The Railways (Safety Case) Regulations 1994

Explanatory Note

(This note is not part of the Regulations)

These Regulations provide for railway operators to prepare safety cases and to submit them to the relevant infrastructure controller or to the Health and Safety Executive (“the Executive”).

Regulation 2(2) defines a “safety case” as a document containing the particulars specified in the Schedule referred to in the provision of the Regulations under which the safety case is prepared. Schedules 1 and 2 specify those particulars.

Regulation 3 prohibits the use of any railway infrastructure unless—

(a)the infrastructure controller has prepared a safety case which has been accepted by the Executive; and

(b)any person operating the trains or stations (if different from the infrastructure controller)—

(i)has agreed to comply with any reasonable request of the infrastructure controller concerning any aspect of the operation which affects or is likely to affect the controller’s performance of his health and safety duties; and

(ii)has complied with regulation 4 or 5 as appropriate.

Regulation 4 prohibits a person from operating a train unless he has prepared a safety case which has been accepted by the relevant infrastructure controller or by the Executive as appropriate.

Regulation 5 prohibits a person from operating a station unless he has prepared a safety case which has been accepted, as appropriate, by the relevant infrastructure controller or by the Executive after taking account of any views given to it by the relevant infrastructure controller.

Regulation 6 requires a safety case to be revised as often as may be appropriate. A revision which renders the safety case materially different from the last version may not be made unless the infrastructure controller or the Executive, as appropriate, approves the amendment or the infrastructure controller indicates that the revision does not and is not likely to affect the performance by the controller of his health and safety duties. Regulation 6 also requires a safety case to be revised at least every 3 years.

Regulation 7 requires that any procedures or arrangements described in a safety case are followed and provides specified defences for contravention of the requirement.

Regulation 8 imposes requirements on specified persons to co-operate with a railway operator to enable the railway operator to comply with the provisions of the Regulations.

Regulation 9(1) and (2) both require infrastructure controllers to notify the Executive on the receipt and acceptance of safety cases and revisions thereof and on a notification that a revision does not and is not likely to affect the performance by the controller of his health and safety duties. Regulation 9 also imposes requirements with respect to the making and keeping of documents.

Regulation 9(11) requires safety representatives to be consulted on the preparation of safety cases.

Regulation 10 provides that a person whose safety case has been refused by an infrastructure controller may submit it for acceptance to the Secretary of State. The notification by an infrastructure controller that a revision does not and is not likely to affect the performance by the controller of his health and safety duties is not treated as a refusal for this purpose. Regulation 10(7) requires the Secretary of State to take account of advice given by the Health and Safety Commission and regulation 10(8) sets out the consequences of the Secretary of State accepting a safety case.

Regulation 11 provides for the granting of exemptions from the Regulations by the Executive in certain circumstances.

Regulation 12 and Schedule 3 contain transitional provisions in respect of operations which continue to be undertaken in the same place as they were on the date of the coming into force of the Regulations.

Regulation 13 and Schedule 4 provide for consequential revocations to the Railways Regulations 1992 (S.I. 1992/3060).

These Regulations implement provisions of Council Directive 91/440/EEC of 29th July 1991 which were originally implemented by the provisions revoked by regulation 13 and Schedule 4 .

An assessment of the cost to business of complying with these Regulations can be obtained from Railways Division 1A, Room S19/14, Department of Transport, 2 Marsham Street, London, SW1P 3EB, telephone number (071) 276 6718. Copies have also been placed in the libraries of both Houses of Parliament.