PART III General Provisions

16 Structural subsystems: screening decisions
1 A contracting entity shall unless satisfied that those works constitute upgrading of the relevant rail network scheme—
(a) before—
(i) entering into a contract with another person for major works in relation to, or
(ii) commencing major work himself on,
an existing structural subsystem or part of a structural subsystem which changes the performance of that structural subsystem; or
(b) within three months of the coming into force of these Regulations, where he has—
(i) already contracted with another person for major works in relation to an existing structural subsystem or part of a structural subsystem which changes the performance of that structural subsystem and those works have not been completed, or
(ii) has himself commenced major works on an existing structural subsystem or part of a structural subsystem which changes the performance of that structural subsystem and these works have not been completed,
make a request in writing to the supervisory authority for a decision as to whether or not those works constitute upgrading of a rail network scheme (a “screening decision”) for the purpose of these Regulations.
2 Any question as to whether proposed works constitute major works that change the performance of a structural subsystem shall be determined by the supervisory authority.
3 A request made pursuant to paragraph (1) shall be accompanied by the following information—
(a) a description of the nature and scope of the proposed works;
(b) the dates when the works are due to commence, finish and be placed into service;
(c) in relation to works in Great Britain falling under paragraph (1)(b), a list of any approvals given by the Executive under the Railways and Other Transport Systems (Approval of Works, Plant and Equipment) Regulations 1994;
S.I.1994/157, amended by S.I.1997/553.
(d) if it is likely that the contracting entity will in relation to the works—
(i) seek not to conform with the whole or part of a TSI pursuant to regulation 15, or
(ii) make an application for an exemption pursuant to regulation 13(5),
a description of the nature and extent of any such proposed non-conformity or exemption; and
(e) an implementation plan in respect of the works.
4 If the supervisory authority considers that the information provided by the contracting entity in or with a request made under paragraph (1) is insufficient to enable it to make a screening decision the supervisory authority shall notify the contracting entity in writing of the additional information that it considers it requires in order to make that decision.
5 On receiving a notification under paragraph (4), the contracting entity shall provide the supervisory authority with such of the additional information specified in that notification as the contracting entity is reasonably able to supply and, where any of the additional information so specified is not provided, a written explanation as to why the contracting entity is unable to provide that information.
6 In making its screening decision, the factors the supervisory authority shall take into account shall include—
(a) the implementation strategy provided in any relevant TSI; and
(b) the scale of the proposed works.
7 If the supervisory authority considers that the proposed works would be likely to affect the overall level of safety of the relevant rail network scheme or any part of it, its screening decision shall be that the works constitute an upgrade of that structural subsystem for the purpose of these Regulations.
8 The supervisory authority shall notify the contracting entity of its screening decision in writing.
9 If the supervisory authority decides that the proposed works constitute upgrading of the rail network schemes for the purpose of these Regulations, the supervisory authority shall give reasons for that decision in the notification given under paragraph (8).
10 If at any stage of the execution of the works there is a change in the information provided by the contracting entity to the supervisory authority under paragraphs (3) or (5), the contracting entity shall notify the supervisory authority of that change and the supervisory authority shall then consider whether that change affects the screening decision given under paragraph (8).
11 If the supervisory authority considers that the change notified under paragraph (10) affects the screening decision the supervisory authority shall confirm or vary that decision and the requirements of paragraphs (8) and (9) will apply to that confirmation or variation.
12 At the same time as the contracting entity sends to the supervisory authority the information required by paragraphs (3), (5) and (10) it shall send a copy of that information to the Authority.
13 For the purpose of this regulation “implementation plan” means a description of how a contracting entity will manage and undertake the works, the interface of infrastructure with rolling stock, and the impact of the works on other persons who may be affected by those works.