Stakeholder survey for the second post-implementation review of the Railways and Other Guided Transport Systems (Safety) Regulations 2006

Consultation status
Reviewing responses
Date of publication
Closing date

The Department for Transport (DfT) has commissioned the ORR to undertake a stakeholder survey about the impact and effectiveness of the Railways and Other Guided Transport Systems (Safety) Regulations 2006 (ROGS).

We are seeking views from anyone who has a duty under, or is affected by, the provisions established in ROGS as part of the post-implementation review (PIR) that we are carrying out on behalf of the of the Secretary of State for Transport. 

We are gathering information through a survey to provide a sound evidence base for us to assess the effectiveness of ROGS and whether changes are required.


Whilst the key focus of post-implementation reviews is on how well the Regulations are currently working, ORR and the Department for Transport would also like to hear about how they can be improved, and in particular how it can make use of opportunities arising from 1 January 2021, following the end of the Transition Period.   

What are ROGS?
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The Railways and Other Guided Transport Systems (Safety) Regulations 2006 (ROGS) (S.I. 2006/599) (as amended) provide the regulatory regime for rail safety in Great Britain, including the mainline railway, metros (including London Underground), tramways, light rail and heritage railways. 

ROGS require most railway operators (known as transport operators) to maintain a safety management system (SMS) and hold a safety certificate or authorisation indicating the SMS has been accepted by the ORR. 

ROGS also gives duties to those responsible for the safe maintenance of a vehicle and who are registered as an ‘entity in charge of maintenance’ (ECM). 

ROGS and the requirement for a post implementation review
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Regulation 34A of the Railways and Other Guided Transport Systems (Safety) Regulations 2006 [S.I. 2006/599]  (as amended) (ROGS) requires that by 26 August 2016 (and every five years thereafter) the Secretary of State. 

  • carries out a post implementation review (PIR) of ROGS; 
  • sets out the conclusions of the review in a report; and 
  • publishes the report. 

Who is carrying out the PIR?
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The Department for Transport (DfT) has commissioned the Office of Rail and Road (ORR) to undertake a survey which will be used by DfT to draw any conclusions or recommendations about ROGS should these be made. ORR previously carried out a PIR on behalf on of the Secretary of State in 2016. 

What is the purpose of the PIR?
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The purpose of the PIR is to analyse whether ROGS provides an appropriate level of regulation and to check that any regulatory burdens or costs on business remain proportionate to the objectives noted.The PIR process is an opportunity for stakeholders to express their views and experience of ROGS. The PIR will address: 

  • the extent to which the Regulations are achieving their intended effects; 
  • whether there have been any unintended effects; 
  • how well they are working and the reasons why; and 
  • any areas that could be improved

We have produced a survey and from this we hope to collect sufficient evidence to establish whether, and to what extent, ROGS: 

  • have achieved their original objectives; 
  • have objectives which are still valid;  
  • are still required and remain the best option for achieving those objectives; and  
  • can be improved to reduce the burden on business.  

Stakeholders’ views are critical to providing a sound evidence base to assess the effectiveness (or otherwise) of ROGS since they took effect in 2006. Evidence from the survey will be used in the review to support decisions about ROGS.  

When considering your survey responses it may be useful to bear in mind the objectives of ROGS. The ultimate objective of ROGS is to maintain national standards of rail safety and to strive for continuous improvement. Arising from this are the following subsidiary objectives for ROGS (which were determined by the requirement to implement the provisions of the Railway Safety Directive (Directive 2004/49) and the consolidation of the pre-existing national regulatory framework: 

The objectives from 2006 are as follows:

Objective 1: (a) transfer the mainline (including non-mainline railways operating over 25kph) railway industry from a system of railway safety cases to a system of safety certification and authorisation; and (b) ensuring the UK can respond to common safety targets in future; 

Objective 2: (a) reduce the number of railway operators that have to seek formal permission to work on the railway; (b) producing a minimum set of requirements for a SMS so that safety certification is more streamlined and better targeted, less bureaucratic and quicker for duty holders; and (c) redirecting inspection towards checking on the ground that operators are controlling their operational risks; 

Objective 3: (a) transport operators and infrastructure managers work together to ensure system safety; and (b) operators identify appropriate forms of cooperation that complement the measures they are taking to comply with their own safety duties; 

Objective 4: (a) removal of the requirement on the non-mainline railway for formal approval by ORR before introducing new or altered works, plant or equipment; and (b) replacing this requirement so that duty holders obtain safety verification from an independent competent person; 

Objective 5: (a) change the definition of ‘safety critical work’ from broad job titles to the actual tasks that are safety critical to the safety of the railway; (b) requiring  that safety critical tasks are carried out by a person assessed as being competent and fit for work; (c) remove the requirement for safety critical workers to carry a formal means of identification; and (d) require a change in approach from simply controlling the number of hours for preventing fatigue to one of requiring arrangements to be implemented that control risks such as the pattern of working hours and roster design; 

The objectives following amendments to ROGS in 2011 are as follows;

Objective 6: establish an entity in charge of maintenance (ECM) regime applicable to the UK, which complies with the Railway Safety Directive (as amended) and is consistent with ROGS; 

Objective 7: clarify in Part 4 of ROGS that “work” includes voluntary workers; 

Objective 8: establish a method of collecting accident data which complies with the Railway Safety Directive and is consistent with ROGS;   
The objectives following amendments to ROGS in 2013 are as follows;

Objective 9: establish an ECM certification regime applicable to the UK, which complies with the Railway Safety Directive and is consistent with ROGS by giving effect to European Commission Regulation (EU) 445/2011 on a system of certification of ECMs for freight wagons; 

Objective 10: provide clarification that those rail systems listed in Article 2(2) of the Railway Safety Directive are properly excluded from the mainline railway; 

Objective 11: remove the requirement for safety verification for mainline railway transport operators; 

Objective 12: remove the requirement for non-mainline transport operators to send annual safety reports to ORR; 

Objective 13: clarify that the monitoring arrangements of the controller of safety-critical work have to be suitable and sufficient; and  

Objective 14: make the 28-day consultation with an ‘affected party’ run concurrently with the four-month application assessment period for safety certificates and safety authorisations. 

Responding to the survey 

The survey is available from 12:00pm Monday 23 November and will run until 12:00am on Monday 18 January 2021. You can re-enter the survey from the same computer or device (using the same browser) to update your responses at any time before the survey closes. If you have any questions about the survey, or the PIR process, or if you would prefer to complete a Word version of the survey, please contact:

We would be grateful for responses which are as comprehensive as possible and especially those which provide evidence and examples of how ROGS operate in practice and affect your business or operations. We may contact individual respondents to seek further clarification on their answers, if necessary.  

Publishing your response
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We plan to publish all responses to this consultation on our website.

Should you wish for any information that you provide to be treated as confidential, please be aware that this may be subject to publication, or release to other parties or to disclosure, in accordance with the access to information regimes. These regimes are primarily the Freedom of Information Act 2000 (FOIA), the General Data Protection Regulation (GDPR,) the Data Protection Act 2018 (DPA) and the Environmental Information Regulations 2004.

Under the FOIA, there is a statutory code of practice with which public authorities must comply and which deals, amongst other things, with obligations of confidence. In view of this, if you are seeking confidentiality for information you are providing, please explain why. If we receive a request for disclosure of the information, we will take full account of your explanation, but we cannot give an assurance that confidentiality can be maintained in all circumstances. An automatic confidentiality disclaimer generated by your IT system will not, of itself, be regarded as binding on ORR.

If you are seeking to make a response in confidence, we would also be grateful if you would annex any confidential information, or provide a non-confidential summary, so that we can publish the non-confidential aspects of your response.

Any personal data you provide to us will be used for the purposes of this consultation and will be handled in accordance with our privacy notice which sets out how we comply with the General Data Protection Regulation and Data Protection Act 2018.


In responding to this consultation you consent to us:

  • handling your personal data for the purposes of this consultation;
  • publishing your response on our website (unless you have indicated to us that you wish for your response to be treated as confidential as set out above.)

Your consent to either of the above can be withdrawn at any time. Further information about how we handle your personal data and your rights is set out in our privacy notice.

Format of responses

So that we are able to apply web standards to content on our website, we would prefer that you email us your response either in Microsoft Word format or OpenDocument Text (.odt) format. ODT files have a fully open format and do not rely on any specific piece of software.

If you send us a PDF document, please:

  • create it directly from an electronic word-processed file using PDF creation software (rather than as a scanned image of a printout); and
  • ensure that the PDF's security method is set to no security in the document properties.