Railway Safety Act 2005

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Acceptance of safety case by Commission.

46.—(1) (a) The Commission shall notify a railway undertaking of its acceptance of a safety case by issuing a certificate (“safety certificate”) to that undertaking.

(b) A safety certificate may contain such conditions as may be deemed appropriate by the Commission, including conditions restricting or prohibiting the operation of specified parts of the infrastructure or individual rolling stock or classes of rolling stock or restricting or prohibiting the provision of a specified railway service or services where, in the opinion of the Commission, not to do so would be in breach of the duty of the Commission under subsection (2).

(c) The form of safety certificates shall be decided by the Commission.

(2) The Commission shall only accept a safety case, or a revised safety case under section 48 , and issue a safety certificate under subsection (1) where the information contained in the safety case or the revised safety case is sufficient to satisfy the Commission that the undertaking is capable, subject to any conditions contained in the safety certificate, of carrying out its operations in compliance with the duty imposed on it under section 36 .

(3) Where the Commission is not satisfied in accordance with subsection (2) with a safety case or a revised safety case, the Commission shall, by notice in writing, require the railway undertaking concerned to—

(a) reconsider the information contained in the safety case or revised safety case and, if appropriate, re-examine and amend the safety management system described therein, and

(b) have any changes made by it to the safety case or revised safety case examined by a person engaged in accordance with section 45 (2) and to have a report of the examination prepared by such person.

(4) A railway undertaking in receipt of a notice under subsection (3) or in receipt of a safety certificate containing conditions in accordance with subsection (1)(b) may re-submit the safety case or revised safety case where, in the opinion of the railway undertaking—

(a) in the case of the notice, the issues raised by the Commission in the notice have been addressed, or

(b) in the case of a safety certificate containing conditions, the safety case or revised safety case has been amended to the extent that the conditions are no longer warranted.

(5) The Commission, in deciding whether or not to issue a safety certificate, for the purpose of satisfying itself under subsection (2), may request any additional information or clarifications from a railway undertaking and the undertaking shall comply with such a request.

(6) The re-submission of a safety case in accordance with subsection (4) shall be accompanied by a report prepared under subsection (3)(b).

(7) In considering a safety case or a revised safety case submitted by a railway undertaking, the Commission shall, in relation to the adequacy of the safety management system documented therein, have regard to the size and nature of the railway undertaking and, in particular—

(a) the nature, extent and complexity of its railway infrastructure and operations,

(b) its interaction, if any, with railway infrastructure or trains of other railway undertakings or with public roads, and

(c) the likely consequences for persons of any incident on its railway.

(8) The Commission shall issue a certificate under subsection (1) or a notice under subsection (3) as soon as practicable after it has completed its assessment but no later than 3 months after the date of receipt of the safety case or revised safety case or receipt of all information or clarifications requested under subsection (5).

(9) The acceptance of a safety case or a revised safety case by the Commission and the issuing of a safety certificate shall not be interpreted as relieving a railway undertaking of its duty under section 36 .

(10) The Commission may—

(a) refuse to issue a safety certificate where the Commission is not satisfied in accordance with subsection (2), or

(b) revoke a safety certificate issued under subsection (1) if the railway undertaking which is the holder of the certificate fails to comply with its safety case and the Commission considers that the railway undertaking cannot comply with its duty under section 36 .

(11) Where the Commission proposes to refuse or revoke a safety certificate in accordance with subsection (10), it shall notify the railway undertaking concerned of the proposal and the railway undertaking may, within 21 days of the notification, make representations to the Commission, which shall consider them.

(12) Where the Commission decides to refuse a safety certificate, or revoke the safety certificate issued by it, the railway undertaking concerned may, within 21 days of notification of the decision, appeal to the High Court and the refusal or revocation shall not take effect until the time allowed for such appeal has elapsed and, in the event of an appeal, until the appeal is determined or withdrawn.

(13) On hearing an appeal under subsection (12), the court may either confirm or vary the decision of the Commission or allow the appeal.

(14) A decision of the High Court on an appeal under subsection (12) shall be final, save that, by leave of the court, an appeal from the decision shall be to the Supreme Court on a specified point of law.

(15) A safety certificate shall remain in force until it is revoked by the Commission under subsection (10) or replaced by a new certificate.