This document must be read in conjunction with Guideline 01: The Main Document, which addresses all definitions and standards used in the set of documents and guidelines.

• The Implementing Regulation of the Railway Transport System requires that railway service providers, such as franchise owners, licensees, contractors, and railway operators, comply with the necessary safety arrangements to ensure the safety of the railways and the associated facilities. The Railway Transport System and its Implementing Regulation impose on railway service providers the obligation to "develop a safety and risk management system and maintain their records as specified by the Transport General Authority."

• The purpose of the safety certificate is:

  • To provide a level of verification and assurance that the operation of railway activities is conducted in accordance with policies, processes, management systems, and applied plans that may meet the requirements of the Transport General Authority in this regard.

  • To ensure that the railways have provided adequate arrangements for safety procedures in terms of available resources during normal, limited, and emergency operations.

• The issuance of a safety certificate does not constitute evidence or acceptance by the Transport General Authority that the railway entity holding the certificate has fully completed or is fulfilling its safety obligations; rather, the licensee remains responsible for the safety of the railways, and the authority verifies this through the continuity, follow-up, and monitoring of compliance.

• The applicant must submit a complete and fulfilled application to the authority in order to obtain a safety certificate. The authority will review the application along with the accompanying operational safety status before making any decision regarding the issuance of the safety certificate or its rejection.

• Applicants are not permitted to engage in any activities related to the operation of trains or the operation or maintenance of railway infrastructure, stations, or facilities without a valid safety certificate issued by the authority.

• Railway service providers requesting a safety certificate include the following aspects:

  • 1- Infrastructure: Operation, maintenance, renewal, and development of the railway network or parts of the network (contractors for construction or maintenance do not require licenses, but must be managed by a licensed entity).
    2- Passengers: Operation of passenger transport services by trains.
    3- Freight: Operation of railway freight services.
    4- Workshops: Operation of one or more workshops for the maintenance of railway infrastructure or maintenance of trains and railway cars, or transport and assembly, or freight station yards, or railways connected to the dry port.
    5- Station: Operation of one or more passenger service stations.
    6- Metro: Operation of an urban railway line or within cities, including subway lines and surface lines.
    7- Light rail or tram lines: Operation of a light railway line or tramway (where some or all operations may occur on roads accessible by road vehicles).
    8- Other guided modes: Operation of other guided transport models and means, including but not limited to monorails, automated passenger transport (APM), personal rapid transit, hyperloop rapid transit, and maglev rapid transit systems.

• Typically, the institution/entity owning the service responsible directly for the safety and performance of the concerned railways is the one applying for the safety certificate. This applies even if subcontracting all or part of its operations to other companies. If the applicant does not have the necessary expertise to operate the railway safely, the authority will consider providing evidence and guidance to assist them in securing this expertise to ensure the safe operation of the railways. The authority may also decide to impose licensing conditions requiring the establishment and maintenance of certain contractual arrangements throughout the duration of the safety certificate to ensure the availability of the necessary expertise for safe operation.

• The authority will not issue an operating license unless the applicant has obtained a safety certificate issued by the authority. The railway safety certificate will enforce compliance with the appropriate standards issued by the authority, such as those listed in Guide 05: Safety Management System.

• The Implementing Regulation of the Railway Transport System specifies the conditions for obtaining an operating license for railway services, including obtaining a safety certificate. The Transport General Authority will also require the appointment of an independent consultant/specialized entity (independent authorized person/consultant) to ensure the approval of the design, construction, and operation arrangements of newly constructed or modified railways in accordance with international best practices.

• All applicants for the safety certificate must ensure early and adequate communication and consultation with the Authority. This guide specifies the minimum requirements and conditions that the applicant must provide to submit a claim for a safety certificate from the Authority. The guide also provides guidance on the following:

  • - Submitting the required and appropriate documents when applying for the safety certificate.

  • - Developing and documenting the safety case of their operations and safety management system to ensure regulatory compliance.

  • - Conducting continuous self-assessment checks for compliance to ensure ongoing improvement in safety performance.

• Applicants must submit a request to the Transport General Authority to obtain a new or amended safety certificate as follows:

  • When wishing to engage in any activities related to the operation of trains or the operation or maintenance of the infrastructure of railway lines, stations, and facilities for the first time.

  • Before submitting a request for an operating license.

  • Before the expiration of the existing safety certificate.

  • Before commencing the testing of trains on the existing infrastructure that is currently in service.

  • Before introducing new or upgraded infrastructure to an existing and operational line.

  • Following necessary changes to operations, which have been notified to the authority and requested by the authority to be carried out.

  • At any time the authority requests such action.

• Any operator of railway infrastructure or a station must not allow another operator to enter their network unless that other operator has a valid and relevant safety certificate issued and approved by the Transport General Authority.

• The claim submitted for obtaining a safety certificate must be in the form and format specified by the authority and must comply with the requirements set forth in this evidence. This claim must contain sufficient information and documents that must prove compliance with the acceptance criteria for issuing the safety certificate in a manner that convinces and satisfies the authority.

• The authority employs a systematic process to evaluate the claim submitted for a new, modified, or revised safety certificate. The review process establishes a set of specific requirements on which the claim will be evaluated. This includes:

  • A completed application form.

  • Documented operational safety status.

  • Design and safety verification.

  • A detailed description of the railway systems.

  • Safety management system.

  • Implementation plan for the safety management system.

  • Risk register.

  • Any other evidence and supporting documents that the authority may deem necessary to support the claim (such as operational, maintenance, and training plans).

• Appointment of an authorized independent consultant (ICP) (see evidence 07: Appointment of an Independent Specialist Consultant) to confirm that the applicant complies with the requirements outlined above by providing verification and confirmation documents and certificates issued by the independent specialist consultant.

• When the claim pertains to the expiration of an existing certificate, the applicant must also include in the details of the new claim any changes related to the information previously submitted to the authority.

• Applicants may submit individual claims related to different aspects of the service they provide (for example, as a train operator and as a station operator) or submit a joint claim. However, it must be clarified in this case that this is the intent, and sufficient details about each aspect of the operation must be provided to clarify how they comply with the relevant evaluation criteria.

• The applicant must provide the authority with details about the person(s) who received their claim, along with the address and date of the sent mail. Additionally, at the time of submitting their claim, the applicant must nominate a responsible person from within their organization to coordinate and communicate directly with the authority regarding all matters related to the claim. This person is typically at the level of Senior Manager or First Manager. ... etc.

• All claims, including supporting documents as outlined in the application form, must be submitted to the authority in two paper copies (2 copies) in addition to being submitted electronically/digitally on two separate USB flash drives.