Legalize / United Kingdom / Statutory-Instrument

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

Type Statutory-Instrument

Publication 2006-03-09

Last updated 2025-02-27

State In force

Department King's Printer of Acts of Parliament

Source legislation.gov.uk

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[^key-b7fe9b077706f3f6fd68ad95ab47a87d]: Words in reg. 21(8) omitted (31.12.2020) by virtue of The Rail Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/837), regs. 1, 3(9); 2020 c. 1, Sch. 5 para. 1(1)

[^key-92771ff93672f0c96a8a5355a0d4e2c8]: Word in Sch. 1 para. 2(c)(i) inserted (31.12.2020) by The Railways (Interoperability) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/345), reg. 1(2), Sch. 8 para. 3(d); 2020 c. 1, Sch. 5 para. 1(1)

[^key-9e380e76a3424f8c9b8bc3a78a0ff422]: Sch. 2 para. 1(b)(i) substituted (31.12.2020) by The Rail Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/837), regs. 1, 3(11) (as amended by S.I. 2020/786, regs. 1(2)(b)(i), 7(6)); 2020 c. 1, Sch. 5 para. 1(1)

[^key-2751f3205df7d43cbf2a82be4bea4723]: Word in Sch. 2 para. 2 substituted (31.12.2020) by virtue of The Railways (Interoperability) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/345), reg. 1(2), Sch. 8 para. 3(e); 2020 c. 1, Sch. 5 para. 1(1)

[^key-76b531f53fd939c68391863ba3a3a569]: Reg. 9A inserted (31.12.2020) by The Rail Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/837), regs. 1, 3(3); 2020 c. 1, Sch. 5 para. 1(1)

[^key-694395ca3fb65cfd83a953a000a9d944]: Reg. 18B inserted (31.12.2020) by The Rail Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/837), regs. 1, 3(7); 2020 c. 1, Sch. 5 para. 1(1)

[^M_F_c2ba4e91-49a8-4a9a-989b-5049675faa01]: Sch 8: in the inserted Sch. 8 Pt 4, in the Guidelines for Compilation in 8.5, 8.7 and 8.9, in each place that it occurs, “NTSNs” substituted for “TSIs” (31.12.2020 immediately before IP completion day) by The Railways (Miscellaneous Amendments, Revocations and Transitional Provisions) (EU Exit) Regulations 2020 (S.I. 2020/786), regs. 1(2)(b)(i), 7(8)(b)

[^key-075896d39313c32a707b088f8a8d6239]: Words in reg. 2 inserted (31.12.2020) by The Railways (Interoperability) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/345), reg. 1(2), Sch. 8 para. 3(a)(ii); 2020 c. 1, Sch. 5 para. 1(1)

[^key-2163ab43bd70ce30c2b212c920f546ab]: Words in reg. 2 inserted (31.12.2020) by S.I. 2019/837, regs. 1, 3(2)(a); 2020 c. 1, Sch. 5 para. 1(1) (as amended by The Railways (Miscellaneous Amendments, Revocations and Transitional Provisions) (EU Exit) Regulations 2020 (S.I. 2020/786), regs. 1(2)(b)(i), 7(2)(a))

[^key-b619faceaf8bbf6fd4da329c4468adcc]: Words in reg. 2 substituted (31.12.2020) by The Rail Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/837), regs. 1, 3(2)(b); 2020 c. 1, Sch. 5 para. 1(1)

[^key-8fd5153a5029be0cc9242d2bd6f14191]: Words in reg. 2 substituted (31.12.2020) by S.I. 2019/837, regs. 1, 3(2)(c); 2020 c. 1, Sch. 5 para. 1(1) (as amended by The Railways (Interoperability) (Miscellaneous Amendments and Revocations) (EU Exit) Regulations 2020 (S.I. 2020/318), regs. 1(2)(b), 6(a))

[^key-c3da1c3801e763333d01a17636e44e46]: Words in reg. 2 substituted (31.12.2020) by The Rail Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/837), regs. 1, 3(2)(d); 2020 c. 1, Sch. 5 para. 1(1)

[^key-2e7f82706b46f2098a6c2330f0374ade]: Words in reg. 2 substituted (31.12.2020) by S.I. 2019/837, regs. 1, 3(2)(e); 2020 c. 1, Sch. 5 para. 1(1) (as amended by The Railways (Miscellaneous Amendments, Revocations and Transitional Provisions) (EU Exit) Regulations 2020 (S.I. 2020/786), regs. 1(2)(b)(i), 7(2)(c))

[^key-bb33c91b85a211364e5ca3f17a35e936]: Words in reg. 2 omitted (31.12.2020) by virtue of The Rail Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/837), regs. 1, 3(2)(f); 2020 c. 1, Sch. 5 para. 1(1)

[^key-14ae760c79f6015b6e32a72182cd1c4a]: Words in reg. 2 substituted (31.12.2020) by The Rail Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/837), regs. 1, 3(2)(h); 2020 c. 1, Sch. 5 para. 1(1)

[^key-ef3375e51188d2a51d16f8c3cb1450d6]: Words in reg. 2 inserted (31.12.2020) by The Rail Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/837), regs. 1, 3(2)(i); 2020 c. 1, Sch. 5 para. 1(1)

[^key-30efd32c054b2361a378b6d81f0deb7b]: Word in reg. 2 substituted (31.12.2020) by The Rail Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/837), regs. 1, 3(2)(j); 2020 c. 1, Sch. 5 para. 1(1)

[^key-0d8822c899a5016019f0703e88be7c9e]: Words in reg. 2 inserted (31.12.2020) by S.I. 2019/837, regs. 1, 3(2)(k); 2020 c. 1, Sch. 5 para. 1(1) (as amended by The Railways (Miscellaneous Amendments, Revocations and Transitional Provisions) (EU Exit) Regulations 2020 (S.I. 2020/786), regs. 1(2)(b)(i), 7(2)(e))

[^key-e10047e9329a6fcf38243fe4348a283e]: Words in reg. 2 omitted (31.12.2020 immediately before IP completion day) by virtue of The Railways (Miscellaneous Amendments, Revocations and Transitional Provisions) (EU Exit) Regulations 2020 (S.I. 2020/786), regs. 1(2)(b)(i), 2(2)(a)

[^key-7b4a848ccc407f0e2a9bad7da865f99e]: Words in reg. 2 omitted (31.12.2020 immediately before IP completion day) by virtue of The Railways (Miscellaneous Amendments, Revocations and Transitional Provisions) (EU Exit) Regulations 2020 (S.I. 2020/786), regs. 1(2)(b)(i), 2(2)(c)

[^key-4f7e03612a5ea80ebbd3eed34f191f45]: Words in reg. 2 inserted (31.12.2020 immediately before IP completion day) by The Railways (Miscellaneous Amendments, Revocations and Transitional Provisions) (EU Exit) Regulations 2020 (S.I. 2020/786), regs. 1(2)(b)(i), 2(2)(d)

[^key-3d7211aebf32c7bb8b37d89a7bb3bedd]: Reg. 20(3) omitted (31.12.2020) by virtue of The Rail Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/837), regs. 1, 3(8)(b); 2020 c. 1, Sch. 5 para. 1(1)

[^key-a5695157e22df577f8482a58b35d7c4a]: Reg. 20(4) omitted (31.12.2020) by virtue of The Rail Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/837), regs. 1, 3(8)(b); 2020 c. 1, Sch. 5 para. 1(1)

[^key-14898eb4c3dd6cd836029c5a559108a4]: Reg. 20(5) omitted (31.12.2020) by virtue of The Rail Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/837), regs. 1, 3(8)(b); 2020 c. 1, Sch. 5 para. 1(1)

[^key-9c916c7b589ecca972d07897a6066057]: Reg. 20(6) inserted (31.12.2020) by The Rail Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/837), regs. 1, 3(8)(c); 2020 c. 1, Sch. 5 para. 1(1)

[^key-2354bb31279d139c13f5e7afb4d42685]: Words in reg. 20(1)(c) omitted (31.12.2020) by virtue of The Rail Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/837), regs. 1, 3(8)(a); 2020 c. 1, Sch. 5 para. 1(1)

[^key-ace537a2836fda7e8ddac353e45661d5]: Reg. 7(2A) inserted by S.I. 2019/837, reg. 3(2A)(ii) (as inserted by The Railways (Safety, Access, Management and Interoperability) (Miscellaneous Amendments and Transitional Provision) (EU Exit) Regulations 2019 (S.I. 2019/1310), regs. 1(2)(c), 7(2)(a); 2020 c. 1, Sch. 5 para. 1(1))

[^key-02ed679ff00a349503407de611c5a218]: Words in reg. 7(2) inserted (31.12.2020) by S.I. 2019/837, reg. 3(2A)(i) (as amended by The Railways (Safety, Access, Management and Interoperability) (Miscellaneous Amendments and Transitional Provision) (EU Exit) Regulations 2019 (S.I. 2019/1310), regs. 1(2)(c), 7(2)(a); 2020 c. 1, Sch. 5 para. 1(1))

[^key-72ad55e6733b169bd874cae63dfd394d]: Word in reg. 7(5)(a) substituted (31.12.2020) by The Railways (Interoperability) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/345), reg. 1(2), Sch. 8 para. 3(c); 2020 c. 1, Sch. 5 para. 1(1)

[^key-252cc5b300717cc87bd330db5d57a8b8]: Words in reg. 2 substituted (31.12.2020) by S.I. 2019/345, Sch. 8 para. 3(a)(i) (as substituted by The Railways (Interoperability) (Miscellaneous Amendments and Revocations) (EU Exit) Regulations 2020 (S.I. 2020/318), regs. 1(2)(b), 5(16))

[^key-512ce61e0596336468bc62f1d6b911f4]: Reg. 27(1B) inserted (31.12.2020) by The Rail Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/837), regs. 1, 3(10)(e); 2020 c. 1, Sch. 5 para. 1(1)

[^key-8863ac304dfcb3f0e01bf5a83d50d91d]: Reg. 27(1)(dd)(de) inserted (31.12.2020) by S.I. 2019/837, regs. 1, 3(10)(c); 2020 c. 1, Sch. 5 para. 1(1) (as amended by The Railways (Miscellaneous Amendments, Revocations and Transitional Provisions) (EU Exit) Regulations 2020 (S.I. 2020/786), regs. 1(2)(b)(i), 7(5)(c)(i)(ii))

[^key-213219b31aa5966ab734cfc04cb47dd3]: Words in reg. 27(1)(a) substituted (31.12.2020) by S.I. 2019/837, reg. 3(10)(a) (as substituted by The Railways (Miscellaneous Amendments, Revocations and Transitional Provisions) (EU Exit) Regulations 2020 (S.I. 2020/786), regs. 1(2)(b)(i), 7(5)(a))

[^key-dc5641733018b2472298622a05596e98]: Reg. 27(1)(d) substituted (31.12.2020) by S.I. 2019/837, reg. 3(10)(b) (as substituted by The Railways (Miscellaneous Amendments, Revocations and Transitional Provisions) (EU Exit) Regulations 2020 (S.I. 2020/786), regs. 1(2)(b)(i), 7(5)(b))

[^key-13a1f014f5168e3199353edcd50a075d]: Reg. 27(1A) substituted (31.12.2020) by The Railways (Miscellaneous Amendments, Revocations and Transitional Provisions) (EU Exit) Regulations 2020 (S.I. 2020/786), regs. 1(2)(b)(i), 7(5)(d)

[^key-42626684e1b81de642619f87a7b951a7]: Reg. 2(3) substituted (31.12.2020) by S.I. 2019/837, reg. 3(2)(l) (as substituted by The Railways (Miscellaneous Amendments, Revocations and Transitional Provisions) (EU Exit) Regulations 2020 (S.I. 2020/786), regs. 1(2)(b)(i), 7(2)(f))

[^key-559af5fdd6b554873bde5333b3951c07]: Words in reg. 2 omitted (31.12.2020) by virtue of S.I. 2019/837, reg. 3(2)(ja) (as inserted by The Railways (Interoperability) (Miscellaneous Amendments and Revocations) (EU Exit) Regulations 2020 (S.I. 2020/318), regs. 1(2)(b), 6(b))

[^key-62ea056cf4682f0aba292064f0e6180f]: Words in reg. 2 inserted (31.12.2020) by S.I. 2019/837, reg. 3(2)(dd) (as inserted by The Railways (Miscellaneous Amendments, Revocations and Transitional Provisions) (EU Exit) Regulations 2020 (S.I. 2020/786), regs. 1(2)(b)(i), 7(2)(b))

[^c23831581]: The Office of Rail and Road was established by section 15 of the Railways and Transport Safety Act 2003 (c. 20) as the Office of Rail Regulation and subsequently renamed by the Office of Rail Regulation (Change of Name) Regulations (S.I. 2015/1682).

[^c23831591]: S.I. 1999/283 (N.I. 1).

[^c23831601]: 2016 c. 5 (N.I.). The Department for Infrastructure was originally established as the Department for Regional Development by article 3(1) of the Departments (Northern Ireland) Order 1999) S.I. 1999/283) and subsequently renamed by subsection 1(6) of the Departments Act (Northern Ireland) 2016 (c. 5).

[^c23831611]: 1987 c. 53.

[^key-a18955c920b996f137e14c8a3badf09f]: Word in reg. 2(3)(a) substituted (30.6.2023) by The Railways and Other Guided Transport Systems (Safety) (Amendment) Regulations 2023 (S.I. 2023/540), regs. 1, 3(2)

[^key-9029d92a4e8016eb012e5c28ed1134f0]: Reg. 18A(1)(b) substituted (30.6.2023) by The Railways and Other Guided Transport Systems (Safety) (Amendment) Regulations 2023 (S.I. 2023/540), regs. 1, 3(3)(a)

[^key-997a5c5ad1b0cd6acdf425286071bff2]: Reg. 18A(1ZA)(1ZB) inserted (30.6.2023) by The Railways and Other Guided Transport Systems (Safety) (Amendment) Regulations 2023 (S.I. 2023/540), regs. 1, 3(3)(b)

[^key-39d0a9bdb263acec34c19e77fa3261c3]: Reg. 18A(5) inserted (30.6.2023) by The Railways and Other Guided Transport Systems (Safety) (Amendment) Regulations 2023 (S.I. 2023/540), regs. 1, 3(3)(c)

[^key-92f007e8574223fc1f8c0e8919919f17]: Word in Sch. 10 para. 6(2) substituted (30.6.2023) by The Railways and Other Guided Transport Systems (Safety) (Amendment) Regulations 2023 (S.I. 2023/540), regs. 1, 3(4)

[^key-cb6e2cddd1e332361ab7639696125e4a]: Word in Sch. 11 para. 14 substituted (30.6.2023) by The Railways and Other Guided Transport Systems (Safety) (Amendment) Regulations 2023 (S.I. 2023/540), regs. 1, 3(5)(a)

[^key-21ac3611ad0f38b5a507fca40ecba180]: Word in Sch. 11 para. 14 substituted (30.6.2023) by The Railways and Other Guided Transport Systems (Safety) (Amendment) Regulations 2023 (S.I. 2023/540), regs. 1, 3(5)(b)

[^key-36bf7321a1963ed88592bb94e58cb204]: Sch. 2 para. (1)(b)(i)(bb) omitted (4.3.2024) by virtue of The Railways (Revocation and Consequential Provision) Regulations 2024 (S.I. 2024/127), regs. 1(2), 3(4)

[^key-b79f2b707595b673aba3841588096129]: Words in reg. 2 omitted (4.3.2024) by virtue of The Railways (Revocation and Consequential Provision) Regulations 2024 (S.I. 2024/127), regs. 1(2), 3(2)

[^key-dd966834459dfe5aac6ab0113862f294]: Reg. 15(6) omitted (4.3.2024) by virtue of The Railways (Revocation and Consequential Provision) Regulations 2024 (S.I. 2024/127), regs. 1(2), 3(3)

[^key-3bcad4d4f6f0a43081d8f0d89c06ee54]: Reg. 15(7) omitted (4.3.2024) by virtue of The Railways (Revocation and Consequential Provision) Regulations 2024 (S.I. 2024/127), regs. 1(2), 3(3)

[^key-7b803712166e1057313dd6fc8386bc36]: Word in reg. 2(1) substituted (27.2.2025) by The Retained EU Law (Revocation and Reform) Act 2023 (Consequential Amendments) Regulations 2025 (S.I. 2025/82), reg. 1(2), Sch. 8 para. 3(a)(i)(aa)

[^key-8288c2b9c57c068dd13116d67627691a]: Word in reg. 2(1) substituted (27.2.2025) by The Retained EU Law (Revocation and Reform) Act 2023 (Consequential Amendments) Regulations 2025 (S.I. 2025/82), reg. 1(2), Sch. 8 para. 3(a)(i)(bb)

[^key-21a481fafc8b30328920dfc7db3bc47a]: Words in reg. 2(1) omitted (27.2.2025) by virtue of The Retained EU Law (Revocation and Reform) Act 2023 (Consequential Amendments) Regulations 2025 (S.I. 2025/82), reg. 1(2), Sch. 8 para. 3(a)(ii)

[^key-784042772fd6f3a1b397fc96936ef42c]: Words in reg. 2(1) inserted (27.2.2025) by The Retained EU Law (Revocation and Reform) Act 2023 (Consequential Amendments) Regulations 2025 (S.I. 2025/82), reg. 1(2), Sch. 8 para. 3(a)(iii)

[^key-70902e41bd637e8ed2771d44b12c5786]: Word in reg. 18A(1A)(b) substituted (27.2.2025) by The Retained EU Law (Revocation and Reform) Act 2023 (Consequential Amendments) Regulations 2025 (S.I. 2025/82), reg. 1(2), Sch. 8 para. 3(b)

[^key-faa866f1c970927f5e6292905f90f9ae]: Word in reg. 27(1)(de) substituted (27.2.2025) by The Retained EU Law (Revocation and Reform) Act 2023 (Consequential Amendments) Regulations 2025 (S.I. 2025/82), reg. 1(2), Sch. 8 para. 3(c)(i)

[^key-ec0ffaea11c3bb3c986528e3f32567cb]: Word in reg. 27(1A)(c) substituted (27.2.2025) by The Retained EU Law (Revocation and Reform) Act 2023 (Consequential Amendments) Regulations 2025 (S.I. 2025/82), reg. 1(2), Sch. 8 para. 3(c)(ii)

Maintenance of vehicles on the mainline railway

18A

(1) No person may place in service or use a vehicle on the mainline railway unless that vehicle has an entity in charge of maintenance assigned to it, and that entity in charge of maintenance—

(a) is registered in relation to that vehicle in the National Vehicle Register; and

(b) where the vehicle is a freight wagon, holds—

(i) a UK-issued ECM certificate;

(ii) a cross-border UK-issued ECM certificate; or

(iii) if that person is compliant with the requirements set out in paragraphs (1ZA) or (1ZB), an EU ECM certificate;

(1ZA) Before 1st November 2023, a person is compliant with the requirements referred to in paragraph (1)(b)(iii) if that person—

(a) places in service or uses a vehicle in circulation on railway lines across the territory of two states;

(b) has an EU ECM certificate that was issued by a certification body accredited by the UK national accreditation body; or

(c) has made an application to a certification body for a UK-issued ECM certificate and the certification body has not yet taken a decision on the application.

(1ZB) On or after 1st November 2023, a person is compliant with the requirements referred to in paragraph (1)(b)(iii) if that person—

(a) places in service or uses a vehicle in circulation on railway lines across the territory of two states; or

(b) has an EU ECM certificate that was issued by a certification body accredited by the UK national accreditation body.

(1A) No person may use a vehicle to operate a cross-border service unless that vehicle has an entity in charge of maintenance assigned to it, and that entity in charge of maintenance—

(a) is registered in relation to that vehicle in the National Vehicle Register; and

(b) holds either an EU ECM certificate valid on the terms of its original issue or a cross-border UK-issued ECM certificate, where it is required to do so in accordance with the assimilated 2019 EU ECM Regulation.

(2) Each entity in charge of maintenance must ensure, by means of a system of maintenance, that a vehicle for which it is in charge of maintenance is in a safe state of running.

(3) The requirement for a system of maintenance referred to in paragraph (2) is that a vehicle must be maintained in accordance with—

(a) the maintenance file for the vehicle;

(b) applicable maintenance rules; and

(4) Schedule 9 (applications for UK-issued ECM certificates by entities in charge of maintenance) and Schedule 10 (system of certification of entities in charge of maintenance in respect of Great Britain) have effect.

(5) In this regulation, “UK national accreditation body” means the body which was appointed by the Secretary of State in accordance with Regulation (EC) No 765/2008 of the European Parliament and of the Council setting out the requirements for accreditation and market surveillance relating to the marketing of products and repealing Regulation (EEC) No 339/93, as it had effect in EU law before IP completion day.

Review

34A

(1) Before the end of each review period, the Secretary of State must—

(a) carry out a review of these Regulations;

(b) set out the conclusions of the review in a report; and

(2) In carrying out the review the Secretary of State must, so far as is reasonable, have regard to how the Directive is implemented in other member States.

(3) The report must in particular—

(a) set out the objectives intended to be achieved by the regulatory system established by these Regulations;

(b) assess the extent to which those objectives are achieved; and

(c) assess whether those objectives remain appropriate and, if so, the extent to which they could be achieved with a system that imposes less regulation.

(4) “Review period” means—

(a) the period of five years beginning with the day on which the Railways and Other Guided Transport Systems (Safety) (Amendment) Regulations 2011 come into force; and

(b) subject to paragraph (5), each successive period of five years.

(5) If a report under this regulation is published before the last day of the review period to which it relates, the following review period is to begin with the day on which that report is published.

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Part 1 — COMMON SAFETY INDICATORS

Interpretation

Indicators relating to accidents

Indicators relating to dangerous goods

Indicators relating to suicides

Indicators relating to precursors of accidents

Indicators to calculate the economic impact of accidents

6

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Indicators relating to technical safety of infrastructure and its implementation

7

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Indicators relating to management of safety

8

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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

Indicators relating to accidents

1

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Indicators relating to dangerous goods

2

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Indicators relating to suicides

3

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Indicators relating to precursors of accidents

4

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Common methodologies to calculate the economic impact of accidents

5

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Indicators relating to technical safety of infrastructure and its implementation

6

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Indicators relating to the management of safety

7

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Definitions of the scaling bases

8

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Determination of exclusion from the mainline railway

2A

(1) A railway or part of a railway does not form part of the mainline railway if the Office of Rail and Road determines that it falls within one or more of these categories—

(a) metros and other light rail systems;

(b) networks that are functionally separate from the rest of the mainline railway and intended only for the operation of local, urban or suburban passenger services, as well as transport undertakings operating solely on these networks;

(2) The Office of Rail and Road may determine that a heritage vehicle which operates on the mainline railway and complies with national safety rules is deemed not to operate on the mainline railway for the purposes of these Regulations.

(3) The Office of Rail and Road may revoke or vary a determination under paragraph (1) or (2).

(4) A person may make an application to the Office of Rail and Road for a determination under paragraph (1) or (2) or for such a determination to be revoked or varied under paragraph (3) and the Office of Rail and Road shall consider any such application.

(5) The Office of Rail and Road shall maintain and publish a list of—

(a) railways or parts of railways that do not form part of the mainline railway; and

(b) heritage vehicles which operate on both the mainline railway and heritage railway and are deemed not to operate on the mainline railway,

by virtue of determinations made under paragraph (1) or (2).

Format for safety certificates and applications

9A

Schedule 8 has effect.

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

General provisions relating to safety certificates and safety authorisations

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

18B

The Office of Rail and Road must assess the achievement of common safety targets in accordance with Schedule 11 (common safety targets), which has effect.

SCHEDULE 8 — Format for safety certificates and applications

(This Schedule substantially reproduces the provisions of Commission Regulation (EC) No 653/2007 on the use of a common European format for safety certificates and application documents in accordance with Article 10 of Directive 2004/49/EC of the European Parliament and of the Council and on the validity of safety certificates delivered under Directive 2001/14/EC, with amendments for the purpose of addressing deficiencies arising out of the UK's withdrawal from the EU.)

PART 1

1

Where Part A of a safety certificate is to be issued, renewed, updated, amended or revoked by the Office of Rail and Road, it must be in the form provided in Part 2.

2

Where Part B of a safety certificate is to be issued, renewed, updated, amended or revoked by the Office of Rail and Road, it must be in the form provided in Part 3

3

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

(a) Part A of a safety certificate;

(b) Part B of a safety certificate; or

must be made in the form provided in Part 4.

PART 2 — Part A of a safety certificate

4

The form referred to in paragraph 1 follows.

PART 3 — Part B of a safety certificate

5

The form referred to in paragraph 2 follows.

PART 4 — Application form for a safety certificate

6

The form referred to in paragraph 3 follows.

SCHEDULE 9 — Applications for UK-issued ECM certificates by entities in charge of maintenance

(This Schedule substantially reproduces Annexes IV and V of 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, with amendments for the purpose of addressing deficiencies arising out of the UK's withdrawal from the EU.)

PART 1

1

Applications to certification bodies must be made—

(a) where the applicant is an entity in charge of maintenance for freight wagons applying for a UK-issued ECM certificate, in the form provided in Part 2;

(b) where the applicant is a contractor applying for a maintenance functions certificate, in the form provided in Part 3.

2

(1) A UK-issued ECM certificate must be issued in the form provided in Part 4.

(2) A maintenance functions certificate must be issued in the form provided in Part 5.

3

For the purposes of this Schedule, a “maintenance functions certificate” is a certificate issued pursuant to paragraph 8 of Schedule 10.

PART 2 — Application for a UK-issued ECM certificate

4

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

PART 3 — Application for a maintenance functions certificate

5

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

PART 4 — UK-issued ECM certificate

6

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

PART 5 — Maintenance functions certificate

7

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

SCHEDULE 10 — System of certification of entities in charge of maintenance in respect of Great Britain

(This Schedule substantially reproduces the provisions of 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 other than Annexes IV and V, with amendments for the purpose of addressing deficiencies arising out of the UK's withdrawal from the EU.)

PART 1 — Principles

Purpose

1

This Schedule sets out a system of certification of entities in charge of maintenance for freight wagons for the purpose of providing evidence that such an entity has established its maintenance system and can meet the requirements for ensuring the safe state of running of any freight wagon for which it is in charge of maintenance.

Scope

2

(1) The system of certification applies to any entity in charge of maintenance for freight wagons to be used on the railway network within Great Britain.

(2) Maintenance workshops or any organisation taking on a subset of the functions specified in paragraph 4 may apply the system of certification on a voluntary basis, based on the principles specified in paragraph 8 and Part 2.

(3) References to an infrastructure manager in paragraphs 5 and 7 are to be understood as relating to its operations with freight wagons for transporting materials for construction or for infrastructure maintenance activities. When it operates freight wagons for this purpose, an infrastructure manager is to be deemed to do so in the capacity of a railway undertaking.

Interpretation

3

In this Schedule—

“accreditation” has the meaning in Regulation (EC) No 765/2008 of the European Parliament and of the Council of 9th July 2008 setting out the requirements for accreditation and market surveillance relating to the marketing of products and repealing Regulation (EEC) No 339/93;

“causes” means actions, omissions, events or conditions, or a combination thereof, which led to the accident or incident;

“common safety methods” (“CSMs”) means the methods developed to describe how safety levels and achievement of safety targets and compliance with other safety requirements are assessed;

“designated standard” has the meaning provided in Article 3A of Commission Implementing Regulation (EU) No 402/2013 on the common safety method for risk evaluation and assessment and repealing Regulation (EC) No 352/2009, as it has effect in Great Britain;

“incident” means any occurrence, other than an accident, associated with the operation of trains and affecting the safety of operation;

“infrastructure manager” means any body or undertaking that is responsible in particular for establishing and maintaining railway infrastructure, or a part thereof, as defined in Article 3 of Directive 91/440/EEC, which may also include the management of infrastructure control and safety systems. The functions of the infrastructure manager on a network or part of a network may be allocated to different bodies or undertakings;

“investigation” means a process conducted for the purpose of accident and incident prevention which includes the gathering and analysis of information, the drawing of conclusions, including the determination of causes and, when appropriate, the making of safety recommendations;

“maintenance workshop” means a mobile or fixed entity composed of staff, including those with management responsibility, tools and facilities organised to deliver maintenance of vehicles, parts, components or sub-assemblies of vehicles;

“national safety authority” means one or both of the safety authority in Great Britain and the safety authority for the tunnel system;

“railway system” means the totality of the subsystems in Great Britain for structural and operational areas, as defined in paragraph 2(1) to 2(7) of Annex II to Directive 2008/57/EC, as well as the management and operation of the system as a whole;

“railway undertaking” means a public or private undertaking, licensed according to applicable legislation, the activity of which is to provide transport of goods and/or passengers by rail on the basis that the undertaking must ensure traction; this also includes undertakings which provide traction only;

“release to service” means the assurance given to the fleet maintenance manager by the entity delivering the maintenance that maintenance has been delivered according to the maintenance orders;

“return to operation” means the assurance, based on a release to service, given to the user, such as a railway undertaking or a keeper, by the entity in charge of maintenance that all appropriate maintenance works have been completed and the wagon, previously removed from operation, is in a condition to be used safely, possibly subject to temporary restrictions of use.

Maintenance system

4

(1) The maintenance system is to be composed of the following functions—

(a) the management function, which supervises and coordinates the maintenance functions referred to in paragraphs (b) to (d) and ensures the safe state of the freight wagon in the railway system;

(b) the maintenance development function, which is responsible for the management of the maintenance documentation, including the configuration management, based on design and operational data as well as on performance and return on experience;

(c) the fleet maintenance management function, which manages the freight wagon's removal for maintenance and its return to operation after maintenance;

(d) the maintenance delivery function, which delivers the required technical maintenance of a freight wagon or parts of it, including the release to service documentation.

(2) The entity in charge of maintenance must ensure that the functions referred to in sub paragraph (1) comply with the requirements and assessment criteria set out in Part 4.

(3) The entity in charge of maintenance must carry out the management function itself, but may outsource the maintenance functions referred to in paragraphs (b) to (d) of sub paragraph (1), or parts of them, to other contracting parties subject to the provisions of paragraph 8. Where it resorts to outsourcing, the entity in charge of maintenance must ensure that the principles set out in Part 2 are applied.

(4) Regardless of the outsourcing arrangements in place, the entity in charge of maintenance is responsible for the outcome of the maintenance activities it manages and must establish a system to monitor performance of those activities.

Relationships between parties in the maintenance process

5

(1) Each railway undertaking or infrastructure manager must ensure that the freight wagons it operates, before their departure, have a certified entity in charge of maintenance and that the use of the wagon corresponds to the scope of the certificate.

(2) All parties involved in the maintenance process must exchange relevant information about maintenance in accordance with the criteria listed in paragraphs 27 and 28.

(3) Following contractual arrangements, a railway undertaking may request information for operational purposes on the maintenance of a freight wagon. The entity in charge of the maintenance of the freight wagon must respond to such requests either directly or through other contracting parties.

(4) Following contractual arrangements, an entity in charge of maintenance may request information on the operation of a freight wagon. The railway undertaking or the infrastructure manager must respond to such requests either directly or through other contracting parties.

(5) All contracting parties must exchange information on safety-related malfunctions, accidents, incidents, near-misses and other dangerous occurrences as well as on any possible restriction on the use of freight wagons.

(6) The certificates of entities in charge of maintenance are to be accepted as proof of the ability of a railway undertaking or infrastructure manager to meet the requirements governing maintenance and the control of contractors and suppliers specified in Part 3, points in B.1, B.2, B.3 and C.1 of Commission Regulation (EU) No 1158/2010 of 9th December 2010 on a common safety method for assessing conformity with the requirements for obtaining railway safety certificates as it has effect in Great Britain, and in Commission Regulation (EU) No 1169/2010 of 10th December 2010 on a common safety method for assessing conformity with the requirements for obtaining a railway safety authorisation as it has effect in Great Britain, unless the national safety authority can demonstrate the existence of a substantial safety risk.

(7) If a contracting party, in particular a railway undertaking, has a justifiable reason to believe that a particular entity in charge of maintenance does not comply with the requirements of regulation 18A, or with paragraph 55B of the Schedule to the Channel Tunnel (Safety) (Amendment) Order 2013, or with the certification requirements of this Schedule, it must promptly inform the certification body thereof. The certification body must take appropriate action to check if the claim of non-compliance is justified and must inform the parties involved, including the competent national safety authority if relevant, of the results of its investigation.

(8) When there is a change of entity in charge of maintenance, the registration holder must inform in due time the registration entity, as defined in the Interoperability Regulations, so that the latter may update the National Vehicle Register.

(9) The former entity in charge of maintenance must deliver the maintenance documentation to either the registration holder or the new entity in charge of maintenance.

(10) The former entity in charge of maintenance is relieved of its responsibilities when it is removed from the National Vehicle Register. If on the date of de-registration of the former entity in charge of maintenance any new entity has not acknowledged its acceptance of entity in charge of maintenance status, the registration of the vehicle is suspended.

Certification bodies

6

(1) UK-issued ECM certificates may be awarded by any competent certification body, chosen by the applicant entity in charge of maintenance.

(2) Certification bodies must comply with the general criteria and principles set out in Part 3 and with any relevant sectoral accreditation schemes.

(3) Decisions taken by the certification bodies are subject to judicial review.

(4) In order to harmonise approaches to the assessment of applications, certification bodies within the United Kingdom must cooperate with each other.

System of certification for entities in charge of maintenance

7

(1) Certification must be based on an assessment of the ability of the entity in charge of maintenance to meet the relevant requirements in Part 4 and to apply them consistently. It must include a system of surveillance to ensure continuing compliance with the applicable requirements after award of the UK-issued ECM certificate.

(2) The entities in charge of maintenance must apply for certification using the form in Part 2 of Schedule 9 and providing documentary evidence of the procedures specified in Part 4. They must promptly submit all supplementary information requested by the certification body. In assessing applications, certification bodies must apply the requirements and assessment criteria set out in Part 4.

(3) The certification body must take a decision no later than 4 months after all the information required and any supplementary information requested has been submitted to it by the entity in charge of maintenance applying for the certificate. The certification body must undertake the necessary assessment at the site or sites of the entity in charge of maintenance prior to the award of the certificate. The decision on the award of the certificate must be communicated to the entity in charge of maintenance using the relevant form in Part 4 of Schedule 9.

(4) A UK-issued ECM certificate is valid for a period up to 5 years. The holder of the certificate must without delay inform the certification body of all significant changes in the circumstances applying at the time the original certificate was awarded to allow the certification body to decide whether to amend, renew or revoke it.

(5) The certification body must set out in detail the reasons on which each of its decisions is based. The certification body must notify its decision and the reasons to the entity in charge of maintenance, together with an indication of the process, time limit for appeal and the contact details of the appeal body.

(6) The certification body must conduct surveillance at least once a year at selected sites, geographically and functionally representative of all the activities of those entities in charge of maintenance it has certified, to verify that the entities still satisfy the criteria set out in Part 4.

(7) If the certification body finds that an entity in charge of maintenance no longer satisfies the requirements on the basis of which it issued the UK-issued ECM certificate, it must agree an improvement plan with the entity in charge of maintenance, or limit the scope of application of the certificate, or suspend the certificate, depending on the degree of non-compliance. In the event of continuous non-compliance with the certification requirements or any improvement plan, the certification body must limit the scope of or revoke the UK-issued ECM certificate, giving reasons for its decision, together with an indication of the process and time limit for appeal and the contact details of the appeal body.

(8) When a railway undertaking or an infrastructure manager applies for a safety certificate or safety authorisation, the following provisions apply concerning the freight wagons it uses—

(a) where the freight wagons are maintained by the applicant, either the applicant must include as part of its application a valid UK-issued ECM certificate, if available, or its capacity as entity in charge of maintenance must be assessed as part of its application for a safety certificate or safety authorisation;

(b) where the freight wagons are maintained by parties other than the applicant, the applicant must ensure, through its safety management system, the control of all risks related to its activity, including the use of such wagons, whereby, in particular, the provisions of paragraph 5 apply.

(9) Certification bodies and national safety authorities must conduct an active exchange of views in all circumstances in order to avoid any duplication of assessment.

System of certification for outsourced maintenance functions

8

(1) Where the entity in charge of maintenance decides to outsource one or more of the functions referred to in paragraph 4(1)(b), (c) and (d), or parts of them, voluntary certification of the contractor under the certification system of this Schedule creates a presumption of conformity of the entity in charge of maintenance with the relevant requirements set out in Part 4, as far as these requirements are covered by the voluntary certification of the contractor. In the absence of such certification, the entity in charge of maintenance must demonstrate to the certification body how it complies with all the requirements set out in Part 4 with regard to the functions it decides to outsource.

(2) The contractors referred to in sub-paragraph (1) must apply for certification using the relevant form in Part 3 of Schedule 9. Certification in respect of outsourced maintenance functions, or parts of them, must be issued by the certification bodies, following the same procedures in paragraphs 6 and 7, adapted to the specific case of the applicant. In assessing applications for certificates in respect of outsourced maintenance functions, or parts of them, certification bodies must follow the principles set out in Part 2.

Role of the supervision regime

9

If a national safety authority has a justified reason to believe that a particular entity in charge of maintenance does not comply with the requirements of regulation 18A or with paragraph 55B of the Schedule to the Channel Tunnel (Safety) (Amendment) Order 2013 or with the certification requirements of this Schedule, it must immediately take the necessary decision and inform the Secretary of State, the certification body and other interested parties of its decision.

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

10

For certification of an entity or organisation taking on one or more of the functions referred to in paragraph 4(1)(b), (c) and (d), or parts of them, the following requirements and assessment criteria contained in Part 4 apply—

(a) requirements and assessment criteria set out in section 1 of Part 4, adapted to the organisation's type and extent of service;

(b) requirements and assessment criteria describing the specific maintenance function or functions.

11

For certification of a maintenance workshop taking on the maintenance delivery function, the following requirements and assessment criteria contained in Part 4 apply—

(a) the requirements and assessment criteria set out in section 1 of Part 4, which must be adapted to the specific activity of a maintenance workshop providing the maintenance delivery function;

(b) the processes describing the maintenance delivery function.

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

Organisation

12

The certification body must document its organisational structure, showing the duties, responsibilities and authorities of management and other certification staff and any committees. Where the certification body is a defined part of a legal entity, the structure must include the line of authority and the relationship to other parts within the same legal entity.

Independence

13

The certification body must be organisationally and functionally independent in its decision-making from railway undertakings, infrastructure managers, keepers, manufacturers and entities in charge of maintenance and must not provide similar services. The independence of the staff responsible for the certification checks must be guaranteed. No official must be remunerated on the basis of either the number of checks performed or the results of those checks.

Competence

14

(1) The certification body and the staff deployed must have the required professional competence, in particular regarding the organisation of the maintenance of freight wagons and the appropriate maintenance system.

(2) The certification body must demonstrate—

(a) sound experience in assessing management systems;

(b) knowledge of the applicable requirements of the legislation.

(3) The team established for surveillance of the entities in charge of maintenance must be experienced in the relevant fields, and in particular must demonstrate—

(a) appropriate knowledge and understanding of the applicable legislation;

(b) relevant technical competence;

(d) sufficient experience in freight wagon maintenance or at least in maintenance in equivalent industrial sectors.

Impartiality

15

The certification body's decisions must be based on objective evidence of conformity or non-conformity obtained by the certification body, and must not be influenced by other interests or by other parties.

Responsibility

16

The certification body is not responsible for ensuring ongoing conformity with the requirements for certification. The certification body has the responsibility to assess sufficient objective evidence upon which to base a certification decision.

Openness

17

A certification body needs to provide public access to, or disclosure of, appropriate and timely information about its audit process and certification process. It also needs to provide information about the certification status, including the granting, extension, maintenance, renewal, suspension, reduction in scope, or withdrawal of certification, of any organisation, in order to develop confidence in the integrity and credibility of certification. Openness is a principle of access to, or disclosure of, appropriate information.

Confidentiality

18

To gain the privileged access to information needed to assess conformity with the requirements for certification adequately, a certification body must keep confidential any commercial information about a client.

Responsiveness to complaints

19

The certification body must establish a procedure to handle complaints about decisions and other certification-related activities.

Liability and financing

20

The certification body must be able to demonstrate that it has evaluated the risks arising from its certification activities and that it has adequate arrangements, including insurance or reserves, to cover liabilities arising from its operations in each field of its activities and the geographic areas in which it operates.

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

Section 1 — Management function requirements and assessment criteria

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

21

The organisation must have procedures for—

(a) establishing a maintenance policy appropriate to the organisation's type and extent of service and approved by the organisation's chief executive or his or her representative;

(b) ensuring that safety targets are established, in line with the legal framework and consistent with an organisation's type, extent and relevant risks;

(d) developing plans and procedures for reaching its safety targets;

(e) ensuring the availability of the resources needed to perform all processes to comply with the requirements of this Part;

(f) identifying and managing the impact of other management activities on the maintenance system;

(g) ensuring that senior management is aware of the results of performance monitoring and audits and takes overall responsibility for the implementation of changes to the maintenance system;

(h) ensuring that staff and staff representatives are adequately represented and consulted in defining, developing, monitoring and reviewing the safety aspects of all related processes that may involve staff.

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

22

(1) The organisation must have procedures for—

(a) analysing risks relevant to the extent of operations carried out by the organisation, including the risks arising from defects and construction non-conformities or malfunctions throughout the lifecycle;

(b) evaluating the risks referred to in paragraph (a);

(2) The organisation must have procedures and arrangements in place to recognise the need and commitment to collaborate with keepers, railway undertakings, infrastructure managers, or other interested parties.

(3) The organisation must have risk assessment procedures to manage changes in equipment, procedures, organisation, staffing or interfaces, and to apply Commission Implementing Regulation (EU) No 402/2013, as it has effect in Great Britain.

(4) When assessing risk, an organisation must have procedures to take into account the need to determine, provide and sustain an appropriate working environment.

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

23

(1) The organisation must have a procedure to regularly collect, monitor and analyse relevant safety data, including—

(a) the performance of relevant processes;

(b) the results of processes, including all contracted services and products;

(d) information on experience, malfunctions, defects and repairs arising from day-to-day operation and maintenance.

(2) The organisation must have procedures to ensure that accidents, incidents, near-misses and other dangerous occurrences are reported, logged, investigated and analysed.

(3) For a periodic review of all processes, the organisation must have an internal auditing system which is independent, impartial and acts in a transparent way. This system must have procedures in place to—

(a) develop an internal audit plan, which can be revised depending on the results of previous audits and monitoring of performance;

(b) analyse and evaluate the results of the audits;

(d) verify the effectiveness of previous measures/actions.

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

24

The organisation must have procedures to ensure that—

(a) identified shortcomings are rectified;

(b) new safety developments are implemented;

(d) preventive or corrective actions are implemented, when needed, to ensure compliance of the railway system with standards and other requirements throughout the lifecycle of equipment and operations;

(e) relevant information relating to the investigation and causes of accidents, incidents, near-misses and other dangerous occurrences is used to learn and, where necessary, to adopt measures in order to improve the level of safety;

(f) relevant recommendations from the national safety authority, from the national investigation body and from industry or internal investigations are evaluated and implemented if appropriate;

(g) relevant reports/information from railway undertakings/infrastructure managers and keepers or other relevant sources are considered and taken into account.

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

25

(1) The organisation must have procedures to allocate responsibilities for all relevant processes throughout the organisation.

(2) The organisation must have procedures to clearly define safety-related areas of responsibility and the distribution of responsibilities to specific functions associated with them as well as their interfaces. These include the procedures indicated above between the organisation and the keepers and, where appropriate, railway undertakings and infrastructure managers.

(3) The organisation must have procedures to ensure that staff with delegated responsibilities within the organisation have the authority, competence and appropriate resources to perform their functions. Responsibility and competence should be coherent and compatible with the given role, and delegation must be in writing.

(4) The organisation must have procedures to ensure the coordination of activities related to relevant processes across the organisation.

(5) The organisation must have procedures to hold those with a role in the management of safety accountable for their performance.

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

26

(1) The organisation must set up a competence management system providing for—

(a) the identification of posts with responsibility for performing within the system all the processes necessary for compliance with the requirements of this Part;

(b) the identification of posts involving safety tasks;

(2) Within the organisation's competence management system, there must be procedures to manage the competence of staff, including at least—

(a) identification of the knowledge, skills and experience required for safety-related tasks as appropriate for the responsibilities;

(b) selection principles, including basic educational level, mental aptitude and physical fitness;

(d) assurance that all staff are aware of the relevance and importance of their activities and how they contribute to the achievement of safety objectives;

(e) ongoing training and periodical updating of existing knowledge and skills;

(f) periodic checks of competence, mental aptitude and physical fitness where appropriate;

(g) special measures in the case of accidents/incidents or long absences from work, as required.

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

27

(1) The organisation must have procedures to define reporting channels to ensure that, within the entity itself and in its dealings with other actors, including infrastructure managers, railway undertakings and keepers, information on all relevant processes is duly exchanged and submitted to the person having the right role both within its own organisation and in other organisations, in a prompt and clear way.

(2) To ensure an adequate exchange of information, the organisation must have procedures—

(a) for the receipt and processing of specific information;

(b) for the identification, generation and dissemination of specific information;

(3) The organisation must have procedures to ensure that key operational information is—

(a) relevant and valid;

(b) accurate;

(d) appropriately updated;

(e) controlled;

(f) consistent and easy to understand, including the language used;

(g) made known to staff before it is applied;

(h) easily accessible to staff, with copies provided to them where required.

(4) The requirements set out in paragraph 7(1), (2) and (3) apply in particular to the following operational information—

(a) checks of the accuracy and completeness of the National Vehicle Register regarding the identification, including means, and registration of the freight wagons maintained by the organisation;

(b) maintenance documentation;

(c) information on support provided to keepers and, where appropriate, to other parties, including railway undertakings/infrastructure managers;

(d) information on the qualification of staff and subsequent supervision during maintenance development;

(e) information on operations, including mileage, type and extent of activities, incidents and accidents, and requests of railway undertakings, keepers and infrastructure managers;

(f) records of maintenance performed, including information on deficiencies detected during inspections and corrective actions taken by railway undertakings or by infrastructure managers such as inspections and monitoring undertaken before the departure of the train or en route;

(g) release to service and return to operation;

(h) maintenance orders;

(i) technical information to be provided to railway undertakings/infrastructure managers and keepers for maintenance instructions;

(j) emergency information concerning situations where the safe state of running is impaired, which may consist of—

(i) the imposition of restrictions of use or specific operating conditions for the freight wagons maintained by the organisation or other vehicles of the same series even if maintained by other entities in charge of maintenance, whereby this information should also be shared with all involved parties;

(ii) urgent information on safety-related issues identified during maintenance, such as deficiencies detected in a component common to several types or series of vehicles;

(k) all relevant information/data needed to submit the annual maintenance report to the certification body and to the relevant customers, including keepers, whereby this report must also be made available upon request to a safety authority or the safety authority for the tunnel system.

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

28

(1) The organisation must have adequate procedures in place to ensure that all relevant processes are duly documented.

(2) The organisation must have adequate procedures in place to—

(a) regularly monitor and update all relevant documentation;

(b) format, generate, distribute and control changes to all relevant documentation;

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

29

(1) The organisation must have procedures in place to ensure that safety related products and services are identified.

(2) When making use of contractors and/or suppliers for safety related products and services, the organisation must have procedures in place to verify at the time of selection that—

(a) contractors, subcontractors and suppliers are competent;

(b) contractors, subcontractors and suppliers have a maintenance and management system that is adequate and documented.

(3) The organisation must have a procedure to define the requirements that such contractors and suppliers have to meet.

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