Rail and road regulatory law
This page provides summaries of the main pieces of primary and secondary legislation (in chronological order) which are relevant to ORR's regulatory functions.
Legislation is published on http://www.legislation.gov.uk/. Acts and Regulations may have been amended since they were passed.
Rail regulatory law
Health and Safety at Work etc. Act 1974 (HSWA)
This is the fundamental piece of health and safety legislation. It places general duties on employers, people in control of premises, manufacturers and employees. Health and safety regulations made under HSWA contain more detailed provisions.
HSWA provides the framework for the regulation of industrial health and safety in the UK which is relevant to ORR as the health and safety regulator for the rail industry.
The Level Crossings Act 1983
This Act provides for level crossing orders to be made which contain detailed provisions for the protection of level crossing users.
Railways Act 1993 (RA93)
This Act contains most of our functions including, but not limited to:
- access agreements;
- review of access charges; and
It also contains our section 4 statutory duties which we must take into account in exercising our economic functions.
Reporting of Injuries, Diseases and Dangerous Occurrence Regulations 1995 (RIDDOR)
These regulations require dutyholders to notify ORR of significant health and safety incidents on the railways.
The Competition Act 1998
This legislation prohibits certain kinds of commercial behaviour because of the harm it causes to consumers and competition generally. We enforce the Competition Act 1998 where this type of behaviour involves services relating to the railways.
More information can be found in our competition section.
Transport Act 2000
This Act has been largely superseded by the Railways Act 2005. It amended the RA93 enabling ORR in certain circumstances to require the operators or owners of railway facilities to provide new or improved facilities.
The Enterprise Act 2002
This Act contains provisions relating to competition and consumer protection law. It provides ORR with the power to refer rail-related markets that are not working well for consumers to the Competition Commission.
The Act also gives ORR the responsibility for dealing with 'super-complaints' made by consumer bodies about problems in rail-related markets.
Railway and Transport Safety Act 2003
This Act abolished the Rail Regulator and created the Office of Rail Regulation.
Pursuant to the Office of Rail Regulation (Change of Name) Regulations 2015, ORR’s name was changed to the Office of Rail and Road.
Railways Act 2005
The Railways Act 2005 largely amends the RA93. The Act makes a number of changes to our regulatory framework, including:
- a change to the statutory framework for periodic reviews of access charges;
- transferring responsibility for rail-specific health and safety regulation from the Health and Safety Executive to us;
- creation of additional functions for us, including a role in dealing with statutory closures;
- transferring responsibility for monitoring and enforcing the licence conditions concerning consumer protection from the Strategic Rail Authority; and
- providing advice and assistance to the Secretary of State for Transport, Scottish Ministers and the National Assembly for Wales.
Railway (Licensing of Railway Undertakings) Regulations 2005
These regulations give ORR the authority to issue European licences and Statements of National Provisions (SNRPs). European licences are valid across Europe while SNRPs are only relevant to the UK.
More information can be found in our licensing section.
The Railways and Other Guided Transport Systems (Safety) Regulations 2006 (ROGS)
These regulations implement EU safety requirements for railway operators and infrastructure managers. ROGS requires that those with responsibility for safety must maintain a safety management system and hold a safety certificate/authorisation issued by ORR, before being allowed to operate.
ROGS also makes provision for the safe design of new vehicles and infrastructure, imposes controls on safety critical work and, following amendments in 2011, makes provision for entities in charge of maintenance of railway vehicles.
More information can be found in our ROGS section.
The Health and Safety (Enforcing Authority for Railways and Other Guided Transport Systems) Regulations 2006 (EARR)
EARR makes us the enforcing authority for HSWA in relation to the operation of a railway. This gives us the power to serve enforcement notices, and prosecute for breaches in health and safety law affecting the railways.
The Railway Safety Levy Regulations 2006
These regulations give ORR the authority to raise a levy from all railway service providers to fund railway safety functions.
The Railways (Interoperability) Regulations 2011
These regulations implement European Directives which have the purpose of establishing common operational standards and practices across European railways. ORR is responsible for issuing interoperability authorisations.
Localism Act 2011
The Localism Act 2011 requires local planning authorities, ORR and other public bodies to cooperate in planning processes, by engaging "constructively, actively and on an ongoing basis" to develop strategic policies. In particular, the duty:
- relates to sustainable development or use of land that would have a significant impact on at least two local planning areas or on a planning matter that falls within the remit of a county council;
- requires that councils set out planning policies to address such issues; and
- requires councils to consider joint approaches to plan making.
For further information, please read our guidance . PDF, 92 Kb
Railways (Access, Management and Licensing of Railway Undertakings) Regulations 2016
These Regulations implement European Directives which open up access to networks and service facilities. They also contain provisions relating to access, infrastructure management and allocation of capacity and charging. The regulations give applicants a right of appeal to ORR if they believe they have been unfairly treated, discriminated against or are in any other way aggrieved or against a decision made by an infrastructure manager, service provider or railway undertaking in relation to certain matters.
The Railways (Infrastructure Access, Management and Licensing of Railway Undertakings) Regulations (Northern Ireland) 2016
These Regulations implement the above European Directives in respect of Northern Ireland and contain broadly similar provisions on access, infrastructure management and allocation of capacity and charging. Similarly, these Regulations give applicants a right of appeal to ORR if they believe they have been unfairly treated, discriminated against or are in any other way aggrieved or against a decision made by an infrastructure manager, service provider or railway undertaking in relation to certain matters.
Road regulatory law
Our Monitor role encompasses holding Highways England to account and taking enforcement action where we consider it appropriate. ORR can only enforce against Highways England in relation to its compliance with its Road Investment Strategy and Statutory Directions and Guidance issued by the Secretary of State in the form of a licence.
The main piece of legislation which is relevant to ORR’s Monitor functions is the Infrastructure Act 2015.
Infrastructure Act 2015 (IA 2015)
This is the fundamental piece of legislation relevant to ORR’s Monitor functions. In particular it sets out the role and function of a Strategic Highways Company and the scope of ORR’s Monitor role and the duties with which ORR must comply.
The IA 2015 provides the framework for ORR’s monitoring of Highways England as a Strategic Highways Company.