Safety certificates and safety authorisations

Under ROGS, no one is able to operate vehicles or manage infrastructure on the UK railway unless they have obtained the appropriate safety certificate or authorisation.

Those operating vehicles require a certificate, and those who operate infrastructure require a safety authorisation. If a train operator also manages infrastructure (or vice versa), they will need both a certificate and an authorisation.

All mainline operators require a certificate/authorisation. However, some lower risk non-mainline operations (such as heritage railways) do not need one but they still need a safety management system. For more information about operators that do not require a certificate/authorisation please read our page on exclusions from mainline railway requirements.

For mainline railways, the safety certificate is issued according to a European harmonised format and comprises of two parts:

• Part A – a 'European portable' certificate demonstrating that the National Safety Authority (the Office of Rail and Road in Great Britain) has accepted the generic SMS components. This sets out the organisation's general safety management arrangements.

• Part B – a certificate demonstrating that the National Safety Authority has accepted the national provisions adopted by a railway operator.

For non-mainline operators, there is only one certificate.

Some trains are run on both mainline and non-mainline railways. Because a lot of the information needed is the same, you can apply for one certificate in one application to run on both (the application needs to be clear about which parts of it apply to the mainline railway and which parts apply to the non-mainline railway).

Mainline transport undertakings that also run on non-mainline infrastructure should apply for a mainline certificate. The mainline certificate will cover operation on both types of infrastructure.

Non-mainline transport undertakings that also run on the mainline infrastructure should apply for a non-mainline certificate. Such non-mainline operators must also show that their safety management systems are adequate for operation on the mainline railway.

Where a holder of an existing mainline or non-mainline certificate proposes to operate a tram-train service on the mainline railway and they have not previously done so, this is likely to constitute a material change to their safety certificate and they must show that their safety management systems are adequate for tram-train operation on the mainline railway. Tram-trains will need a non-mainline certificate when they operate on the mainline railway.

Applicants should read the following document which provides information about the legislation, application process and what is required from the applicant:

• A guide to ROGS

To apply for a mainline safety certificate or authorisation, applicants are required to complete the application form.

• Mainline safety certificate application form (ODT version) 
• Mainline safety authorisation application form (ODT version)

Applicants for a non-mainline safety certificate or authorisation are not required to complete an application form but they must provide written confirmation of the type of certificate or authorisation they are applying for, and evidence that the safety management system is able to meet the assessment criteria.

Upon submission of an application, the timescales for assessment will be around four months and we will then notify the applicant whether we will award the certificate or authorisation, or refuse the application.

Once awarded, the certificate or authorisation is valid for up to 5 years.

The list of safety certificates and safety authorisations issued (mainline and non-mainline) contains dates of issue plus hyperlinks to the certificates/authorisations. All certificates and authorisations listed are currently valid.

Unless otherwise indicated, the reasons for issue will be that the applicant has provided sufficient evidence that its safety management system (SMS) meets the requirements of the Regulations, and that provisions adopted by it meet the requirements necessary for safe operation. Where these reasons differ, or there are specific considerations, or the application has been rejected or revoked, links will also be provided to copies of the letters we sent to the applicants/holders. Correspondence related to decisions is available, on request, to the public.

In view of the Department for Transport's (DfT) timescales, it is necessary for all preferred bidders for a new franchise to prepare an application for a safety certificate (and safety authorisation, if appropriate) before the winning bidder is announced.

The winning bidder must then submit their application to ORR within 3 days of the DfT announcement.

All bidders are advised to contact us early in the process to discuss an application.