”, means Commission Implementing Regulation (EU) 2019/779 laying down detailed provisions on a system of certification of entities in charge of maintenance of vehicles pursuant to Directive (EU) 2016/798 of the European Parliament and of the Council and repealing Commission Regulation (EU) No 445/2011 as it had effect or as it has effect in EU law, as the context dictates;

• “accident” means an unwanted or unintended sudden event or a specific chain of such events which have harmful consequences; accidents are divided into the following categories: collisions, derailments, level-crossing accidents, accidents to persons caused by rolling stock in motion, fires and others;

• “assimilated 2019 EU ECM Regulation” means Commission Implementing Regulation (EU) 2019/779 laying down detailed provisions on a system of certification of entities in charge of maintenance of vehicles pursuant to Directive (EU) 2016/798 of the European Parliament and of the Council and repealing Commission Regulation (EU) No 445/2011, as it has effect in the UK after IP completion day;

• “building operation” means the—construction, structural alteration, repair or maintenance of a building and “maintenance” shall include repointing, redecoration and external cleaning of the structure;demolition of a building; orpreparation for and laying the foundation of an intended building,but does not include any operation which is a work of engineering construction;

• “bus” means a motor vehicle which is designed or adapted to travel along roads and to carry more than eight passengers but which is not a tramcar;

• “cableway installation” means an installation made up of several components that—is used or intended to be used for the purpose of providing an operational system for carrying persons in vehicles, on chairs or by towing devices;uses cables positioned along the line of travel to provide suspension or traction or both; andis one of the following—cable car (including a gondola and chair lift) where the cabins or chairs are lifted or displaced by one or more carrier cables;drag lift, where users with appropriate equipment are dragged by means of a cable; orfunicular railway or other installation with vehicles mounted on wheels or on other suspension devices where traction is provided by one or more cables;but does not include cable operated tramways, rack railways or lifts;

• “carriageway” has the same meaning as in the Highways Act 1980 , or in Scotland the Roads (Scotland) Act 1984 ;

• “certification body” means a body responsible for the certification of entities in charge of maintenance, on the basis of the criteria in Part 3 of Schedule 10 ;

• “common safety methods” (“CSMs”) means—Commission Regulation (EU) No 1158/2010 on a common safety method for assessing conformity with the requirements for obtaining railway safety certificates;Commission Regulation (EU) No 1169/2010 on a common safety method for assessing conformity with the requirements for obtaining a railway safety authorisation; Commission Delegated Regulation (EU) 2018/761 establishing common safety methods for supervision by national safety authorities after the issue of a single safety certificate or a safety authorisation;Commission Regulation (EU) No 1078/2012 on a common safety method for monitoring to be applied by railway undertakings, infrastructure managers after receiving a safety certificate or safety authorisation and by entities in charge of maintenance; andCommission Implementing Regulation (EU) No 402/2012 on a common safety method for risk evaluation and assessment,as they have effect in Great Britain;

• “common safety targets” (“CSTs”) means the minimum safety levels that must be reached by the mainline railway system, or parts of the mainline railway system, expressed in risk categories as defined in paragraph 2 of Schedule 11;

• “competent person” means, except for the purposes of Part 4, a person who—has sufficient skills, knowledge, experience and resources to undertake the safety verification in relation to which he is appointed;has not borne such responsibility in relation to any of the matters he has to consider in undertaking that safety verification that might compromise his objectivity; andis sufficiently independent of a management system, or a part thereof, which has borne responsibility for any of the matters he has to consider in undertaking the safety verification, to ensure that he will be objective in carrying out the safety verification for which he is appointed;

• “cross-border service” means a service for the carriage of passengers or goods by way of the tunnel system;

• “cross-border UK-issued ECM certificate” means a certificate issued in the United Kingdom to an entity in charge of maintenance by an accredited or recognised body or by a safety authority in accordance with the assimilated 2019 EU ECM Regulation;

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• “the Directive” means Directive 2004/49/EC of the European Parliament and of the Council on safety on the Community’s railways and amending Council Directive 95/18/EC on the licensing of railway undertakings and Directive 2001/14/EC on the allocation of railway infrastructure capacity and the levying of charges for the use of railway infrastructure and safety certification as amended by—the Interoperability Directive; Directive 2008/110/EC of the European Parliament and of the Council amending Directive 2004/49/EC on safety on the Community’s railways;Commission Directive 2009/149/EC amending Directive 2004/49/EC of the European Parliament and of the Council as regards Common Safety Indicators and common methods to calculate accident costs; andCommission Directive 2014/88/EU amending Directive 2004/49/EC of the European Parliament and of the Council as regards common safety indicators and common methods of calculating accident costs;

• “EU ECM certificate” means a certificate issued to an entity in charge of maintenance in accordance with the 2011 EU ECM Regulation or the 2019 EU ECM Regulation as may be applicable;

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• “engineering possession” means a section of track which is closed to normal traffic and where the closure is for the purpose of carrying out maintenance which shall include any repair alteration, reconditioning, examination or testing of infrastructure;

• “entity in charge of maintenance” means an entity in charge of maintenance of a vehicle, and includes a transport undertaking, an infrastructure manager or a keeper;

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• “factory” means a factory within the meaning of section 175 of the Factories Act 1961 and premises to which section 123(1) or (2) or 125(1) of that Act applies;

• “freight wagon” means a non-self-propelled-vehicle designed for the purpose of transporting freight or other materials to be used for activities such as construction or infrastructure maintenance;

• “guided bus system” means a system of transport, used wholly or mainly for the carriage of passengers, that employs buses which for some or all of the time when they are in operation—travel along roads; andare guided (whether while on the road or at other times) by means of—apparatus, a structure or other device which is fixed and not part of the bus; ora guidance system which is automatic;

• “guided transport” means a system of transport, used wholly or mainly for the carriage of passengers, employing vehicles which for some or all of the time when they are in operation are guided by means of—rails, beams, slots, guides or other apparatus, structures or devices which are fixed and not part of the vehicle; ora guidance system which is automatic;

• “harbour” area has the same meaning as in the Dangerous Goods in Harbour Areas Regulations 2016;

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• “infrastructure” means fixed assets used for the operation of a transport system which shall include, without prejudice to the generality of the foregoing—its permanent way or other means of guiding or supporting vehicles;any station; andplant used for signalling or exclusively for supplying electricity for operational purposes to the transport system;

• “infrastructure manager” means the person who—in relation to infrastructure other than a station, is responsible for developing and maintaining that infrastructure or, in relation to a station, the person who is responsible for managing and operating that station, except that it shall not include any person solely on the basis that he carries out the construction of that infrastructure or station or its maintenance, repair or alteration; andmanages and uses that infrastructure or station, or permits it to be used, for the operation of a vehicle;

• “Interoperability Directive” means Directive 2008/57/EC of the European Parliament and of the Council of 17th June 2008 on the interoperability of the rail system within the Community (Recast);

• “Interoperability Regulations” means the Railways (Interoperability) Regulations 2011;

• “keeper” means the person who, being the owner of a vehicle or having the right to use it, exploits the vehicle as a means of transport and is registered as being the keeper in the National Vehicle Register;

• “mainline application” means an application for—a safety certificate or an amended safety certificate; ora safety authorisation or an amended safety authorisation,made in relation to an operation on the mainline railway;

• “mainline railway” means any railway except for any railway or part of a railway—that the Office of Rail and Road determines in accordance with regulation 2A (determination of exclusion from the mainline railway) falls within one of the categories listed in paragraph (1) of that regulation; orwhich is privately owned infrastructure that exists solely for use by the infrastructure owner for its own freight operations;

• “mainline railway system” means the mainline railway and the management and operation of the mainline railway as a whole;

• “maintenance file” means the written file that contains all the technical and management information that is necessary to carry out the maintenance of a vehicle;

• “maintenance rules” means any rules, applicable in Great Britain, which set out requirements relating to the maintenance of vehicles;

• “material” includes plant;

• “military establishment” means an establishment intended for use for naval, military or air force purposes or for the purposes of the Department of the Secretary of State responsible for defence;

• “mine” has the meaning assigned to it by section 180 of the Mines and Quarries Act 1954 ;

• “national safety rules” means any legislation and other requirements—applicable in Great Britain; and which contain requirements (including common operating rules) relating to railway safety which are imposed on more than one transport undertaking operating on the mainline railway; except that where the requirements in sub-paragraph (b) consist of common operating rules of the mainline railway it shall not include such rules which regulate matters which are covered by an NTSN;

• “NTSN” means a National Technical Specification Notice published by the Secretary of State pursuant to regulation 3B of the Interoperability Regulations;

• “National Vehicle Register” means the register of vehicles authorised in Great Britain, required by regulation 36 of the Interoperability Regulations;

• “new” in relation to regulations 5 and 6 means new to the transport system in question;

• “non-mainline application” means an application for—a safety certificate or an amended safety certificate; ora safety authorisation or an amended safety authorisation,made in relation to an operation on a transport system other than the mainline railway;

• “operator of last resort” means a transport operator appointed by the Secretary of State to provide transport services in accordance with section 30 of the Railways Act 1993;

• “owner”, in relation to a vehicle, means any person who has an estate or interest in, or a right over, that vehicle, and whose permission is needed before another may use it;

• “Part A of a safety certificate” means that part of a safety certificate certifying the matters set out in regulation 7(4)(b)(i) and related expressions shall be construed accordingly;

• “Part B of a safety certificate” means that part of a safety certificate certifying the matters set out in regulation 7(4)(b)(ii) and related expressions shall be construed accordingly;

• “placed in service” means when a vehicle or infrastructure, having been constructed, upgraded or renewed, is first operated in the provision of a transport service, and in ascertaining when this takes place no regard shall be had to any trials or testing that take place to the vehicle or infrastructure, and cognate expressions shall be construed accordingly;

• “quarry” has the meaning assigned to it by regulation 3 of the Quarries Regulations 1999 ;

• “railway” means a system of transport employing parallel rails which—provide support and guidance for vehicles carried on flanged wheels; andform a track which either is of a gauge of at least 350 millimetres or crosses a carriageway (whether or not on the same level),but does not include a tramway;

• “Recast Safety Directive” means Directive (EU) 2016/798 of the European Parliament and the Council on railway safety (recast);

• “relevant infrastructure manager” means the infrastructure manager for any infrastructure used in relation to the operation in question;

• “relevant infrastructure or vehicle” means any new or altered—infrastructure; orvehicle,falling within regulation 5(4) or 6(4) and related expressions shall be construed accordingly;

• “responsible person” means in relation to any relevant infrastructure or vehicle, any person who—has contracted with another person for the manufacture or construction by that other person of that infrastructure or vehicle; ormanufactures or constructs that infrastructure or vehicle for his own use, or for sale to, or use by, another person but not where he is contracted to do so by a person falling under sub-paragraph (a),and includes an authorised representative established in Great Britain of such a person.

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• “risk” means in Parts 1 and 2 a risk to the safety of a person;