The Railways (Safety Case) Regulations 2000, Part 1 — Introduction (1–3) — Full Text

Citation and commencement

1

These Regulations may be cited as the Railways (Safety Case) Regulations 2000 and shall come into force on 31st December 2000.

Interpretation

(1) In these Regulations, unless the context otherwise requires— “the 1994 Regulations ” means the Railways (Safety Case) Regulations 1994 and any reference to a safety case prepared or accepted under the 1994 Regulations is a reference to a safety case within the meaning of those Regulations; “assessment body” means a body of persons corporate or unincorporate (other than the infrastructure controller in question) which is, in relation to an assessment referred to in regulations 4(2)(a) or 5(3)(a) or an audit referred to in regulation 9(1)— competent to carry out the assessment or audit, and sufficiently independent of the infrastructure controller to ensure that the assessment or audit is objective; “audit report” means a report made pursuant to regulation 9 or to the arrangements referred to in paragraph 5(b) of Schedule 1; “building operation” means the construction, structural alteration, repair or maintenance of a building (including repointing, redecoration and external cleaning of the structure), the demolition of a building, and preparation for, and laying the foundation of, an intended building, but does not include any operation which is a work of engineering construction; “ the Executive ” means the Health and Safety Executive; “factory” means a factory within the meaning of section 175 of the Factories Act 1961 and premises to which section 123(1) or (2) or 125(1) of that Act applies; “harbour” and “harbour area” have the meanings assigned to them by regulation 2(1) of the Dangerous Substances in Harbour Areas Regulations 1987 ; “infrastructure controller” means a person who controls railway infrastructure; “mine” has the meaning assigned to it by section 180 of the Mines and Quarries Act 1954 ; “notified” means notified in writing, and related expressions shall be construed accordingly; “quarry” has the meaning assigned to it by regulation 3 of the Quarries Regulations 1999 ; “railway” has the meaning assigned to it by section 67(1) of the Transport and Works Act 1992 except that it does not include any part of a railway— within a harbour or harbour area, or which is part of a factory, mine or quarry unless, in each case, it is being used or is intended to be used for the carriage of fare paying passengers, used solely for the purpose of carrying out construction work, or within a maintenance or goods depot; “railway infrastructure” means fixed assets used for the operation of a railway including its permanent way and plant used for signalling or exclusively for supplying electricity for operational purposes to the railway, but it does not include a station; “railway operator” means a person who is an infrastructure controller or operates trains or stations; “relevant infrastructure controller” means— in relation to the operation of trains, the person in control of the railway infrastructure in relation to which the trains are to be operated and, where there are different such persons for different parts of that infrastructure, each of them, in relation to the operation of stations, the person in control of the railway infrastructure serving the station the subject of the safety case and, where there are different persons in control of different parts of the railway infrastructure serving such station, each of them; “revision” means proposed revision where by virtue of regulation 7(3), 8(1) and 16(2) or (3) the revision has not been made; “safety case” shall be construed in accordance with paragraph (2); “station” means a railway passenger station or terminal, but does not include any permanent way or plant used for signalling or exclusively for supplying electricity for operational purposes to the railway; “train” includes any rolling stock (within the meaning of the Railways Act 1993 ); “work of engineering construction” means the construction of any railway line or siding otherwise than on an existing railway, and the construction, structural alteration or repair (including repointing and repainting) or demolition of any tunnel, bridge or viaduct, except where carried on upon a railway. (2) Any reference in these Regulations to a safety case is a reference to a document containing the particulars required by the provisions of these Regulations pursuant to which the safety case is prepared; and a safety case may— (a) contain the particulars so required by reference to the same particulars contained in another safety case prepared by the same person; (b) be prepared by a person in respect of more than one operation intended to be undertaken by him. (3) Any provision of these Regulations requiring particulars to be included in a safety case which are also required to be included by virtue of a more general provision of the Regulations is without prejudice to the generality of the more general provision. (4) Any reference in these Regulations to an infrastructure controller recommending acceptance of a safety case or revision is a reference to that controller notifying the Executive that he is satisfied that the procedures and arrangements described in it which affect or are likely to affect the performance of his own health and safety duties will, when properly implemented with those described in any other safety case or revision thereof which that controller has prepared or which has been accepted pursuant to these Regulations and which relates to the railway infrastructure under his control, be capable of ensuring compliance by that controller with those duties in relation to the operation to which the first mentioned safety case or revision relates. (5) Without prejudice to regulation 8, any reference in these Regulations to the Executive accepting a safety case or revision is a reference to the Executive notifying the person who prepared it that it is satisfied with the case for health and safety made out in it. (6) Any reference in these Regulations to the health and safety duties of an infrastructure controller is a reference to the duties imposed on him by the relevant statutory provisions (other than these Regulations). (7) Where a railway operator is succeeded by a new railway operator, anything done in pursuance of these Regulations by the former railway operator shall, for the purposes of these Regulations, be treated as having been done by his successor; and for this purpose a person shall be treated as a successor in so far as control of the relevant railway infrastructure or the operation of the trains or stations concerned, as appropriate, has been transferred to him. (8) Any reference in these Regulations to a person in control of any railway infrastructure is a reference to a person who, in the course of a business or other undertaking carried on by him (whether for profit or not), is in operational control of that infrastructure, except that where such control is for the time being exercised by a person undertaking maintenance, repair or alteration work on the infrastructure, it is a reference to a person who would be in operational control of the infrastructure if such work were not being undertaken. (9) Any reference in these Regulations to a person operating a train or station is a reference to the person operating the train or station for the time being in the course of a business or other undertaking carried on by him (whether for profit or not), but it does not include a self-employed person by reason only that he himself drives or otherwise controls the movement of a train. (10) Any requirement in these Regulations for a safety case, revision, recommendation, audit report or other document to be sent, submitted or otherwise delivered includes delivery by electronic means. (11) Unless the context otherwise requires, any reference in these Regulations to— (a) a numbered regulation or Schedule is a reference to the regulation or Schedule in these Regulations so numbered; (b) a numbered paragraph is a reference to the paragraph so numbered in the regulation or Schedule in which the reference appears.

Application

3

The duties imposed on an infrastructure controller by regulation 4(2) and (3), regulation 5(3), (4)(d) and (6)(b) and regulation 9 shall apply only where the railway infrastructure under the control of that controller— (a) is used for the operation of passenger trains by an operator other than the infrastructure controller; or (b) serves a station operated by an operator other than the infrastructure controller.