The Railways (Interoperability) (High-Speed) Regulations 2002

Explanatory Note

(This note is not part of the Regulations)

These Regulations implement in relation to the whole of the United Kingdom, Council Directive 96/48/EC of 23rd July 1996 on the interoperability of the trans-European high-speed rail system (O.J. No. L235, 17.9.97, p.6 as corrected by O.J. 1262, 16.10.96. p.18). The purpose of that Directive is to bring about the inter-working (interoperability) of rolling stock on the trans-European high-speed rail system and, in particular to introduce common standards of construction across the EC. The Regulations apply to the United Kingdom lines on the high-speed trans-European rail system (“the rail network schemes”).

In Part I, regulation 1 provides for the Regulations to come into force on 16th May 2002 and regulation 2 (together with Schedules 1 to 7) deals with interpretation, including the definition of terms used in the Regulations. Regulation 3 provides for the Regulations to apply to the basic “structural subsystems” related to the rail network schemes (such as rolling stock and signalling) and their elementary components, called “interoperability constituents” (such as, in relation to rolling stock, the wheels), other than structural subsystems that are placed into service, or interoperability constituents that are placed on the market, within three months of the coming into force of the Regulations.

Part II relates to the bodies (“notified bodies”) responsible for assessing the conformity of structural subsystems and interoperability constituents to the relevant standards. Regulation 4 defines these as bodies appointed either by the Authority (the Strategic Rail Authority in Great Britain, and the Department for Regional Development in Northern Ireland), or by another Member State in accordance with the Directive. Regulation 5 and Schedule 7 provide for the appointment and termination of appointment of bodies appointed by the Authority, and regulations 6 to 8 impose duties on them. Regulation 9 provides for fees to be charged by notified bodies for work carried out under the Regulations, and regulation 10 provides for fees to be charged by the Strategic Rail Authority in relation to the appointment of notified bodies in Great Britain.

Part III (read with Schedules 4, 5 and 6), contains general requirements in relation to the placing on the market of interoperability constituents by manufacturers or their agents (“persons responsible”) and the placing into service of structural subsystems by the persons who procured, or themselves undertook, their construction (“contracting entities”).

Regulation 11 (read with Schedule 4), prohibits the placing on the market of an interoperability constituent by the person responsible unless it meets the “essential requirements” (set out in Schedule 3). This is evidenced by a conformity declaration or a suitability declaration, or both, drawn up by the person responsible, following the assessment of the interoperability constituent against European specifications or notified standards by a notified body. Regulation 12 imposes requirements on others to comply with regulation 10 where the person responsible has not done so.

Regulation 13 (read with Schedules 5 and 6), sets out the duties to be fulfilled by a contracting entity when manufacturing, or contracting with another person for the manufacture of a structural subsystem. The contracting entity is required to draw up a verification declaration in respect of the structural subsystem. Before it may do so the contracting entity must appoint a notified body to assess the conformity of the structural subsystem with Technical Specifications for Interoperability (TSIs) or, in their absence, “notified standards” and compile a technical file (TSIs are standards drawn up by the Commission and notified standards are standards notified by the United Kingdom to the Commission for use where the TSIs do not apply). Before the verification declaration can be drawn up, the contracting entity must also be satisfied that the structural subsystem meets the essential requirements, that a “certificate of conformity” has been drawn up by the notified body and that the technical file is complete.

Regulation 14 prohibits the placing into service of structural subsystems that have been constructed or upgraded (other than certain exempted categories of high-speed rolling stock) until the “supervisory authority” (the Health and Safety Executive in Great Britain, and the Department for Regional Development in Northern Ireland) has given an authorisation. The supervisory authority cannot give an authorisation unless satisfied that the structural subsystem has been designed, constructed and installed so as not to hinder satisfaction of the essential requirements when installed as part of the rail network schemes, the technical file is complete and the verification declaration has been properly drawn up. The supervisory authority may require further checks to be carried out by a contracting entity before considering the application for authorisation further. Regulation 15 sets out certain exemptions from the need to conform with TSIs. Regulation 16 provides for a screening decision to be made by the supervisory authority as to whether major works in relation to an existing structural subsystem constitute “upgrading” for the purposes of the Regulations. Regulation 17 permits stages of upgrading work to be used before an authorisation for the project is given where a staged works decision undertaken by the supervisory authority so determines. Regulation 18 permits the supervisory authority to charge a fee for work undertaken in Great Britain pursuant to regulations 14, 16 and 17.

Part IV relates to the assessment procedures to be carried out in relation to interoperability constituents and subsystems.

Regulations 19 and 20 specify the appropriate conformity or suitability for use assessment and verification assessment procedures. Regulation 21 describes the circumstances under which interoperability constituents and structural subsystems are to be taken to meet the requirements of the Regulations.

Part V contains miscellaneous provisions in respect of interoperability constituents and structural subsystems.

Regulation 22 regulates the procedure for obtaining accessibility compliance certificates. Regulation 23 imposes duties on persons operating interoperability constituents, and regulations 24 and 25 imposes ongoing duties in respect of the operation of structural subsystems. Regulation 26 requires the maintenance of registers in respect of structural subsystems.

Regulation 27 provides for the notification by the Secretary of State to the Commission of United Kingdom notified standards.

Regulations 28 and 29 provide for the notification by the Secretary of State to the Commission of, respectively, notices served on the contracting entity under regulation 33 and additional checks required by regulation 14(5).

Regulation 29 provides for interoperability constituents from other Member States to be recognised in the United Kingdom.

Part VI relates to enforcement. Regulations 31 and 32 provide for the Regulations to be enforced by the Health and Safety Executive in Great Britain and by the Health and Safety Executive for Northern Ireland in Northern Ireland. A defence of due diligence is provided in regulation 34 and the liabilities on persons other than the principal offender are imposed by regulation 35.

In Part VII, regulation 36 makes some consequential amendments.

In Part VIII (transitional provisions and revocations), regulation 37 revokes, subject to transitional provisions, the Railways (Interoperability) (Notified Bodies) Regulations 2000.

A list of TSIs and of notified standards applying in Great Britain can be obtained from the Strategic Rail Authority, 55 Victoria Street, London, SW1H 0EU.

A list of TSIs and of notified standards applying in Northern Ireland can be obtained from the Department for Regional Development, River House, 48 High Street, Belfast, BT1 2AR.

A copy of the regulatory impact assessment prepared in respect of these Regulation can be obtained from the Railways Directorate, Department for Transport, Local Government and the Regions, Zone 3/33, Great Minster House, 76 Marsham Street, London, SW1P 4DR. A copy has been placed in the library of each House of Parliament.