Citation and commencement_I1

1. These Regulations may be cited as the Health and Safety (Enforcing Authority for Railways and Other Guided Transport Systems) Regulations 2006 and shall come into force on 1st April 2006.

Interpretation_I2

2. In these Regulations—

“the 1974 Act” means the Health and Safety at Work etc. Act 1974 ;

“bus” means a motor vehicle which is designed or adapted to travel along roads and to carry more than eight passengers but which is not a tramcar;

[^F1 “bus substitution service” means a service for the carriage of passengers by road that is provided as an alternative to the whole or a part of a railway or tramway passenger service that has been discontinued, reduced or modified (whether temporarily or permanently) ^F1] ;

“cableway installation” means an installation made up of several components that—

“carriageway”—

“construction work” has the same meaning as in regulation 2(1) of the Construction (Design and Management) Regulations [^F2 2007 ^F2] except that it does not include the installation, commissioning, maintenance, repair or removal of gas services which are normally fixed within or to a structure;

[^F3 “contractor” has the same meaning as in regulation 2(1) of the Construction (Design and Management) Regulations 2007 ^F3] ;

^F4...

“Enforcing Authority Regulations” means the Health and Safety (Enforcing Authority) Regulations 1998 ( 9 );

[^F5 “ entity in charge of maintenance ” has the same meaning as in the Railways and Other Guided Transport Systems (Safety) Regulations 2006 ; ^F5]

“the Executive” means the Health and Safety Executive;

“factory” means a factory within the meaning of section 175 of the Factories Act 1961 ( 10 ) or a power generating station but does not include—

“guided bus system” means a system of transport, used wholly or mainly for the carriage of passengers, that employs buses which for some or all of the time when they are in operation—

“guided transport” means a system of transport, used wholly or mainly for the carriage of passengers, employing vehicles;

[^F6 “harbour” means a harbour or harbour area as defined in regulation 2(1) of the Dangerous Substances in Harbour Areas Regulations 1987 ^F6] ;

“heritage railway” means a railway which is operated to—

and is exclusively or primarily used for tourist, educational or recreational purposes;

“heritage tramway” means a tramway which is operated to—

and is exclusively or primarily used for tourist, educational or recreational purposes;

“infrastructure” means the following fixed assets used for the operation of any system of transport specified in regulation 3(2)—

but, where and to the extent that the system is operated on a road, does not include road lighting, road traffic signals and signage or any apparatus located on, under or above the road unless used for the purposes of that system and maintained by the owner, operator or manager of the system or persons acting on behalf of one or more of them;

“intermodal depot” means a freight handling facility which is operated exclusively or primarily for the purpose of transferring containers from railway vehicles onto a different mode of transport or vice versa;

“lift” means an appliance, other than a cableway installation, serving specific levels and having a car moving—

and inclined at an angle of more than 15 degrees to the horizontal and intended wholly or mainly for the transport of persons;

“light maintenance depot” means any premises used exclusively or primarily for, or in connection with, the provision of light maintenance services;

“light maintenance services” means services of any of the following descriptions—

and, for the purposes of paragraph (c), “maintenance work” includes the detection and rectification of any faults;

[^F7 “ mainline railway ” has the same meaning as in the Railways and Other Guided Transport Systems (Safety) Regulations 2006 ; ^F7]

“mine” has the same meaning as in section 180 of the Mines and Quarries Act 1954 ( 11 ) but, notwithstanding subsection (5) of that section, does not include any railway serving the mine unless and to the extent that the railway is located within the curtilage of the mine;

[^F8 “miniature railway” means a system of transport employing parallel rails which–

“nuclear licensed site” means a site in respect of which a nuclear site licence, within the meaning of section 1(1) of the Nuclear Installations Act 1965 ( 12 ), has been granted and is in force;

“operation of a railway” includes, in particular,—

but does not include—

“operation of a tramway” and “operation of any other system of guided transport” includes, in particular,—

but, subject to paragraph (e), does not include office activities relating to the system of transport which are not carried out within operational premises;

“operational premises” means, in relation to any system of transport specified in regulation 3(2),—

but does not include—

“the permanent way”, in relation to any system of transport specified in regulation 3(2), means any land or other property comprising the permanent way of the system, taken together with the ballast, sleepers and metals or other means of guidance laid on, under or over it, whether or not the land or other property is also used for other purposes and includes—

but does not include—

“power generating station” means any premises used exclusively or primarily for the purposes of generating electrical energy;

“quarry” has the same meaning as in regulation 3 of the Quarries Regulations 1999 ( 13 );

“railway” means a system of transport employing parallel rails which—

but does not include a tramway;

“road”—

“station” means any premises used as, or for the purposes of, or otherwise in connection with, a passenger station or terminal of a system of transport specified in regulation 3(2), (including station offices, ticket offices, left luggage and lost property facilities, approaches, forecourt, car parks and cycle stores), whether or not the premises are also used for other purposes;

“tramway” means a system of transport used wholly or mainly for the carriage of passengers—

“vehicle” means any vehicle which for some or all of the time when it is in operation is guided by means of—

and includes a mobile traction unit;

“warehouse premises” means any premises used exclusively or primarily for the storage of goods for retail or wholesale distribution.

Enforcing authority_I3

3.—(1) Subject to paragraphs (3) to (5), the Office of Rail Regulation shall be responsible for the enforcement of the relevant statutory provisions (14) to the extent that they relate to any activity specified in paragraph (2) (whether or not that activity is the main activity carried out in premises).

(2) Subject to regulations 4 and 5, the activities referred to in paragraph (1) are the following—

(a)the operation of a railway;

(b)the operation of a tramway; and

(c)the operation of any other system of guided transport.

(3) The Office of Rail Regulation shall be responsible for the enforcement of subsections (1), (2), (4) and (5) of section 6 of the 1974 Act (general duties of manufacturers etc as regards articles and substances for use at work) (15) but only in so far as their requirements relate to any—

(a)articles for use at work which are designed, manufactured, imported or supplied, or

(b)substances which are manufactured, imported or supplied,

to be used exclusively or primarily in the construction or operation of any system of transport specified in paragraph (2).

(4) The Office of Rail Regulation shall be responsible for the enforcement of subsection (3) of section 6 of the 1974 Act(16) but only in so far as its requirements relate to the erection or installation of any articles for use at work which are to be used in the operation of any system of transport specified in paragraph (2).

(5) This regulation shall have effect subject to regulation [^F1093(4)^F10] of the Carriage of Dangerous Goods and Use of Transportable Pressure Equipment Regulations [^F102007^F10] (defence and enforcement) (17).

(6) This regulation shall have effect notwithstanding anything to the contrary in the following provisions of the Enforcing Authority Regulations—

(a)regulation 3;

(b)paragraphs (1) and (2) of regulation 4 but only in so far as they relate to the bodies specified in paragraph (3) (a), (b) and (h) of that regulation;

(c)regulation 4(4)(a); and

(d)regulation 4(4)(b) but only in so far as it relates to the activity specified in paragraph 4(a) of Schedule 2;

or in any transfer or assignment pursuant to regulations 5 or 6 of those Regulations.

Exceptions_I4

4.—(1) The activities specified in regulation 3(2) do not include the operation of—

(a)a cableway installation; or

(b)any fairground equipment(18); [^F11or

(c)a miniature railway which does not cross a carriageway (whether or not on the same level); or

(d)a bus substitution service when outside operational premises.^F11]

(2) The systems of guided transport specified in regulation 3(2) (c) do not include—

(a)a guided bus system;

(b)any other system of guided transport that employs vehicles which for some or all of the time when they are in operation travel along roads; or

(c)a lift, unless it is used in the operation of any system of transport specified in regulation 3(2).

(3) The operation of a system of transport specified in regulation 3(2) does not include such an operation carried out within—

[^F12 (a)a harbour within premises referred to in any of sub paragraphs (c) to (h);

(b)any other harbour unless—

(i)the system of transport operated is part of a system which is operated outside the harbour and the operation is for the purpose of or related to the carriage of passengers or goods to or from the harbour; or

(ii)the system of transport is not operated outside the harbour but is a railway, tramway or other system of guided transport for the carriage of the public not connected to any other railway^F12] ;

(c)an establishment to which the Control of Major Accident Hazards Regulations 1999(19) applies;

(d)a factory;

(e)a mine;

(f)a nuclear licensed site;

(g)a quarry; or

(h)warehouse premises.

(4) Notwithstanding paragraph (3), the Office of Rail Regulation shall be responsible for the enforcement of orders made under section 1 of the Level Crossings Act 1983(20) whether or not a level crossing to which such an order relates is within any premises referred to in paragraph (3).

[^F13 (4A) Notwithstanding paragraph (3), where an entity in charge of maintenance performs maintenance on a vehicle that is to be placed in service or is used on the mainline railway, the operation of a railway specified in regulation 3(2)(a) shall include such maintenance performed on a vehicle within any premises referred to in paragraph (3).^F13]

(5) The activities specified in regulation 3(2) do not include the undertaking of any work which is prohibited by [^F14the Control of Asbestos Regulations 2012^F14] from being carried out by any employer or self employed person without a licence granted under [^F15regulation 8^F15] of those Regulations relating to that work.

Construction work_I5

[^F16 5.—(1) Without prejudice to regulation 4(5), the operations specified in paragraph (2) of regulation 3 include construction work

(a)for the maintenance, repair, renewal or improvement of existing infrastructure; and

(b)for the extension or enlargement of infrastructure if that work is in such close proximity to the operation of a railway, tramway or other system of guided transport specified in that paragraph that such operation creates a risk to the health, safety or welfare of those engaged in that work.

(2) Without prejudice to regulation 4(5) and subject to paragraph (3), the operations set out in paragraph (2) of regulation 3 also include construction work if it is

(a)carried out within operational premises; and

(b)relates to the maintenance, repair, renewal or improvement of any fixed asset (other than infrastructure) of a system of transport specified in that paragraph.

(3) Paragraph (2) does not include construction work—

(a)carried out in relation to a structure, premises or other property whose primary function is not related to the operation of the system of transport; or

(b)carried out in relation to a bridge, structure or other property which spans or is adjacent to operational premises, by persons other than the owners, operator or manager of the system of transport or persons acting on behalf of one or more of them; or

(c)where there is a suspension of the activities normally carried out in the operational premises (other than the use of the infrastructure for the through operation of vehicles with the exit of a passenger or passengers from such a vehicle only in the case of emergency) and the construction work meets the following conditions—

(i)the work is carried out in an area which is segregated physically from the infrastructure; and

(ii)the contractor has the authority to exclude from the segregated area persons who are not attending in connection with the carrying out of the work; or

(d)where activities normally carried on in relation to the operation of the system of transport continue and—

(i)the construction work meets the conditions set out in sub paragraphs (i) and (ii) of paragraph (c); and

(ii)there is no access (other than emergency access) between the segregated area and the remainder of the operational premises.^F16]

Amendments_I6

6. The enactments referred to in the Schedule are amended in accordance with the provisions of the Schedule.

Transitional provisions_I7

7.—(1) In this regulation—

(a) “functions” means the functions transferred to the Office of Rail Regulation by these Regulations; and

(b) “transfer” means the transfer referred to in sub-paragraph (a).

(2) Anything done by, or in relation to, the Executive in relation to the functions which has effect at the date of the coming into force of these Regulations shall, so far as necessary or appropriate for the purposes of, or in consequence of, the transfer, have effect as if done by, or in relation to, the Office of Rail Regulation.

(3) There may be continued by, or in relation to, the Office of Rail Regulation anything (including legal proceedings) relating to the functions which is in the process of being done by, or in relation to, the Executive immediately before the coming into force of these Regulations.

(4) Any reference to the Executive in any document relating to the functions shall be taken, so far as necessary or appropriate for the purposes of, or in consequence of, the transfer, as a reference to the Office of Rail Regulation.

(5) The transfer does not affect the validity of anything done by, or in relation to, the Executive before the coming into force of these Regulations.

(6) In this regulation a reference to the Executive, or to the Office of Rail Regulation, includes respectively a reference to an officer of that body, including any inspector appointed by it, so far as necessary or appropriate for the purposes of, or in consequence of, the transfer.

(7) If and in so far as immediately before the coming into force of these Regulations any of the functions are held by a local authority pursuant to any transfer or assignment made under regulations 5 or 6 of the Enforcing Authority Regulations, paragraphs (2) to (6) of this regulation shall have effect as if any reference to the “Executive” were a reference to a local authority.

[^F17Review

8.—(1) Before the end of each review period, the Secretary of State must—

(a)carry out a review of these Regulations;

(b)set out the conclusions of the review in a report; and

(c)publish the report.

(2) The report must in particular—

(a)set out the objectives intended to be achieved by the regulatory system established by these Regulations;

(b)assess the extent to which those objectives are achieved; and

(c)assess whether those objectives remain appropriate and, if so, the extent to which they could be achieved with a system that imposes less regulation.

(3) “ Review period ” means—

(a)the period of five years beginning with the day on which the Railways and Other Guided Transport Systems (Miscellaneous Amendments) Regulations 2013 come into force; and

(b)subject to paragraph (4), each successive period of five years.

(4) If a report under this regulation is published before the last day of the review period to which it relates, the following review period is to begin with the day on which that report is published.^F17]

Regulation 6

SCHEDULE AMENDMENT OF ENACTMENTS

Amendments to the Transport and Works Act 1992_I8

1.—(1) The Transport and Works Act 1992(21) is amended as follows.

(2) In section 41 ( approval of works, plant and equipment)—

(a)in subsection (1), for “his approval” substitute “the approval of a specified authority”;

(b)in paragraph (c) of subsection (2), for “Secretary of State”(22) substitute “specified authority”;

(c)in subsection (3)—

(i)for “Secretary of State” substitute “specified authority”; and

(ii)for “he” substitute “it”; and

(d)in subsection (7), after the definition of “prescribed systems of guided transport” insert—

““specified authority” means such authority as may be specified in regulations under this section .”.

(3) In section 45 ( directions limiting speeds and loads)—

(a)in subsection (1), for “Secretary of State”(23) substitute “relevant enforcing authority”;

(b)in subsection (4)—

(i)for “Secretary of State” substitute “relevant enforcing authority”; and

(ii)for “he” substitute “that authority”; and

(c)after subsection (6) insert—

“(7) In this section “relevant enforcing authority” means the enforcing authority responsible for the enforcement of the relevant statutory provisions in relation to the mode of transport to which the direction applies.

(8) In subsection (7)—

“enforcing authority” has the same meaning as in section 18(7) (a) of the Health and Safety at Work etc. Act 1974;

“relevant statutory provisions” has the same meaning as in that Act.”.

Amendments to the Railways and Other Transport Systems (Approval of Works, Plant and Equipment) Regulations 1994_I9

2.—(1) The Railways and Other Transport Systems (Approval of Works, Plant and Equipment) Regulations 1994(24) are amended as follows.

(2) For “Secretary of State”, wherever occurring, substitute “relevant authority”.

(3) In regulation 2(a) ( interpretation)—

(a)after the definition of “prescribed system of guided transport” insert—

““relevant authority” means—

(b)after the definition of “relevant operational limitation” insert—

““the relevant statutory provisions” has the same meaning as in section 53 of the Health and Safety at Work etc. Act 1974;”; and

(c)in the definition of “relevant transport system”, omit “, a trolley vehicle system”.

(4) In regulation 4(2)(b) (requirement for approval), omit “or because it is a vehicle operating on a trolley vehicle system,”.

(5) In regulation 5 (procedure for obtaining approval)—

(a)in paragraph (3) for each reference to “he” or “him” substitute “it”; and

(b)in paragraph (4) for “he” substitute “it” and for “himself” substitute “itself”.

(6) In regulation 6(4) (type approval of plant and equipment), for “he” substitute “it”.

(7) In sub-paragraphs (1)(b) and (2)(b) of regulation 10 (dispensations), for each reference to “he” substitute “it”.

(8) In sub-paragraphs (1)(b) and (2)(b) of regulation 11 (compliance with provisions not otherwise applicable), for each reference to “he” substitute “it”.

(9) In Schedule 1 ( prescribed modes of guided transport)—

(a)in Part I (The Modes), omit modes numbered 3 to 5; and

(b)in paragraph 1 of Part II (interpretation), omit the definitions of “road-based with cable guidance”, “road-based with rail guidance” and “road-based with side guidance”.

Amendments to the Railways (Safety Critical Work) Regulations 1994_I10

3. In regulation 2(1) of the Railways (Safety Critical Work) Regulations 1994(25) (interpretation), for the definition of “the Executive” substitute—

““the Executive” means—

Amendments to the Construction (Design and Management) Regulations 1994

^F184. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Amendments to the Railway Safety (Miscellaneous Provisions) Regulations 1997_I11

5.—(1) The Railway Safety (Miscellaneous Provisions) Regulations 1997(26) are amended as follows.

(2) In regulation 2(1) ( interpretation), after the definition of “railway” insert—

““relevant authority” means—

(3) In regulation 8 (exemptions), for “Health and Safety Executive”, wherever occurring, substitute “relevant authority”.

(4) Omit regulation 10(1) (transfer of functions from the Secretary of State to the Health and Safety Executive).

Amendments to the Health and Safety (Enforcing Authority) Regulations 1998_I12

6.—(1) The Health and Safety (Enforcing Authority) Regulations 1998(27) are amended as follows.

(2) In regulation 2(1) (interpretation)—

(a)after the definition of “agricultural activities” insert—

““bus” means a motor vehicle which is designed or adapted to travel along roads and to carry more than eight passengers but which is not a tramcar;”;

(b)after the definition of “gas system” insert—

““guided bus system” means a system of transport, used wholly or mainly for the carriage of passengers, that employs buses which for some or all of the time when they are in operation—

“guided transport” means a system of transport, used wholly or mainly for the carriage of passengers, employing vehicles which for some or all of the time when they are in operation are guided by means of—

and for this purpose “vehicle” includes a mobile traction unit;;”;

(c)in the definition of “mine” after “1954” insert—

“but, notwithstanding subsection (5) of that section, does not include any railway serving the mine unless and to the extent that the railway is located within the curtilage of the mine;”;

(d)omit the definition of “prescribed system of guided transport”;

(e)for the definition of “railway” substitute—

““railway” means any system of transport the operation of which is specified in regulation 3(2) of the Health and Safety (Enforcing Authority for Railways and Other Guided Transport Systems) Regulations 2006;”;

(f)after the definition of “railway” insert—

““road”—

(g)after the definition of “substances dangerous for supply” insert—

““trolley vehicle system” means a system of transport by vehicles constructed or adapted for use on roads without rails under electric power transmitted to them by overhead wires (whether or not there is in addition a source of power on board the vehicles);”.

(3) In regulation 3(6) (local authorities to be enforcing authorities in certain cases), for “Executive” substitute “Office of Rail Regulation”.

(4) In Schedule 2 (activities in respect of which the Health and Safety Executive is the enforcing authority)—

(a)for paragraph 12 substitute—

“12. The operation of—

(a)a guided bus system; or

(b)any other system of guided transport, other than a railway, that employs vehicles which for some or all of the time when they are in operation travel along roads.”; and

(b)after paragraph 12 insert—

“13. The operation of a trolley vehicle system.”.

Amendments to the Working Time Regulations 1998_I13

7. Regulation 28 of the Working Time Regulations 1998(28) (enforcement) is amended as follows—

(a)in paragraph (1) in the definition of “enforcement authority”, for “or VOSA” substitute “,VOSA or the Office of Rail Regulation”;

(b)in paragraph (2)—

(i)at the end of sub-paragraph (b) omit “or”; and

(ii)after sub-paragraph (c) insert—

“(d)the Office of Rail Regulation is made responsible for their enforcement by paragraph (3A).”; and

(c)after paragraph (3) insert—

“(3A) Where the relevant requirements apply in relation to workers employed in the carrying out of any of the activities specified in regulation 3(2) of the Health and Safety (Enforcing Authority for Railways and Other Guided Transport Systems) Regulations 2006 it shall be the duty of the Office of Rail Regulation to enforce those requirements.”.

Amendments to the Railway Safety Regulations 1999_I14

8.—(1) The Railway Safety Regulations 1999(29) are amended as follows.

(2) In regulation 2(1) (interpretation)—

(a)in paragraph (b) of the definition of “excessive speed”, for “Executive” substitute “relevant authority”; and

(b)after the definition of “relevant approach” insert—

““relevant authority” means—

(3) In regulation 6 (exemption certificates), for “Executive”, wherever occurring, substitute “relevant authority”.

Amendments to the Railways (Safety Case) Regulations 2000_I15

9. In regulation 2(1) of the Railways (Safety Case) Regulations 2000(30) (interpretation), for the definition of “the Executive” substitute—

““the Executive” means—

Amendment to the Radiation (Emergency Preparedness and Public Information) Regulations 2001_I16

10. After regulation 18 of the Radiation (Emergency Preparedness and Public Information) Regulations 2001(31) (modifications relating to the Ministry of Defence etc) insert—

Modifications relating to the Office of Rail Regulation

18A.—(1) Subject to paragraph (2), in so far as these Regulations apply to, or in connection with, any activities in relation to which the Office of Rail Regulation is made the enforcing authority by regulation 3(1) of the Health and Safety (Enforcing Authority for Railways and Other Guided Transport Systems) Regulations 2006, they shall have effect as if any reference to the Executive were a reference to the Office of Rail Regulation.

(2) Paragraph (1) shall not apply to—

(a)the definition of “the Executive” in regulation 2(1) (interpretation);

(b)regulation 20 ( transitional provisions); or

(c)note 6 at the end of Part 1 of Schedule 4 (specified quantities for the transport of radionuclides).”.

Amendment to the Control of Substances Hazardous to Health Regulations 2002_I17

11. After regulation 16 of the Control of Substances Hazardous to Health Regulations 2002(32) (exemptions relating to the Ministry of Defence etc) insert—

Modifications relating to the Office of Rail Regulation

16A.—(1) In so far as these Regulations apply to, or in connection with, any activities in relation to which the Office of Rail Regulation is made the enforcing authority by regulation 3(1) of the Health and Safety (Enforcing Authority for Railways and Other Guided Transport Systems) Regulations 2006, they shall have effect as if any reference to the Executive in the provisions specified in paragraph (2) were a reference to the Office of Rail Regulation.

(2) The provisions referred to in paragraph (1) are as follows—

(a)regulation 10 (7) (b) (monitoring exposure at the workplace);

(b)regulation 11 (4) (b) (health surveillance); and

(c)regulation 18 (revocation and savings).”.

Amendments to the Carriage of Dangerous Goods and Use of Transportable Pressure Equipment Regulations 2004_I18

12.—(1) The Carriage of Dangerous Goods and Use of Transportable Pressure Equipment Regulations 2004(33) are amended as follows.

(2) In regulation 58(4) (defence and enforcement), for “paragraph (5)” substitute “paragraphs (5) and (6)”.

(3) After paragraph 58(5)(34) insert—

“(6) The Executive shall not be the enforcing authority for these Regulations to the extent that the Office of Rail Regulation is made the enforcing authority for them by regulation 3(1) of the Health and Safety (Enforcing Authority for Railways and Other Guided Transport Systems) Regulations 2006.”.

Amendment to the Control of Vibration at Work Regulations 2005_I19

13. In regulation 2(1) of the Control of Vibration at Work Regulations 2005(35) (interpretation), for the definition of “enforcing authority” substitute—

““enforcing authority” means the Executive, local authority or Office of Rail Regulation, determined in accordance with the provisions of the Health and Safety (Enforcing Authority) Regulations 1998 and the Health and Safety (Enforcing Authority for Railways and Other Guided Transport Systems) Regulations 2006;”.

Amendment to the Control of Noise at Work Regulations 2005_I20

14. In regulation 2(1) of the Control of Noise at Work Regulations 2005(36) (interpretation), for the definition of “enforcing authority” substitute—

““enforcing authority” means the Executive, local authority or Office of Rail Regulation, determined in accordance with the provisions of the Health and Safety (Enforcing Authority) Regulations 1998 and the Health and Safety (Enforcing Authority for Railways and Other Guided Transport Systems) Regulations 2006;”.

Amendment to the Railways (Accident Investigation and Reporting) Regulations 2005_I21

15. In regulation 2(1) of the Railways (Accident Investigation and Reporting) Regulations 2005(37) (interpretation), in the definition of “safety authority”, for “Health and Safety Executive” substitute “Office of Rail Regulation”.