Railway safety legislation: stakeholder guidance
An overview of the changes made to the Railways and Other Guided Transport Systems (Safety) Regulations 2006 (ROGS) that came into force on 1 January 2021.
Applies to England, Scotland and Wales
Introduction
The United Kingdom left the European Union (EU) on 31 January 2020. As part of the EU withdrawal agreement, the UK entered a transition period during which the UK was required to implement EU law.
This guidance is an aid for stakeholders to explain the changes that have been made to the Railways and Other Guided Transport Systems (Safety) Regulations 2006 (ROGS) (S.I. 2006/599) by the following statutory instruments:
- The Rail Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/837)
- The Railways (Safety, Access, Management and Interoperability) (Miscellaneous Amendments and Transitional Provision) (EU Exit) Regulations 2019 (S.I. 2019/1310)
- The Railways (Miscellaneous Amendments, Revocations and Transitional Provisions) (EU Exit) Regulations 2020 (S.I. 2020/786)
- The Railways (Interoperability) (Miscellaneous Amendments and Revocations) (EU Exit) Regulations 2020 (S.I. 2020/318)
This guidance is aimed at all stakeholders that come within the scope of the requirements established under ROGS.
This includes:
- train operating companies (TOCs)
- freight operating companies (FOCs)
- infrastructure managers (IMs)
- entities in charge of maintenance (ECMs)
- tramways
- heritage railways
- metro operators
- health and safety managers
- staff working on the railways
- trade unions
- any organisation on which ROGS imposes requirements
Stakeholders are advised to refer to the legislation as the primary source of information, as the guidance is not intended to cover every amendment.
The Rail Safety (Amendment etc.) (EU Exit) Regulations 2019
In the UK, rail safety legislation has developed in accordance with EU law.
ROGS implemented Directive 2004/49/EC, ‘The Rail Safety Directive’ in Great Britain with the objective of harmonising the safety processes and procedures applied in member states of the EU.
In Northern Ireland, the Railways (Safety Management) Regulations (Northern Ireland) 2006 (S.I. 2006/237) also implemented the Rail Safety Directive. There is also a range of EU tertiary safety legislation that applies in Great Britain and Northern Ireland.
This body of legislation that the UK has transposed contains a number of references that would make ROGS inoperable if they had been left unamended before the transition period ends – or create uncertainty in terms of the obligations required of duty holders.
These are called inoperabilities and they include, but are not limited to:
- obligations to share information with the European Union Agency for Railways (ERA) and the European Commission, for example, on the status of safety certificates and safety authorisations
- obligations to share annual safety reports with ERA
- references to the EU and Technical Specifications for Interoperability (TSIs), which are replaced in the UK by National Technical Specification Notices (NTSNs) – published by the Secretary of State under Regulation 3B of the Railways (Interoperability) Regulations 2011 (S.I. 2011/3066), as amended by the Railways (Interoperability) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/345)
- EU symbols, databases and certificates
The primary purpose of the Rail Safety (Amendment etc.) (EU Exit) Regulations 2019 (the 2019 Exit Regulations) is to therefore make necessary corrections to inoperabilities contained in ROGS and EU retained legislation, that arise from the UK leaving the EU.
This is to ensure that the UK’s railway safety regime remains operable, after the transition period ends on 31 December 2020.
Overview of the changes to ROGS 2006
As the 2019 Exit Regulations are focused on correcting inoperabilities in ROGS, the majority of requirements established under ROGS continue to apply after 31 December 2020, as they did before.
The principal change made by the 2019 Exit Regulations is to omit redundant terminology or provisions that are no longer relevant, following the UK’s withdrawal from the EU.
For example: Regulation 18, which places a requirement on the Office of Rail and Road (ORR) to notify the European Union Agency for Railways when the status of safety certificates and safety authorisations changes, has been removed entirely.
In a small number of cases, provisions have been reworded or replaced with new terminology, so that they continue to make sense in the context of the UK being outside of the EU.
For example, the definition of ‘certification body’ no longer refers to the Rail Safety Directive – but instead refers to the relevant domestic provision established in ROGS.
The 2019 Exit Regulations also make corrections to inoperabilities contained in the Railways (Access to Training Services) Regulations 2006 (S.I. 2006/598). For example, references to ‘Council Directive 2004/49/EC’ have been removed.
In parallel with the amendments made to ROGS, similar corrections have been made to the Railways (Interoperability) Regulations 2011 (RIR 2011) (S.I. 2011/3066) which transposed EU Directive 2008/57/EC on the interoperability of the European rail system.
The amendments to RIR 2011 create a new UK standards regime whereby Technical Specifications for Interoperability (TSIs) are replaced by UK equivalents in the form of National Technical Specification Notices (NTSNs). As such, any references in ROGS to TSIs have been replaced by NTSNs from 1 January 2021.
Revocation of EU legislation in the UK
The 2019 Exit Regulations revoked several pieces of EU tertiary legislation that became redundant in the UK after 31 December 2020.
These are:
- Commission Regulation (EC) No 653/2007
- Commission Decision 2009/460/EC
- Commission Regulation (EU) No 445/2011
- Commission Decision 2012/226/EU
- Commission Implementing Decision 2013/753/EU
Amendments to retained EU legislation
The 2019 Exit Regulations have made corrections to several pieces of EU retained legislation to ensure that the safety regime continues to function from 1 January 2021.
These corrections have effect in Great Britain and Northern Ireland.
The corrections made to the retained EU legislation are summarised in the Supervision and monitoring and Managing safety critical work sections.
Safety certificates and safety authorisations
From 1 January 2021, the requirements and system for issuing Part A and Part B safety certificates – as established under the Rail Safety Directive – continue to apply on the mainline railway in Great Britain.
ROGS now contains a new Schedule 8 establishing the format for safety certificates and safety authorisations, which will be issued by the ORR.
The 2 pieces of EU legislation corrected in this area are:
- 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
Supervision and monitoring
In accordance with the amendments made to the common safety methods for assessing conformity with the requirements for obtaining safety certificates and safety authorisations, the directly effective EU legislation concerning supervision and monitoring by the ORR after issuing either a safety certificate or a safety authorisation continue to apply on the mainline railway in Great Britain.
The 2 pieces of EU legislation corrected in this area are:
- 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
Commission Delegated Regulation (EU) 2018/761 was made under the Recast Safety Directive but has repealed its predecessor regulation, Commission Regulation 1077/2012, and sets out the ORR supervision requirements from 1 January 2021.
Risk evaluation and assessment
The 2019 Exit Regulations also correct the directly applicable EU legislation setting out the requirements for risk evaluation and assessment.
This means that the requirements for anyone proposing a technical, operational or organisational change to the mainline railway in Great Britain remain the same as they were prior to 1 January 2021.
The one piece of EU legislation corrected in this respect is: Commission Implementing Regulation (EU) No 402/2013 on the common safety method for risk evaluation and assessment and repealing Regulation (EC) No 352/2009.
What remains unchanged
The scope of the safety regime under ROGS remains the same as it applies to the rail system in Great Britain.
This means certain transport systems remain excluded from the mainline railway requirements, including those in the following categories:
- metros and other light rail systems
- 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
- heritage, museum or tourist railways that operate on their own networks
- heritage vehicles that operate on both the mainline railway and complies with national safety rules
- privately owned infrastructure, that exists solely for use by the infrastructure owner for its own freight operations
The safety authorities under ROGS remain the same.
These are:
- the Office of Rail and Road (ORR) (Great Britain)
- the Department for Infrastructure (DfINI) (Northern Ireland)
- for the UK section of Channel Tunnel system only – the Intergovernmental Commission
Safety certificates and safety authorisations
Railway undertakings are still required to obtain a Part A safety certificate and Part B safety certificate to operate vehicles on the mainline railway in accordance with Regulation 7 or 9 of ROGS. Infrastructure managers who manage infrastructure are still required to obtain a safety authorisation, in accordance with Regulation 10 of ROGS.
The ORR continues to be the authority responsible for assessing and issuing Part A safety certificates, Part B safety certificates and safety authorisations in Great Britain. The DfINI continues to be the safety authority for issuing equivalent documentation in Northern Ireland.
Safety management system (SMS) for the mainline railway
Railway undertakings and infrastructure managers continue to be required to develop safety management systems (SMS) to manage the risks associated with their activities and to meet specific criteria on the mainline railway system.
The requirements for a valid SMS have been amended. The SMS now needs to be in conformity with relevant National Technical Specification Notices (NTSNs) which replaced Technical Specifications for Interoperability (TSIs) after 31 December 2020 in accordance with amendments to the Railways (Interoperability) Regulations 2011 (RIR 2011) (SI 2011/3066).
Railway undertakings and infrastructure managers must also comply with:
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the common safety method for risk evaluation and assessment (CSM RA) as set out in the retained and corrected version of Commission Implementing Regulation (EU) 402/2013
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the common safety method for monitoring as set out in the retained and corrected version of Commission Regulation (EU) 1078/2012
Safety verification
Non-mainline operators continue to be responsible for ensuring that they have procedures in place to introduce new or altered vehicles or infrastructure safely in accordance with Schedule 4 of ROGS.
Annual safety reports
Railway undertakings or infrastructure managers on the mainline who hold a safety certificate or safety authorisation are still required to send the ORR an annual report on their safety performance in accordance with Regulation 20 of ROGS.
Managing safety critical work
Controllers of safety critical work are still required to ensure that those who carry out safety critical tasks are suitably competent and fit to do so in accordance with Part 4 of ROGS.
Legislative arrangements in Northern Ireland
The Railway (Safety Management) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/825) make similar corrections to inoperabilities contained in the Railways (Safety Management) Regulations 2006 (S.I. 2006/237). Please refer to the Railway (Safety Management) (Amendment) (EU Exit) Regulations 2019 for further details about the changes made in the context of Northern Ireland.
New schedules added to ROGS
It has been necessary to create new schedules in ROGS to substantially reproduce areas of legislation that are currently contained in directly applicable EU tertiary legislation.
Table of new schedules added to ROGS 2006
This table sets out the new schedules and the relevant EU legislation they replicate, in a corrected form.
| New Schedule number ROGS 2006 | Topic | Relevant EU legislation |
|---|---|---|
| Schedule 8 Format for Safety Certificates and Applications | Safety certificates | Annex I, II, III and IV of Commission Regulation (EC) No 653/2007 |
| Schedule 9 Applications for UK-issued ECM Certificates by entities in charge of maintenance (only valid on the mainline in Great Britain) | Entities in charge of maintenance | Annex IV and V of Commission Regulation (EU) 445/2011 |
| Schedule 10 System of Certification of Entities in Charge of Maintenance in respect of Great Britain | Entities in charge of maintenance | Commission Regulation (EU) 445/2011 |
| Schedule 11 Common safety targets | Common safety targets | Commission Decision 2009/460/EC, Commission Decision 2012/226/EU and Commission Implementing Decision 2013/753/EU |
Further amendments to ROGS
The Department for Transport (DfT) has made several statutory instruments to amend ROGS and the 2019 Exit Regulations.
There are various reasons why this has been done, including:
- substituting references to ‘exit day’ in the body of the legislation with references to the end of the transition period provided for by the EU Withdrawal Agreement
- correction of inoperabilities contained in EU law that came into effect after the making of the 2019 Exit Regulations
- amending the legislation to establish a transitional period of validity for EU safety certificates to enable the industry to adapt to the new arrangements
- amending the EU exit legislation to reflect the new interoperability regime that came into effect from 31 December 2020
- implementing improvements to the railway safety regime
The practical impact of these amendments is limited, but stakeholders should note the changes.
The Railways (Safety, Access, Management and Interoperability) (Miscellaneous Amendments and Transitional Provision) (EU Exit) Regulations 2019
The Railways (Safety, Access, Management and Interoperability) (Miscellaneous Amendments and Transitional Provision) (EU Exit) Regulations 2019 make minor amendments to the 2019 Exit Regulations to introduce a 2-year limited recognition period for Part A safety certificates issued in the EU. This recognition period commenced on 31 January 2020 when the UK left the EU.
The practical effect of this amendment is that Part A safety certificates issued in the EU in accordance with Directive 2004/49/EC will therefore be recognised as being valid for use in Great Britain until 31 January 2022.
This instrument also amends the 2019 Exit Regulations to replace references to Technical Specifications for Interoperability (TSIs) with National Technical Specification Notices (NTSNs) as established by The Railways (Interoperability) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/345), which came into force on 1 January 2021.
This instrument also makes minor additions to the definitions section in the 2019 Exit Regulations, to reflect the establishment of approved bodies in Great Britain.
The Railways (Interoperability) (Miscellaneous Amendments and Revocations) (EU Exit) Regulations 2020
The Railways (Miscellaneous Amendments and Revocations) (EU Exit) Regulations 2020 make one minor amendment to the 2019 Exit Regulations. It inserts Commission Delegated Regulation (EU) 2018/761 establishing common safety methods for supervision into the definition of ‘common safety methods’ in the 2019 Exit Regulations.
The Railways (Miscellaneous Amendments, Revocations and Transitional Provisions) (EU Exit) Regulations 2020
The Railways (Miscellaneous Amendments, Revocations and Transitional Provisions) (EU Exit) Regulations 2020 makes minor amendments to the Railways (Safety, Access, Management and Interoperability) (Miscellaneous Amendments and Transitional Provision) (EU Exit) Regulations 2019 to replace references to ‘exit day’ with the ‘transition period (IP) completion day’.
This instrument additionally sets out that single safety certificates issued in the EU prior to 31 December 2020 will be recognised in the UK as equivalent to ORR-issued Part A certificates for a limited period until 31 January 2020.
This instrument also revokes Commission Implementing Regulation (EU) 2019/779 for Great Britain.
The instrument also makes minor amendments to the 2019 Exit Regulations to ensure that Entities in Charge of Maintenance (ECM) certificates issued in the EU in accordance with Commission Implementing Regulation (EU) 2019/779 will be recognised for use in Great Britain for both cross-border and domestic operations.
This instrument makes further minor amendments to ROGS to update the definition of the European Union Agency for Railways, as established under Regulation (EU) 2016/796, to reflect the adoption of the Technical Pillar of the Fourth Railway Package in the EU from 31 October 2020.
The Railways and Other Guided Transport Systems (Safety) (Amendment) Regulations 2023
The Railways and Other Guided Transport Systems (Safety) (Amendment) Regulations 2023 made amendments to the requirements that apply to entities in charge of maintenance (ECM) in Great Britain. This instrument introduced a requirement that ECMs responsible for the maintenance of domestic freight wagons in Great Britain must be certified by a UK certification body from 30 June 2023.
The instrument also made 2 related amendments to ROGS to remove the requirement for ECM certification bodies to follow the EU sectoral accreditation scheme and the requirement for UK ECMs to obtain 2 separate ECM certificates when maintaining both domestic and international vehicles.
Regulation of entities in charge of maintenance
The DfT and ORR have published updated guidance for entities in charge of maintenance in Great Britain.
Stakeholders are advised to look at this guidance if they are an ECM, certification body, wagon keeper or railway undertaking responsible for the maintenance or operation of vehicles.
Contact
If you have queries about this guidance, email rail.safety@dft.gov.uk.
Last updated 6 October 2023 + show all updates
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Updated guidance in line with recent changes made to ROGS by the Railways and Other Guided Transport Systems (Safety) (Amendment) Regulations 2023.
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Updated guidance in line with Railways (Interoperability) Regulations 2011, and the Railways and Other Guided Transport Systems (Safety) Regulations 2006, as both amended for EU Exit.
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First published.