Compliance with ROGS


This page explains how we check that dutyholders are complying with the requirements of ROGS and our processes for carrying out this work.

Compliance with ROGS

The Railways and Other Guided Transport Systems (Safety Regulations) 2006 (ROGS) were introduced across the industry in April 2006. Changes were made in 2011 and 2013. For further details, please see the ROGS page.

Inspectors assess that railway operators and railway infrastructure managers on the mainline railway are complying with the requirements by carrying out random inspections.

The reason for this is to check that dutyholders in the rail industry have management systems in place and that they are effective in controlling the health and safety risks. We also target risk areas of particular concern under what are called mandatory inspection programmes. In other words, we will visit the industry to check for very specific things related to ROGS, which is part of our wider health and safety strategy.

Safety critical tasks

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 become a safety critical worker must be supervised by a competent safety critical worker at all times.

What happens during an inspection or audit?

We will issue a safety certificate (or 'authorisation' for infrastructure managers) indicating that we have checked and approved their safety management system (SMS) and that they have the authority to operate.

An inspection plan will be prepared which will detail the topics for inspection over the validity period of the certificate or authorisation. The inspection plan will feature mandatory topics for inspection, issues arising from the assessment of the safety certificate or authorisation application and during its progression over time, also focus on actions arising from previous inspections, investigations and recommendations from RAIB and other investigatory bodies

Our regular inspection activities allow us to check compliance with other specific regulations, such as those relating to working at height, construction and design management. We focus on making sure that health and safety risks are controlled, so far as is reasonably practicable (or beyond if required by specific legislation).

General safety management system arrangements

We have developed a tool which will aid our judgement on the capability of dutyholders' health and safety management systems. This tool is known as the Risk Management Maturity Model (RM3).

We refer to our activities relating to management systems as TEMS – techniques for the evaluation of management systems. The overall purpose of TEMS is to identify whether the management arrangements provide and maintain risk-control systems that protect the safety of people affected by the organisation's activities. A lead inspector is able to build up a picture of an organisation's ability to deliver excellence in risk control using TEMS.  TEMS helps lead inspectors to have a consistent approach when evaluating this picture.

What happens after an inspection?

After an inspection, we provide advice and information to those being inspected, if appropriate. This is so that they are able to meet the requirements of ROGS. A report detailing the findings of the inspection will also be produced and sent to the dutyholder.

If we feel it is necessary, we may use our enforcement powers.