The Railways (Interoperability) Regulations 2006

Prospective

Explanatory Note

(This note is not part of the Regulations)

These Regulations give effect to three Directives concerning railway interoperability which have the purpose of establishing conditions for the inter-working (interoperability) of the trans-European rail system. They apply in relation to the United Kingdom parts of the trans-European rail system.

The Railways (Interoperability) (High-Speed) Regulations 2002 (S.I. 2002 No. 1166) (“High-Speed Regulations”) implemented Council Directive 96/48/EC of 23rd July 1996 on the interoperability of the trans-European high-speed rail system (“High-Speed Directive”) (O.J. No. L 235 17.9.97, p. 6 corrected by O.J. No. L 262, 16.10.96, p. 8).

These Regulations revoke the High-Speed Regulations and replace them, in consolidated Regulations, with regulations that in addition implement Directive 2001/16/EC of the European Parliament and of the Council of 19th March 2001 on the interoperability of the trans-European conventional rail system (“the Conventional Directive”) (O.J. No. L 110, 20.4.2001, p. 1), and Directive 2004/50/EC of the European Parliament and of the Council of 29th April 2004 (O.J. No. L 164, 30.4.2004, p. 114) which made amendments to both the High-Speed Directive and the Conventional Directive.

The UK part of the trans-European rail system, high-speed and conventional, is divided into subsystems (regulation 2 and Schedules 1 to 4).

Part 1 provides for interpretation and application of the Regulations. Regulation 1 provides for certain regulations to come into force on 20th March 2006 and the remainder on 2nd April 2006. The first date allows for consideration of derogations (regulation 6) and for the appointment of notified bodies by the Secretary of State (regulation 25). Regulation 2 (together with Schedules 1 to 10) deals with interpretation, including the definition of terms used in the Regulations. Regulation 3 applies the Regulations to the trans-European rail system in the UK and its constituent parts, namely subsystems and interoperability constituents. However, for those parts of the high-speed and conventional trans-European rail system not previously subject to the High-Speed Regulations, they do not apply to a placing in service of the relevant subsystem or placing on the market of a relevant interoperability constituent where that occurs before 1st August 2006.

In Part 2, regulations 4 and 5 restrict the placing in service of structural subsystems (e.g. infrastructure, rolling stock) that are new or have undergone major renewal or upgrade, to those authorised by the Safety Authority or ruled by the Competent Authority as not requiring authorisation. In Great Britain the Safety Authority is the Office of Rail Regulation, except in relation to the Channel Tunnel system where it is the Intergovernmental Commission. In Northern Ireland it is the Department for Regional Development in Northern Ireland (“DRDNI”). The Competent Authority means the Secretary of State (DfT) in Great Britain, except in relation to the Channel Tunnel system where it is the Intergovernmental Commission, and the DRDNI in Northern Ireland.

Regulation 4 requires that for those subsystems for which an authorisation is needed ('a project subsystem') an application to the Safety Authority for authorisation must be made with the complete technical file and the contracting entity’s verification declaration. In authorising the placing in service of a subsystem, the Safety Authority must be satisfied that the contracting entity (effectively the party procuring the work) has drawn up a verification declaration, and that the subsystem has been designed, constructed and installed so as to meet the essential requirements when so placed into service and is compatible with the rail system of which it is to be a part.

In the case of major upgrade or renewal works a decision must first be made by the Competent Authority as to whether an authorisation is needed for the subsystem to be placed in service. Regulation 5 makes provision for application to the Competent Authority for this decision, and the Authority is bound to require authorisation if there may be an adverse effect on safety. If authorisation is required, the Competent Authority can decide for conventional trans-European railways on the extent to which the requirements of relevant Technical Specifications for Interoperability (TSI) shall apply. (TSIs are standards drawn up by the Commission and notified national technical rules are standards notified by the United Kingdom to the Commission for use where the TSIs do not apply).

Regulation 6 allows for derogations from conformity with TSIs, whether for subsystems or interoperability constituents, in specified circumstances.

Regulation 7 specifies how the essential requirements are to be met by a subsystem where authorisation is required. This requires conformity with the relevant TSIs and notified national technical rules. Regulation 8 (read with Schedules 8 and 9) requires the contracting entity to appoint a notified body to carry out the verification assessment procedure and for the contracting entity to draw up a verification declaration where the conditions are satisfied. The contracting entity must be satisfied the essential requirements are met (regulation 7), the verification assessment procedure has been carried out and the technical file prepared (regulation 9), and that the notified body has drawn up a certificate of conformity (Schedule 9). Regulation 9 indicates the appropriate verification assessment procedure. Under regulation 10 a structural subsystem for which there is a verification declaration will be taken to meet the essential requirements unless there are reasonable grounds for believing it does not. Regulation 11 specifies the content of the technical file and provides for its retention and updating after it has been lodged with the contracting entity. Regulation 12 places obligations on the operator of an authorised subsystem that has been placed in service to continue to meet the essential requirements, TSIs and notified national technical rules. Regulations 13 and 14 permit the Safety Authority and the Competent Authority to charge for certain work (but not the Intergovernmental Commission for the Channel Tunnel system). Regulation 15 makes transitional provisions for projects not previously subject to the High-Speed Regulations and which are underway and have reached the design stage when the Regulations come into force. It provides for notified bodies to make use of other assessment work carried out before their appointment.

Part 3 (read with Schedule 7) contains requirements for `interoperability constituents'. These are elementary components of a subsystem (e.g. in relation to the rolling stock subsystem, wheels) that must satisfy certain requirements to be placed on the railway market for use in the trans-European rail system.

Regulation 16 provides that an EC declaration of conformity or suitability for use indicates the interoperability constituent satisfies the requirements, which are comprised in European specifications and TSIs. Regulation 17 provides a presumption that an interoperability constituent for which an EC declaration has been made satisfies the essential requirements and requisite standards. Regulation 18 (and Schedule 7) sets out the assessment procedure. Regulation 19 prohibits an interoperability constituent being placed on the Trans-European rail system market without the manufacturer of the constituent, or other appropriate person, having drawn up the EC declaration.

Regulation 20 places continuing requirements on an operator using an interoperability constituent on the trans-European rail system in the UK. Other provisions allow the drawing up of an EC declaration after the interoperability constituent has been placed on the market (regulation 21), provide for recognition of assessments carried out in other Member States (regulation 22) and notification to the Commission and other Member States where it appears to the Safety Authority that a declaration is incorrect (regulation 23).

Part 4 concerns the bodies responsible for assessing conformity of subsystems and interoperability constituents to the relevant standards (“notified bodies”) (regulation 24). Regulation 25 provides for their appointment. Regulation 26 places duties on notified bodies when appointed to carry out the appropriate assessment processes for subsystems and interoperability constituents. Regulation 27 makes provision for those cases where the notified body is not minded to draw up a certificate of conformity in relation to a project subsystem or confirm that an EC declaration in relation to an interoperability constituent can be drawn up. Regulation 28 requires notified bodies to consult with other notified bodies in the Community in a coordination group. Provision for the recovery of fees by notified bodies and the Secretary of State is contained in regulations 29 and 30.

Part 5 contains provisions for the keeping of registers of authorised rolling stock and infrastructure (regulations 31 and 32) and a National Vehicle Register (regulation 33). Authorised rolling stock vehicles are issued with an identification code.

Enforcement provisions are set out in Part 6. Regulations 34 and 35 provide for the Regulations to be enforced by the Office of Rail Regulation in Great Britain and the Health and Safety Executive for Northern Ireland in Northern Ireland, on the basis that for the purposes of enforcement the Regulations are to be treated as Health and Safety Regulations. Action in relation to interoperability constituents is provided by notices under regulations 36 and 37. A defence of due diligence is provided in regulation 38 and liabilities on persons other than the principal offender are imposed by regulation 39.

Part 6 contains supplementary provisions. In regulation 40 the High-Speed Regulations are revoked, subject to savings and transitional provisions for projects on the high-speed rail system.

A list of TSIs and of notified national technical rules applying in Great Britain can be obtained from the Department for Transport, Rail Standards & Safety, Zone 4/33 Great Minster House, 76 Marsham Street, London SW1P 4DR and those applying in Northern Ireland can be obtained from the Department for Regional Development, Railway Safety Team, River House, 48 High Street, Belfast, BT1 2AR.

A copy of the Regulatory Impact Assessment prepared in respect of these Regulations can be obtained from the Department for Transport, Rail Strategy Team, Zone 5/29 Great Minster House, 76 Marsham Street, London SW1P 4DR. It can also be accessed on the Office of Public Information website at www.opsi.gov.uk. A copy has been placed in the Library of each House of Parliament. A copy of the Transposition Note is also available from the Rail Strategy team at the Department for Transport, and both documents are also at www.dft.gov.uk/railways.