Entities in charge of maintenance

This page gives an overview of the requirements for a person or organisation responsible for the maintenance of rail vehicles (known as an entity in charge of maintenance).

The Railways and Other Guided Transport Systems (Safety) Regulations 2006 (ROGS) were amended by:

  • the Railways and Other Guided Transport System (Safety) (Amendment) Regulations 2011; and
  • the Railways and Other Guided Transport Systems (Miscellaneous Amendments) Regulations 2013.

The amendments are mainly concerned with:

  • assigning an 'entity in charge of maintenance' (ECM) to a railway vehicle and making sure that the entity in charge of maintenance is registered on the national vehicle register (NVR);
  • introducing a formal maintenance system for an entity in charge of maintenance to make sure that the rail vehicles it is responsible for are safely maintained; and
  • if the vehicle is a freight wagon, the ECM must obtain an ECM certificate.

These changes are incorporated into the unofficial consolidated version of ROGS.

Our guidance, A Guide to ROGS, has been amended to include a new chapter (Chapter 8) on entities in charge of maintenance.

What are the requirements?

Regulation 18A of ROGS requires that no person may place in service or use a vehicle on the mainline railway unless that vehicle has an entity in charge of maintenance (ECM) assigned to it, and that entity in charge of maintenance is registered as such in the National Vehicle Register. For example, a Train Operating Company leasing passenger wagons has to make sure that there is an ECM registered against the wagons in the NVR before it begins to haul the wagons.

Each ECM has to ensure that, through a system of maintenance, a vehicle for which is it responsible is safe to run on the mainline railway. The system of maintenance is the maintenance of a vehicle in accordance with:

  • the maintenance file for that vehicle;
  • applicable maintenance rules; and
  • applicable Technical Specifications for Interoperability.

If the vehicle is a freight wagon the ECM must obtain an ECM certificate.

All ECMs must comply with the CSM for Monitoring (Commission Regulation (EU) 1078/2012).  ECMs for freight wagons must also comply with the CSM for risk evaluation and assessment.

What vehicles does regulation 18A apply to?

Regulation 18A of ROGS applies to all vehicles on the mainline railway. So, that includes freight wagons, passenger rolling stock, locomotives, etc.

Further guidance on regulation 18A of ROGS can be found in the Rail Guidance Document.

Do I need an ECM certificate?

If you are an ECM for vehicles other than freight wagons, you will not need an ECM certificate until such time as the European Commission has reviewed the certification system for freight wagons and a decision has been made to put a measure in place. Article 7 of Directive (EU) 2016/798 (the recast Railway Safety Directive) requires that the European Union Agency for Railways evaluates the system of certification of freight wagons ECMs, consider the expediency of extending that system to all vehicles and submit its report to the Commission by 16 June 2018.

If you are an ECM for freight wagons you will need to obtain an ECM certificate from a certification body in accordance with the system of certification for freight wagons.

What is the system of certification for freight wagons?

The European Commission has adopted Regulation EU/445/2011 (the ECM Regulation) on a system of certification for ECMs for freight wagons. This applies to any ECM for freight wagons to be used on the EU railway network. The ECM Regulation is directly applicable in all EU Member States. The purpose of the system of certification is to provide evidence that an ECM has established its maintenance system and can meet the requirements set out in the ECM Regulation.

If I am an ECM for freight wagons, how do I apply for a certificate?

An ECM responsible for freight wagons can apply to ORR for a certificate. The ECM can also apply to a certification body accredited, either by the United Kingdom Accreditation Service (UKAS) or by a National Accreditation Body in another Member State, to carry out this work. A list of certification bodies can be found on ERADIS.

ORR as a certification body

ORR has produced A summary guide for applicants, for those who wish to apply to us for an ECM certificate. This briefly explains how to make an application ( DOC 82 Kb).

We have also produced an Assessment criteria and guidance manual, which provides ORR inspectors with advice and guidance on how to assess applications for a certificate. An additional document: Engineering plans for ECM certificates, which accompanies the assessment criteria and guidance manual, is a tool to provide consistency when inspectors assess applications against Annex III of the ECM Regulation. Applicants may also find these documents useful for providing evidence to support their application.

There is also a guide to surveillance assessments.

On 31 May 2018 ORR will cease to be an ECM certification body. That means that from that date we will no longer issue any certificates or carry out surveillance activities. Further details are set on in our decision document.

Where can I find ECM certificates issued by ORR?

The list of ECM certificates issued by us contains dates of issue plus links to the certificates.  All ECM certificates issued across the European Union can be found on ERADIS.