(a) he has prepared a safety case containing the particulars specified in Schedule 1 and, where that infrastructure is to be used for the operation of trains or stations by persons other than the infrastructure controller, Schedule 2;

(b) the Executive has accepted that safety case;

(c) where he is not the person operating those trains or stations, the person undertaking that operation has agreed in writing to comply with any reasonable request he may make as respects any aspect of the operation which affects or is likely to affect the performance of the health and safety duties of the person in control of the railway infrastructure; and

(d) the person operating those trains or stations has complied with regulation 5(1).

    (2) An infrastructure controller who prepares a safety case shall - 

(a) procure the carrying out of an assessment of that safety case by an assessment body; and

(b) obtain from that body a report of that assessment which shall include - 


(i) a recommendation as to whether in the view of that body the safety case should or should not be accepted;

(ii) where acceptance is recommended, a statement that in its view the case for health and safety is satisfactorily made out; and

(iii) where acceptance is not recommended, the reasons for that recommendation.

(a) in the particular circumstances of the case it was not in the best interests of the health and safety of persons to follow the procedures or arrangements concerned and there was insufficient time to revise the safety case pursuant to regulation 7; or

(b) the commission of the offence was due to a contravention by another person of regulation 11 and the accused had taken all reasonable precautions and exercised all due diligence to ensure that the procedures or arrangements were followed.

(a) a refusal of the Executive to accept a safety case or a revision of a safety case submitted by him under these Regulations; or

(b) a direction of the Executive to prepare a revision of his safety case pursuant to regulation 8(1),

(a) a statement of the assessment process undertaken, the methods of any calculation used and any assumptions made;

(b) a statement of the significant findings of the risk assessment including the measures in place and any further measures the duty holder intends to take to comply with the relevant statutory provisions; and

(c) particulars of the arrangements the duty holder has made for the effective planning, organisation, control, monitoring and review of the measures identified in sub-paragraph (b) above.

     5. Particulars to demonstrate that the management system of the duty holder is adequate to ensure that the relevant statutory provisions will be complied with by him in relation to the operation he undertakes, including - 

(a) a statement of the duty holder's general policy with respect to the health and safety of persons affected by the operation he undertakes and of the health and safety objectives he intends to achieve in relation to it;

(b) particulars to demonstrate that the duty holder has an adequate organisation for carrying out the policy referred to in sub-paragraph (a) above and adequate arrangements for ensuring the competence of his employees as respects health and safety;

(c) particulars of the arrangements that the duty holder has established for implementing the policy referred to in sub-paragraph (a) above, for setting health and safety objectives and for measuring health and safety performance; and

(d) particulars of the arrangements that the duty holder has established for the carrying out of audits, for the making of audit reports and for the review of health and safety performance.

     6. Particulars of the - 

(a) technical specifications; and

(b) procedures or arrangements relating to operations or maintenance, which the duty holder intends to follow in connection with the operation undertaken by him, in so far as they affect the health and safety of persons.

     7. Particulars of the arrangements relating to health and safety that the duty holder has established for the design and procurement of premises and plant to be used by him or under his control.

     8. Particulars of the arrangements that the duty holder has established for consulting his employees on matters of health and safety including the arrangements for complying with regulation 14(8).

     9. Particulars of the arrangements that the duty holder has established for the making and keeping of records relating to the training and competence of his employees as respects health and safety.

     10. Particulars to demonstrate that the duty holder has established adequate arrangements for the passing and receiving of information relevant to health and safety to and from - 

(a) persons within his undertaking;

(b) railway operators whose operations affect or are affected by the operation undertaken by the duty holder; and

(c) railway operators who may require the information in order to comply with their health and safety duties.

     11. Particulars of the arrangements that the duty holder has established for securing the health and safety of persons and for managing work carried out by persons who are not his employees on or in relation to premises or plant which he owns or controls.

     12. Particulars of the arrangements that the duty holder has established to enable him to comply with regulation 11, including particulars to demonstrate that the duty holder has established adequate arrangements for enabling the infrastructure controller to follow with respect to that safety case the arrangements described in his own safety case pursuant to paragraphs 3 and 4 of Schedule 2.

     13. Particulars to demonstrate that the duty holder has established adequate arrangements - 

(a) for investigating accidents and other incidents which could endanger persons;

(b) for identifying the causes of such accidents or incidents;

(c) for co-ordinating such investigations with the investigations carried out by other railway operators; and

(d) for participating in investigations carried out by other railway operators.

     14. Particulars of the arrangements that the duty holder has established for dealing with accidents and with emergencies or other incidents which could endanger persons.

     15. Particulars of the arrangements the duty holder has established - 

(a) to prevent risks to the health and safety of persons arising from the movement or overcrowding of persons at stations operated by the duty holder;

(b) for the evacuation of persons in an emergency from stations operated by the duty holder; and

(c) for the provision of equipment and arrangements for the evacuation of persons in an emergency from trains operated by the duty holder.

     16. The duty holder's proposals for improvements to his safety case and to the health and safety measures referred to in it, together with his proposed time-scales for the making of such improvements.

     17. In this Schedule - 

(a) "audit" means systematic assessment of the adequacy of the management system to achieve the purpose referred to in paragraph 5(d) carried out by persons who are sufficiently independent of the system (but who may be employed by the duty holder) to ensure that such assessment is objective;

(b) "management system" means the organisation and arrangements established by the duty holder for managing his undertaking;

(c) any reference to an operation undertaken by a duty holder is - 


(i) where the safety case is prepared pursuant to these Regulations by an infrastructure controller, a reference to the operations he carries out in relation to the railway infrastructure concerned; and

(ii) where the safety case is prepared pursuant to these Regulations by a person who operates trains or a station, a reference to the train or station operations concerned; and



(d) any reference to operations undertaken includes operations which are intended to be undertaken.

(a) the arrangements he has established for ensuring that railway operators who have had their safety cases accepted by the Executive follow the procedures and arrangements described in them in so far as those procedures and arrangements affect or are likely to affect the performance of that controller's health and safety duties; and

(b) the steps he intends to take where such operators fail to comply with the procedures and arrangements referred to.

     4. Particulars of - 

(a) the arrangements which the infrastructure controller has made for requiring an operator of trains on railway infrastructure under the control of that controller or an operator of a station served by such infrastructure to comply with his reasonable requests as respects any aspect of the operation which affects or is likely to affect the performance of the health and safety duties of the controller;

(b) the nature and circumstances of the requests which may be made; and

(c) the steps he intends to take where a request referred to in sub-paragraph (a) above is not complied with.

(a) extend the requirement for safety cases to be accepted by the Executive to every person who operates trains or stations (regulation 5(1));

(b) require an infrastructure controller to make a recommendation to the Executive with regard to the acceptability of a safety case or revision thereto prepared by a train or station operator (regulation 5(4));

(c) in relation to railway infrastructure specified in regulation 3, require an infrastructure controller - 


(i) to procure from an assessment body (as defined in regulation 2(1)) an assessment of his safety case and of any safety case submitted to him by a train or station operator (regulations 4(2) and 5(3));

(ii) to procure from that body a report of that assessment including a recommendation as to whether the safety case should be accepted and whether it is satisfactory for the purposes of regulations 2(4) or 2(5) as the case may be (regulation 4(2) and 5(3)); and

(iii) to provide a copy of those reports to the Executive (regulations 4(3) and 5(4));



(d) apply the requirements referred to in paragraph (c) above also in respect of revisions to safety cases (regulation 7(10));

(e) confer upon the Executive - 



(i) a duty to notify its determination as to acceptance of a safety case or revision to the person who has made that safety case or revision and, where different, to the infrastructure controller (regulations 4(4), 5(7) and 7(7));

(ii) a power to direct an infrastructure controller to scrutinise an operator's safety case and to make a recommendation upon it (regulation 5(8));

(iii) a power to require a review of a safety case (regulation 6); and

(iv) a power to direct that a revision be made to a safety case (regulation 8);



(f) in relation to railway infrastructure specified in regulation 3, require an infrastructure controller to procure from an assessment body at least every 12 months an audit of specified operations and to obtain a report of that audit (regulation 9);

(g) extend the duty to co-operate to an assessment body and in respect of the functions to be carried out by such body (regulation 11);

(h) require an infrastructure controller to ensure that operators of trains or stations conform with their safety cases (regulation 12) and to notify non-compliance to the Executive in specified circumstances (regulation 13);

(i) require safety cases and revisions to be made available for public inspection and require audit reports to be sent to the Executive and other specified persons (regulation 14); and

(j) provide for an appeal to the Secretary of State against a refusal by the Executive to accept a safety case or revision and against a direction of the Executive to revise a safety case (regulation 15).

     4. The Regulations contain transitional provisions (regulation 16).

     5. The Regulations make consequential amendments and revoke the Railways (Safety Case) Regulations 1994 (regulation 18).

     6. A copy of the regulatory impact assessment prepared in respect of these Regulations can be obtained from the Railways Directorate, Department of the Environment, Transport and the Regions, Zone 3/29 Great Minster House, 76 Marsham Street, London, SW1P 4DR. A copy has been placed in the library of each House of Parliament.