- Safety certificates & authorisation
Safety certificates and authorisation
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In essence, it is a formal arrangement for a safer working environment. All operators and duty holders are now required to have in place arrangements for managing safety risks.
A safety management system defines roles and responsibilities, sets arrangements for safety mechanisms, involves workers in the process and ensures continuous improvement.
Under ROGS, no one is able to operate vehicles or manage infrastructure on UK railway unless they have obtained the appropriate safety certificate or authorisation.
Those operating transport require a certificate, and those who operate infrastructure (signals, track, bridges, etc) require authorisation. If there is a train operating company that also manages infrastructure, they will need both.
The requirements of ROGS will apply to all dutyholders working on a transport system. Dutyholders with an established safety management system (SMS) must also detail how safety critical work is managed.
Safety critical tasks must be carried out by a competent person, and include driving and dispatching trains, signalling, installation of components and maintenance, ensuring safety of persons working on the track.
Any worker carrying out duties as part of training to to become a safety critical worker, must be supervised by a competent safety critical worker at all times.
All mainline operators require certification/authorisation. However, some lower risk non-mainline operations do not need one (such as heritage) but they still need a safety management system.
Those excluded are:
- operations on a transport system with a maximum speed of 40kph (25 mph); and
- tramways, regardless of their speed.
For mainline railways, the safety certificate is issued according to a European harmonised format and comprises of two parts:
Part A – a 'European portable' certificate demonstrating safety authority (the Office of Rail Regulation in Great Britain) acceptance of generic SMS components. This sets out the organisation’s general safety management arrangements.
Part B – a certificate demonstrating safety authority acceptance of the national provisions adopted by a railway operator.
Firstly, read the application guidelines ( PDF 51 Kb) and ROGS - a short guide ( PDF 914 Kb), which provides more information about the legislation, the application process and what will be required. Once you have done this, you can the complete application form ( PDF 94 Kb), and send it to us.
New assessment criteria for both safety certificates ( PDF 779 Kb) and safety authorisations ( PDF 771 Kb) have been published by the European Commission on 10 & 11 December 2010 and come into force throughout Europe on 3 January 2011.
While the new criteria should not mean many changes to existing safety management systems in the UK, some changes will be needed in the information supporting your application. We have now produced new assessment criteria guidance for mainline railways ( PDF 463 Kb). The existing guidance still applies to non-mainline railways ( PDF 981 Kb).
The application will then be assessed by our team, and we will either award the certificate or authorisation or refuse the application. The process itself can take up to 4 months, and if awarded, the certificate or authorisation will last up to 5 years.
The list of safety certificates and authorisations issued contains dates of issue plus hyperlinks to the certificates/authorisations. If you have any comments on the list, please contact us.
In view of DfT timescales, it is necessary for all preferred bidders for a new franchise to prepare an application for a safety certificate (and authorisation, if appropriate) before the winning bidder is announced.
The winning bidder must then submit their application to ORR within 3 days of the DfT announcement.
All bidders are advised to make contact with their local ORR inspector early in the process.
See Guidance for bidders to new franchises ( PDF 62 Kb).
Last updated: 22 July 2011
- Criteria for safety certificate and authorisation application for mainline railways - April 2011 ( PDF 944 Kb).
- Safety Certification mainline application form ( PDF 94 Kb).
- Guidelines for completion (2) ( PDF 51 Kb).
- Commissioning regulation 653-2007 ( PDF 222 Kb).
- Our role as safety authority in line with ROGS Duty of cooperation ( PDF 41 Kb).
- Inspection Manual - Validation of ROGS safety management systems ( PDF 167 Kb).
- HMRI safety certificate and authorisation assessment manual - 3rd issue ( PDF 1586 Kb).
- Assessment criteria for safety certificate and authorisation applications made under ROGS (non-mainline) ( PDF 784 Kb).
- Guidance for bidders to new franchises - May 2011 ( PDF 62 Kb).