Work of HM Railway Inspectorate (HMRI)

The role of HMRI is to secure the proper control by dutyholders of risks to the health and safety of employees, passengers and others who might be affected by the operation of Britain's railways. We do this within an overall strategy set by ORR. We have Inspectors and policy advisors who work together to develop and deliver this strategy.

The term 'dutyholders' means railway operators such as Network Rail, the train and freight operating companies and contractors who have responsibilities under health and safety law. HMRI have developed specific risk profile topic strategies which identify HMRI’s operational policy, strategic aims and, at high level, potential work streams, for ensuring that risks associated with topic(s) are properly managed by duty holders.

As the independent economic and safety regulator, we are also prepared to take enforcement action to ensure that those who have duties under the law are held to account for failures to safeguard health and safety.

Guidance on Reporting of Serious Incidents to HM Railway Inspectorate (HMRI) is available as a related link on the right.

The work of Inspectors

HM Railway Inspectors are involved in:

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

From 10 April 2006, Inspectors will be assessing whether railway operators and railway infrastructure managers on the mainline railway are complying with the new requirements of ROGS by maintaining a Safety Management System (SMS). Inspectors will issue a safety certificate (or ‘authorisation’ for infrastructure managers) indicating that the SMS has been accepted by the safety authority (ORR) before that operator/infrastructure manager is allowed to operate.

HMRI will also assess the following additional safety work under ROGS. 

Safety critical work

ROGS includes provisions for the managerment of safety critical workers’ competence, fitness and fatigue. Safety critical tasks must be carried out by a competent person. 

Safety verification

The SMS will need to include details of how safety verification will be managed by the dutyholder.

Safety certification

For mainline railways, the Safety Certificate will be according to a European harmonised format and will comprise two parts:

• Part A – a “European portable” certificate demonstrating safety authority (ORR in GB) acceptance of generic SMS components; and
• Part B – a certificate demonstrating safety authority acceptance of the national provisions adopted by a railway operator.

For other railways, such as London Underground Limited, a safety certificate and authorisation will be required, as a continuing provision to maintain standards for safety management, as afforded by the current Railway Safety Case Regulations.

Interoperability

Work on high speed lines is assessed by HMRI under the Interoperability Regulations 2006.

Inspections and audits

Inspections and audits check that the rail industry has the management systems in place and that they are effective in controlling health and safety risks. HMRI also targets risk areas of particular concern under what is called mandatory inspection programmes.

Investigations of incidents and complaints

Rail Accident Investigation Branch (RAIB) carry out the investigation into the most serious rail accidents and incidents without apportioning blame or liability with a view to enabling lessons to be learned, improving safety on railways and preventing similar accidents and incidents. HMRI are responsible for implementing any recommendation made by RAIB following the completion of their investigations.

HMRI is responsible for the investigation of breaches of criminal law and health and safety legislation on the railways. ORR will continue to investigate accidents on the railways for its own purposes in co-operation with RAIB and with RAIB taking the lead. For the HMRI Investigations Guide see Related links. Each year HMRI investigates a large number of complaints from the public and other stakeholders.

Providing guidance and support

Much of the contact railway inspectors have with the industry involves giving advice and information both face-to-face and in writing. ORR also holds regular liaison meetings with various parties in the industry and provides the secretariat for the Railway Industry Advisory Committee (RIAC). In addition, ORR publishes guidance to help the rail industry understand their legal obligations under the safety case and the approvals process.

ORR has high-level internal guidance and general principles on the application of 'so far as is reasonably practicable' (SFAIRP) and the use of cost benefit analysis (CBA) in support of safety-related investment decisions.

Enforcing through prosecution and issuing notices

Those working in the rail industry can expect ORR to take regulatory action in a targeted and proportionate way, just as it does with other industries. This could involve prosecution for serious contraventions of the law. Inspectors can also issue formal enforcement notices, which require action within specified timescales and serve prohibition notices to stop dangerous activities.