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SMS Guidance - key external resources

Below are a list of key external resources that will help your with your safety management systems.

Guide to ROGS

The ORR provides information describing the regulatory requirements for managing safety on the railways. This includes a link to the ORR’s Guide to ROGS.

The Railways and Other Guided Transport Systems (Safety) Regulations 2006 (as amended) (ROGS)

The Railway and Other Guided Transport Systems (Safety) Regulations 2006 (ROGS) came into force on 01 October 2006. ROGS place a duty on railway undertakings (RUs) and infrastructure managers (IMs) to:

  • Develop safety management systems that must meet certain requirements
  • Have a safety certificate (for RUs) or a safety authorisation (for IMs)
  • Show that they have procedures in place to introduce new or altered vehicles or infrastructure safely
  • Carry out risk assessments and put in place the measures they have identified as necessary to make sure that the transport system is run safely
  • Work together to make sure the transport system is run safely (ROGS regulation 22).

ROGS Schedule 1

All operators and duty holders are required to have in place arrangements for managing safety risks and monitoring the performance of their safety system. Schedule 1 of ROGS sets out the requirements for SMSs.

Safety Certificate and Safety Authorisation Assessment Manual

The ORR has produced a ROGS Safety certificate and Safety Authorisation Assessment Manual, which contains detailed information on the assessment process for applications.

ORR Assessment Criteria

The ORR has published guidance on the assessment criteria for mainline railway safety certification and the evidence required when applications for certificates or authorisations are submitted.

Managing for Health and Safety (HSG65)

Health and Safety management is integral to good management. HSG65 explains the Plan, Do, Check, Act approach, and how to achieve a balance between the systems and behavioural aspects of management.

Health and Safety at Work etc Act 1974

For straightforward guidance on how to comply with the health and safety law, go to The basics for your business.

The Health and Safety at Work etc Act 1974 is the primary piece of legislation covering occupational health and safety in Great Britain. It’s sometimes referred to as HSWA, the HSW Act, the 1974 Act or HASAWA.

It sets out the general duties which:

  • employers have towards employees and members of the public
  • employees have to themselves and to each other
  • certain self-employed have towards themselves and others

Management of Health and Safety at Work Regulations 1999 (MHSWR)

The Regulations were introduced to reinforce the Health and Safety at Work etc Act 1974. The MHSWR places duties on employers and employees including those who are clients, designers, principal contractors or other contractors.

Many of the duties overlap with those of CDM but where they go beyond CDM (for example concerning young people and expectant mothers) additional measures will be needed to comply fully with MHSWR.

Safety Management System Principles

Read more about the origin and evolution of SMSs in RSSB's Safety Management System Principles - Moving Beyond Compliance, archived on SPARK.

Haven’t found what you’re looking for?
Get in touch with our Lead SMS Specialist for further information.
Katy Haylett
Tel: 020 3142 5556
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