The Railways (Interoperability) Regulations 2006

Prospective

Regulation 2(2)

SCHEDULE 1 U.K. (This Schedule reproduces the provisions of Annex I to the High-Speed Directive)

Commencement Information

I1 Sch. 1 in force at 20.3.2006, see reg. 1(2)

THE TRANS-EUROPEAN HIGH-SPEED RAIL SYSTEM U.K.

THE INFRASTRUCTURE U.K.

1.  The infrastructure of the trans-European high-speed rail system shall be that of the lines of the trans-European transport network identified in Decision No. 1692/96/EC of the European Parliament and of the Council of 23rd July 1996 on Community guidelines for the development of the trans-European transport network(1) or listed in any update of that Decision as a result of the revision provided for in Article 21 of that Decision.

• The high-speed lines shall comprise—

  • specially built high-speed lines equipped for speeds generally equal to or greater than 250 km/h,

  • specially upgraded high-speed lines equipped for speeds of the order of 200 km/h,

  • specially upgraded high-speed lines which have special features as a result of topographical, relief or town-planning constraints, on which the speed must be adapted to each case.

• This infrastructure includes traffic management, tracking and navigation systems: technical installations for data processing and telecommunications intended for passenger services on these lines in order to guarantee the safe and harmonious operation of the network and efficient traffic management.

THE ROLLING STOCK U.K.

2.  The rolling stock referred to in this Directive shall comprise trains designed to operate—

• either at speeds of at least 250 km/h on lines specially built for high speeds, while enabling operation at speeds exceeding 300 km/h in appropriate circumstances,

• or at speeds of the order of 200 km/h on the lines of section 1, where compatible with the performance levels of these lines.

COMPATIBILITY OF THE TRANS-EUROPEAN HIGH-SPEED RAIL SYSTEM U.K.

3.  The quality of rail services in Europe depends, inter alia, on excellent compatibility between the characteristics of the infrastructure (in the broadest sense, ie the fixed parts of all the subsystems concerned) and those of the rolling stock (including the onboard components of all the subsystems concerned).

Regulation 2(2)

SCHEDULE 2 U.K. (This Schedule reproduces the provisions of Annex I to the Conventional Directive)

Commencement Information

I2 Sch. 2 in force at 20.3.2006, see reg. 1(2)

THE TRANS-EUROPEAN CONVENTIONAL RAIL SYSTEM U.K.

INFRASTRUCTURE U.K.

1.  The infrastructure of the trans-European conventional rail system will be that on the lines of the trans-European transport network identified in Decision No. 1692/96/EC of the European Parliament and of the Council of 23rd July 1996 on Community guidelines for the development of the trans-European transport network(2) or listed in any update to the same Decision as a result of the revision provided for in Article 21 of that Decision.

• For the purposes of this Directive, this network may be subdivided into the following categories—

  • lines intended for passenger services;

  • lines intended for mixed traffic (passengers and freight);

  • lines specially designed or upgraded for freight services;

  • passenger hubs;

  • freight hubs, including intermodal terminals;

  • lines connecting the abovementioned elements.

• This infrastructure includes traffic management, tracking, and navigation systems: technical installations for data processing and telecommunications intended for long-distance passenger services and freight services on the network in order to guarantee the safe and harmonious operation of the network and efficient traffic management.

ROLLING STOCK U.K.

2.  The rolling stock will comprise all the stock likely to travel on all or part of the trans-European conventional rail network, including—

• self-propelling thermal or electric trains;

• thermal or electric traction units;

• passenger carriages;

• freight wagons, including rolling stock designed to carry lorries.

• Mobile railway infrastructure construction and maintenance equipment is included but is not the first priority.

• Each of the above categories is subdivided into—

  • rolling stock for international use;

  • rolling stock for national use.

COMPATIBILITY OF THE TRANS-EUROPEAN CONVENTIONAL RAILWAY SYSTEM U.K.

3.  The quality of rail services in Europe depends, inter alia, on excellent compatibility between the characteristics of the infrastructure (in the broadest sense, ie the fixed parts of all the subsystems concerned) and those of the rolling stock (including the onboard components of all the subsystems concerned).erformance levels, safety, quality of service and cost depend upon that compatibility.

EXTENSION OF THE SCOPE U.K.

1.  Subcategories of lines and rolling stock

In order to deliver interoperability cost-effectively further subcategories of all categories of lines and rolling stock mentioned in this Annex will, where necessary, be developed. If necessary, the functional and technical specifications mentioned in Article 5(3) may vary according to the subcategory.

2.  Cost safeguards

• The cost-benefit analysis of the proposed measures will take into consideration, among others, the following—

  • cost of the proposed measure,

  • reduction of capital costs and charges due to economies of scale and better utilisation of rolling stock,

  • reduction of investment and maintenance/operating costs due to increased competition between manufacturers and maintenance companies,

  • environmental benefits, due to technical improvements of the rail system,

  • increase of safety in operation.

• In addition, this assessment will indicate the likely impact for all the operators and economic agents involved.

Regulation 2(2)

SCHEDULE 3 U.K. (This Schedule reproduces the provisions of Annex II to the High-Speed Directive)

Commencement Information

I3 Sch. 3 in force at 20.3.2006, see reg. 1(2)

SUBSYSTEMS OF THE TRANS-EUROPEAN HIGH-SPEED RAIL SYSTEM U.K.

SUBSYSTEMS U.K.

LIST OF SUBSYSTEMS U.K.

1.  For the purposes of this Directive, the system constituting the trans-European high-speed rail system may be broken down into the following subsystems:

(a) either structural areas:

• infrastructure,

• energy,

• control and command and signalling,

• traffic operation and management,

• rolling stock,

(b) or operational areas:

• maintenance,

• telematics applications for passenger and freight services.

AREAS TO BE COVERED U.K.

2.  For each subsystem, the list of aspects relating to interoperability is indicated in the mandates for drawing up TSIs given to the Agency.

• Under Article 6(1), these mandates shall be established in accordance with the procedure set out in Article 21(2).

• Where necessary, the list of aspects relating to interoperability indicated in the mandates is specified by the Agency in accordance with Article 5(3)(c).

Regulation 2(2)

SCHEDULE 4 U.K. (This Schedule reproduces Annex II to the Conventional Directive)

Commencement Information

I4 Sch. 4 in force at 20.3.2006, see reg. 1(2)

SUBSYSTEMS OF THE TRANS-EUROPEAN CONVENTIONAL RAIL SYSTEM U.K.

LIST OF SUBSYSTEMS U.K.

1.  For the purposes of this Directive, the system constituting the trans-European conventional rail system may be broken down into the following two subsystems, either:

(a) structural areas:

• infrastructure;

• energy;

• control and command and signalling;

• traffic operation and management;

• rolling stock; or

(b) operational areas:

• maintenance;

• telematics applications for passenger and freight services.

DESCRIPTION OF THE SUBSYSTEMS U.K.

2.  For each subsystem or part of a subsystem, the list of constituents and aspects relating to interoperability is proposed by the joint representative body at the time of drawing up the relevant draft TSI.

Without prejudging the choice of aspects and constituents relating to interoperability or the order in which they will be made subject to TSIs, the subsystems include, in particular:

2.1  Infrastructure:

• The track points, engineering structures (bridges, tunnels, etc.), associated station infrastructure (platforms, zones of access, including the needs of persons with reduced mobility, etc.), safety and protective equipment.

2.2  Energy:

The electrification system, overhead lines and current collectors.

2.3  Control and command and signalling:

All the equipment necessary to ensure safety and to command and control movements of trains authorised to travel on the network.

2.4  Traffic operation and management:

• The procedures and related equipment enabling a coherent operation of the different structural subsystems, both during normal and degraded operation, including in particular train driving, traffic planning and management.

• The professional qualifications which may be required for carrying out cross-border services.

2.5  Telematics applications:

In accordance with Annex I, this subsystem comprises two elements:

(a) applications for passenger services, including systems providing passengers with information before and during the journey, reservation and payment systems, luggage management and management of connections between trains and with other modes of transport;

(b) applications for freight services, including information systems (real-time monitoring of freight and trains), marshalling and allocation systems, reservation, payment and invoicing systems, management of connections with other modes of transport and production of electronic accompanying documents.

2.6  Rolling stock:

Structure, command and control system for all train equipment, traction and energy conversion units, braking, coupling and running gear (bogies, axles, etc.) and suspension, doors, man/machine interfaces (driver, on-board staff and passengers, including the needs of persons with reduced mobility), passive or active safety devices and requisites for the health of passengers and on-board staff.

2.7  Maintenance:

The procedures, associated equipment, logistics centres for maintenance work and reserves allowing the mandatory corrective and preventive maintenance to ensure the interoperability of the rail system and guarantee the performance required.

Regulation 2(2)

SCHEDULE 5 U.K. (This Schedule reproduces Annex III to the High-Speed Directive)

Commencement Information

I5 Sch. 5 in force at 20.3.2006, see reg. 1(2)

ESSENTIAL REQUIREMENTS FOR THE TRANS-EUROPEAN HIGH-SPEED RAIL SYSTEM U.K.

ESSENTIAL REQUIREMENTS U.K.

1.  General requirements

1.1  Safety

1.1.1  The design, construction or assembly, maintenance and monitoring of safety-critical components, and more particularly of the components involved in train movements must be such as to guarantee safety at the level corresponding to the aims laid down for the network, including those for specific degraded situations.

1.1.2  The parameters involved in the wheel/rail contact must meet the stability requirements needed in order to guarantee safe movement at the maximum authorized speed.

1.1.3  The components used must withstand any normal or exceptional stresses that have been specified during their period in service. The safety repercussions of any accidental failures must be limited by appropriate means.

1.1.4  The design of fixed installations and rolling stock and the choice of the materials used must be aimed at limiting the generation, propagation and effects of fire and smoke in the event of a fire.

1.1.5  Any devices intended to be handled by users must be so designed as not to impair their safety if used foreseeably in a manner not in accordance with the posted instructions.

1.2.  Reliability and availability

The monitoring and maintenance of fixed or movable components that are involved in train movements must be organized, carried out and quantified in such a manner as to maintain their operation under the intended conditions.

1.3  Health

1.3.1  Materials likely, by virtue of the way they are used, to constitute a health hazard to those having access to them must not be used in trains and railway infrastructures.

1.3.2  Those materials must be selected, deployed and used in such a way as to restrict the emission of harmful and dangerous fumes or gases, particularly in the event of fire.

1.4  Environmental protection

1.4.1  The repercussions on the environment of the establishment and operation of the trans-European high-speed rail system must be assessed and taken into account at the design stage of the system in accordance with the Community provisions in force.

1.4.2  The materials used in the trains and infrastructures must prevent the emission of fumes or gases which are harmful and dangerous to the environment, particularly in the event of fire.

1.4.3  The rolling stock and energy-supply systems must be designed and manufactured in such a way as to be electromagnetically compatible with the installations, equipment and public or private networks with which they might interfere.

1.5  Technical compatibility

The technical characteristics of the infrastructures and fixed installations must be compatible with each other and with those of the trains to be used on the trans-European high-speed rail system. If adherence to these characteristics proves difficult on certain sections of the network, temporary solutions, which ensure compatibility in the future, may be implemented.

2.  Requirements specific to each subsystem

2.1  Infrastructures

2.1.1  Safety

• Appropriate steps must be taken to prevent access to or undesirable intrusions into installations on lines travelled at high speed.

• Steps must be taken to limit the dangers to which persons are exposed, particularly in stations through which trains pass at high speed.

• Infrastructures to which the public has access must be designed and made in such a way as to limit any human health hazards (stability, fire, access, evacuation, platforms, etc.).

• Appropriate provisions must be laid down to take account of the particular safety conditions in very long tunnels.

2.2  Energy

2.2.1  Safety

• Operation of the energy-supply systems must not impair the safety either of high-speed trains or of persons (users, operating staff, trackside dwellers and third parties).

2.2.2  Environmental protection

• The functioning of the energy-supply systems must not interfere with the environment beyond the specified limits.

2.2.3  Technical compatibility

• The electricity supply systems used throughout the trans-European high-speed rail system must:

  • enable trains to achieve the specified performance levels;

  • be compatible with the collection devices fitted to the trains.

2.3  Control and command and signalling

2.3.1  Safety

The control and command and signalling installation and procedures used on the trans-European high-speed rail system must enable trains to travel with a level of safety which corresponds to the objectives set for the network.

2.3.2  Technical compatibility

• All new high-speed infrastructures and all new high-speed rolling stock manufactured or developed after adoption of compatible control and command and signalling must be tailored to the use of those systems.

• The control and command and signalling equipment installed within the train drivers' cabs must permit normal operation, under the specified conditions, throughout the trans-European high-speed rail system.

2.4  Rolling stock

2.4.1  Safety

• The rolling-stock structures and those of the links between vehicles must be designed in such a way as to protect the passenger and driving compartments in the event of collision or derailment. The electrical equipment must not impair the safety and functioning of the control and command and signalling installations.

• The braking techniques and the stresses exerted must be compatible with the design of the tracks, engineering structures and signalling systems.

• Steps must be taken to prevent access to electrically-live constituents in order not to endanger the safety of persons.

• In the event of danger devices must enable passengers to inform the driver and accompanying staff to contact him.

• The access doors must incorporate an opening and closing system which guarantees passenger safety.

• Emergency exits must be provided and indicated.

• Appropriate provisions must be laid down to take account of the particular safety conditions in very long tunnels.

• An emergency lighting system having a sufficient intensity and duration is an absolute requirement on board trains.

• Trains must be equipped with a public address system which provides a means of communication to the public from on-board staff and ground control.

2.4.2  Reliability and availability

The design of the vital equipment and the running, traction and braking equipment and also the control and command system must, in a specific degraded situation, be such as to enable the train to continue without adverse consequences for the equipment remaining in service.

2.4.3  Technical compatibility

• The electrical equipment must be compatible with the operation of the control and command and signalling installations.

• The characteristics of the current-collection devices must be such as to enable trains to travel under the energy-supply systems for the trans-European high-speed rail system.

• The characteristics of the rolling stock must be such as to allow it to travel on any line on which it is expected to operate.

2.4.4  Controls

Trains must be equipped with a recording device. The data collected by this device and the processing of the information must be harmonised.

2.5  Maintenance

2.5.1  Health

The technical installations and the procedures used in the maintenance centres must not constitute a danger to human health.

2.5.2  Environmental protection

The technical installations and the procedures used in the maintenance centres must not exceed the permissible levels of nuisance with regard to the surrounding environment.

2.5.3  Technical compatibility

The maintenance installations on high-speed trains must be such as to enable safety, health and comfort operations to be carried out on all trains for which they have been designed.

2.6  Environment

2.6.1  Health

Operation of the trans-European high-speed rail system must remain within the statutory noise-nuisance limits.

2.6.2  Environmental protection

Operation of the trans-European high-speed rail system must not cause a level of ground vibrations which is unacceptable for activities and the immediate environment in the vicinity of the infrastructure and in a normal state of maintenance.

2.7  Operation

2.7.1  Safety

• Alignment of the network operating rules and the qualifications of drivers and on-board staff must be such as to ensure safe international operation.

• The operations and maintenance intervals, the training and qualifications of maintenance staff and the quality assurance system set up in the maintenance centres of the operators concerned must be such as to ensure a high level of safety.

2.7.2  Reliability and availability

The operation and maintenance periods, the training and qualifications of the maintenance staff and the quality assurance system set up by the operators concerned in the maintenance centres must be such as to ensure a high level of system reliability and availability.

2.7.3  Technical compatibility

The alignment of the operating rules of the networks and the qualifications of drivers, on-board staff and managers in charge of traffic must be such as to ensure operating efficiency on the trans-European high-speed rail system.

Regulation 2(2)

SCHEDULE 6 U.K. (This Schedule reproduces Annex III to the Conventional Directive)

Commencement Information

I6 Sch. 6 in force at 20.3.2006, see reg. 1(2)

ESSENTIAL REQUIREMENTS FOR THE TRANS-EUROPEAN CONVENTIONAL RAIL SYSTEM U.K.

GENERAL REQUIREMENTS U.K.

1.1  Safety

1.1.1  The design, construction or assembly, maintenance and monitoring of safety-critical components and, more particularly, of the components involved in train movements must be such as to guarantee safety at the level corresponding to the aims laid down for the network, including those for specific degraded situations.

1.1.2  The parameters involved in the wheel/rail contact must meet the stability requirements needed in order to guarantee safe movement at the maximum authorised speed.

1.1.3  The components used must withstand any normal or exceptional stresses that have been specified during their period in service. The safety repercussions of any accidental failures must be limited by appropriate means.

1.1.4  The design of fixed installations and rolling stock and the choice of the materials used must be aimed at limiting the generation, propagation and effects of fire and smoke in the event of a fire.

1.1.5  Any devices intended to be handled by users must be so designed as not to impair the safe operation of the devices or the health and safety of users if used foreseeably in a manner not in accordance with the posted instructions.

1.2  Reliability and availability

The monitoring and maintenance of fixed or movable components that are involved in train movements must be organised, carried out and quantified in such a manner as to maintain their operation under the intended conditions.

1.3  Health

1.3.1  Materials likely, by virtue of the way they are used, to constitute a health hazard to those having access to them must not be used in trains and railway infrastructure.

1.3.2  Those materials must be selected, deployed and used in such a way as to restrict the emission of harmful and dangerous fumes or gases, particularly in the event of fire.

1.4  Environmental protection

1.4.1  The environmental impact of establishment and operation of the trans-European conventional rail system must be assessed and taken into account at the design stage of the system in accordance with the Community provisions in force.

1.4.2  The materials used in the trains and infrastructure must prevent the emission of fumes or gases which are harmful and dangerous to the environment, particularly in the event of fire.

1.4.3  The rolling stock and energy-supply systems must be designed and manufactured in such a way as to be electromagnetically compatible with the installations, equipment and public or private networks with which they might interfere.

1.4.4  Operation of the trans-European conventional rail system must respect existing regulations on noise pollution.

1.4.5  Operation of the trans-European conventional rail system must not give rise to an inadmissible level of ground vibrations for the activities and areas close to the infrastructure and in a normal state of maintenance.

1.5  Technical compatibility

• The technical characteristics of the infrastructure and fixed installations must be compatible with each other and with those of the trains to be used on the trans-European conventional rail system.

• If compliance with these characteristics proves difficult on certain sections of the network, temporary solutions, which ensure compatibility in the future, may be implemented.

REQUIREMENTS SPECIFIC TO EACH SUBSYSTEM U.K.

2.1  Infrastructure

2.1.1  Safety

• Appropriate steps must be taken to prevent access to or undesirable intrusions into installations.

• Steps must be taken to limit the dangers to which persons are exposed, particularly when trains pass through stations.

• Infrastructure to which the public has access must be designed and made in such a way as to limit any human safety hazards (stability, fire, access, evacuation, platforms, etc.).

• Appropriate provisions must be laid down to take account of the particular safety conditions in very long tunnels.

2.2  Energy

2.2.1  Safety

Operation of the energy-supply systems must not impair the safety either of trains or of persons (users, operating staff, trackside dwellers and third parties).

2.2.2  Environmental protection

The functioning of the electrical or thermal energy-supply systems must not interfere with the environment beyond the specified limits.

2.2.3  Technical compatibility

The electricity/thermal energy supply systems used must:

• enable trains to achieve the specified performance levels;

• in the case of electricity energy supply systems, be compatible with the collection devices fitted to the trains.

2.3  Control and command and signalling

2.3.1  Safety

The control and command and signalling installations and procedures used must enable trains to travel with a level of safety which corresponds to the objectives set for the network. The control and command and signalling systems should continue to provide for safe passage of trains permitted to run under degraded conditions.

2.3.2  Technical Compatibility

• All new infrastructure and all new rolling stock manufactured or developed after adoption of compatible control and command and signalling systems must be tailored to use of those systems.

• The control and command and signalling equipment installed in the train drivers' cabs must permit normal operation, under the specified conditions, throughout the trans-European conventional rail system.

2.4  Rolling stock

2.4.1  Safety

• The structure of the rolling stock and of the links between vehicles must be designed in such a way as to protect the passenger and driving compartments in the event of collision or derailment.

• The electrical equipment must not impair the safety and functioning of the control and command and signalling installations.

• The braking techniques and the stresses exerted must be compatible with the design of the track, engineering structures and signalling systems.

• Steps must be taken to prevent access to electrically-live constituents in order not to endanger the safety of persons.

• In the event of danger, devices must enable passengers to inform the driver and accompanying staff to contact him.

• The access doors must incorporate an opening and closing system which guarantees passenger safety.

• Emergency exits must be provided and indicated.

• Appropriate provisions must be laid down to take account of the particular safety conditions in very long tunnels.

• An emergency lighting system of sufficient intensity and duration is compulsory on board trains.

• Trains must be equipped with a public address system which provides a means of communication to the public from on-board staff and ground control.

2.4.2  Reliability and availability

The design of the vital equipment, of the running, traction and braking equipment and of the control and command system must be such as to enable the train to continue its mission, in a specific degraded situation, without adverse consequences for the equipment remaining in service.

2.4.3  Technical compatibility

• The electrical equipment must be compatible with the operation of the control and command and signalling installations.

• In the case of electric traction, the characteristics of the current-collection devices must be such as to enable trains to travel under the energy-supply systems for the trans-European conventional rail system.

• The characteristics of the rolling stock must be such as to allow it to travel on any line on which it is expected to operate.

2.4.4  Controls

Trains must be equipped with a recording device. The data collected by this device and the processing of the information must be harmonised.

2.5  Maintenance

2.5.1  Health and safety

The technical installations and the procedures used in the centres must ensure the safe operation of the subsystem and not constitute a danger to health and safety.

2.5.2  Environmental protection

The technical installations and the procedures used in the maintenance centres must not exceed the permissible levels of nuisance with regard to the surrounding environment.

2.5.3  Technical compatibility

The maintenance installations for conventional rolling stock must be such as to enable safety, health and comfort operations to be carried out on all stock for which they have been designed.

2.6  Operation and traffic management

2.6.1  Safety

• Alignment of the network operating rules and the qualifications of drivers and on-board staff and of the staff in the control centres must be such as to ensure safe operation, bearing in mind the different requirements of cross-border and domestic services.

• The maintenance operations and intervals, the training and qualifications of the maintenance and control centre staff and the quality assurance system set up by the operators concerned in the control and maintenance centres must be such as to ensure a high level of safety.

2.6.2  Reliability and availability

The maintenance operations and periods, the training and qualifications of the maintenance and control centre staff and the quality assurance system set up by the operators concerned in the control and maintenance centres must be such as to ensure a high level of system reliability and availability.

2.6.3  Technical compatibility

Alignment of the network operating rules and the qualifications of drivers, on-board staff and traffic managers must be such as to ensure operating efficiency on the trans-European conventional rail system, bearing in mind the different requirements of cross-border and domestic services.

2.7  Telematics applications for freight and passengers

2.7.1  Technical compatibility

• The essential requirements for telematics applications guarantee a minimum quality of service for passengers and carriers of goods, particularly in terms of technical compatibility.

• Steps must be taken to ensure:

  • that the databases, software and data communication protocols are developed in a manner allowing maximum data interchange between different applications and operators, excluding confidential commercial data;

  • easy access to the information for users.

2.7.2  Reliability and availability

The methods of use, management, updating and maintenance of these databases, software and data communication protocols must guarantee the efficiency of these systems and the quality of the service.

2.7.3  Health

The interfaces between these systems and users must comply with the minimum rules on ergonomics and health protection.

2.7.4  Safety

Suitable levels of integrity and dependability must be provided for the storage or transmission of safety-related information.

Regulation 2(2)

SCHEDULE 7 U.K. (This Schedule substantially reproduces the provisions of Annex IV to the High-Speed Directive and to the Conventional Directive)

Commencement Information

I7 Sch. 7 in force at 2.4.2006, see reg. 1(3)

CONFORMITY AND SUITABILITY FOR USE OF INTEROPERABILITY CONSTITUENTS U.K.

INTEROPERABILITY CONSTITUENTS U.K.

1.  The “EC” declaration applies to the interoperability constituents involved in the interoperability of the trans-European high-speed rail systems and the trans-European conventional rail system, as referred to in Article 3 of the High-Speed Directive and Article 3 of the Conventional Directive.These interoperability constituents may be:

1.1  Multiple-use constituents

These are constituents that are not specific to the trans-European high-speed or trans-European conventional rail systems and which may be used as such in other areas.

1.2  Multiple-use constituents having specific characteristics

These are constituents which are not, as such, specific to the trans-European high-speed or trans-European conventional rail systems, but which must display specific performance levels when used for railway purposes.

1.3  Specific constituents

These are constituents that are specific to railway applications.

SCOPE U.K.

2.  The “EC” declaration covers:

• either the assessment by a notified body or bodies of the intrinsic conformity of an interoperability constituent, considered in isolation, to the technical specifications to be met;

• or the assessment/judgement by a notified body or bodies of the suitability for use of an interoperability constituent, considered within its railway environment and, in particular in cases where the interfaces are involved, in relation to the technical specifications, particularly those of a functional nature, which are to be checked.

The assessment procedures implemented by the notified bodies at the design and production stages will draw upon the modules defined in Decision 93/465/EEC(3), in accordance with the conditions referred to in the TSIs.

CONTENTS OF THE `EC' DECLARATION U.K.

3.  The `EC' declaration of conformity or of suitability for use and the accompanying documents must be dated and signed.

That declaration must be written in the same language as the instructions and must contain the following:

• the Directive references;

• the name and address of the manufacturer or his authorised representative established within the Community (give trade name and full address, in the case of the authorised representative, also give the trade name of the manufacturer or constructor);

• description of interoperability constituent (make, type, etc.);

• description of the procedure followed in order to declare conformity or suitability for use (Article 13 of the High-Speed Directive or Article 13 of the Conventional Directive);

• all the relevant descriptions met by the interoperability constituent and, in particular, its conditions of use;

• name and address of the notified body or bodies involved in the procedure followed in respect of conformity or suitability for use and date of examination certificate together with, where appropriate, the duration and conditions of validity of the certificate;

• where appropriate, reference to the European specifications;

• identification of the signatory empowered to enter into commitments on behalf of the manufacturer or of the manufacturer’s authorised representative established within the Community.

Regulation 2(2)

SCHEDULE 8 U.K. (This Schedule substantially reproduces the provisions of Annex V to the High-Speed Directive and to the Conventional Directive)

Commencement Information

I8 Sch. 8 in force at 2.4.2006, see reg. 1(3)

DECLARATION OF VERIFICATION OF SUBSYSTEMS U.K.

The EC declaration of verification and the accompanying documents must be dated and signed.

That declaration must be written in the same language as the technical file and must contain the following:

• the Directive references;

• name and address of the contracting entity or its authorised representative established within the Community (give trade name and full address; in the case of the authorised representative, also give the trade name of the contracting entity);

• a brief description of the subsystem;

• name and address of the notified body which conducted the EC verification referred to in Article 18 of the High-Speed Directive or Article 18 of the Conventional Directive;

• the references of the documents contained in the technical file;

• all the relevant temporary or definitive provisions to be complied with by the subsystems and in particular, where appropriate, any operating restrictions or conditions;

• if temporary: duration of validity of the EC declaration;

• identity of the signatory.

Regulation 2(2)

SCHEDULE 9 U.K. (This Schedule substantially reproduces, with minor modifications, the provisions of Annex VI to the High-Speed Directive and to the Conventional Directive)

Commencement Information

I9 Sch. 9 in force at 2.4.2006, see reg. 1(3)

VERIFICATION PROCEDURE FOR SUBSYSTEMS U.K.

INTRODUCTION U.K.

1.  EC verification is the procedure whereby a notified body checks and certifies, at the request of a contracting entity or of its authorised representative established within the Community, that a subsystem:

• complies with the High-Speed Directive or the Conventional Directive;

• complies with the other regulations deriving from the Treaty, and

• may be put into operation.

STAGES U.K.

2.  The subsystem is checked at each of the following stages:

• overall design;

• construction of subsystem, including, in particular, civil-engineering activities, constituent assembly, overall adjustment;

• final testing of the subsystem.

CERTIFICATE U.K.

3.  The notified body responsible for EC verification draws up the certificate of conformity intended for the contracting entity or its authorised representative established within the Community, which in turn draws up the EC declaration of verification intended for the supervisory authority in the Member State in which the subsystem is located and/or operates.

TECHNICAL FILE U.K.

4.  The technical file accompanying the declaration of verification must be made up as follows:

• for infrastructure: engineering-structure plans, approval records for excavations and reinforcement, testing and inspection reports on concrete;

• for the other subsystems: general and detailed drawings in line with execution, electrical and hydraulic diagrams, control-circuit diagrams, description of data-processing and automatic systems, operating and maintenance manuals, etc.;

• list of interoperability constituents, as referred to in Article 3 of the High-Speed Directive or Article 3 of the Conventional Directive, incorporated into the subsystem;

• copies of the EC declarations of conformity or suitability for use with which the abovementioned constituents must be provided in accordance with Article 13 of the High-Speed Directive or Article 13 of the Conventional Directive and accompanied, where appropriate, by the corresponding calculation notes and a copy of the records of the tests and examinations carried out by the notified bodies on the basis of the common technical specifications;

• the certificate from the notified body responsible for EC verification, accompanied by corresponding calculation notes and countersigned by itself, stating that the project complies with the applicable Directive, and mentioning any reservations recorded during performance of the activities and not withdrawn; the certificate should also be accompanied by the inspection and audit reports drawn up by the same body in connection with its task, as specified in sections 5.3 and 5.4.

MONITORING U.K.

5.1  The aim of EC monitoring is to ensure that the obligations deriving from the technical file have been met during production of the subsystem.

5.2  The notified body responsible for checking production must have permanent access to building sites, production workshops, storage areas and, where appropriate, prefabrication or testing facilities and, more generally, to all premises which it considers necessary for its task. The contracting entity or its authorised representative within the Community must send it or have sent to it all the documents needed for that purpose and, in particular, the implementation plans and technical documentation concerning the subsystem.

5.3  The notified body responsible for checking implementation must periodically carry out audits in order to confirm compliance with the High-Speed Directive or Conventional Directive. It must provide those responsible for implementation with an audit report. It may require to be present at certain stages of the building operations.

5.4  In addition, the notified body may pay unexpected visits to the worksite or to the production workshops. At the time of such visits the notified body may conduct complete or partial audits. It must provide those responsible for implementation with an inspection report and, if appropriate, an audit report.

SUBMISSION U.K.

6.  The complete file referred to in paragraph 4 must be lodged with the contracting entity or its authorised agent established within the Community in support of the certificate of conformity issued by the notified body responsible for verification of the subsystem in working order. The file must be attached to the EC declaration of verification which the contracting entity sends to the Safety Authority.

A copy of the file must be kept by the contracting entity throughout the service life of the subsystem. The file must be sent to any other Member State that requests a copy.

PUBLICATION U.K.

7.  Each notified body must periodically publish relevant information concerning:

• requests for EC verification received;

• certificates of conformity issued;

• certificates of conformity refused.

LANGUAGE U.K.

8.  The files and correspondence relating to the EC verification procedures must be written in English or in a language accepted by the contracting entity.

Reg 2(2)

SCHEDULE 10 U.K. (This Schedule substantially reproduces the provisions of Annex VII to the High-Speed Directive and to the Conventional Directive)

Commencement Information

I10 Sch. 10 in force at 20.3.2006, see reg. 1(2)

MINIMUM CRITERIA WHICH MUST BE TAKEN INTO ACCOUNT BY THE MEMBER STATES WHEN NOTIFYING BODIES U.K.

1.  The body, its Director and the staff responsible for carrying out the checks may not become involved, either directly or as authorised representatives, in the design, manufacture, construction, marketing or maintenance of the interoperability constituents or subsystems or in their use. This does not exclude the possibility of an exchange of technical information between the manufacturer or constructor and that body. U.K.

2.  The body and the staff responsible for the checks must carry out the checks with the greatest possible professional integrity and the greatest possible technical competence and must be free of any pressure and incentive, in particular of a financial type, which could affect their judgement or the results of their inspection, in particular from persons or groups of persons affected by the results of the checks. In particular, the body and the staff responsible for the checks must be functionally independent of the authorities designated to issue authorisations for placing in service in the framework of the High-Speed Directive or the Conventional Directive, licences in the framework of Council Directive 95/18/EC of 19th June 1995 on the licensing of railway undertakings(4) and safety certificates in the framework of Directive 2004/49/EC(5), and of the bodies in charge of investigations in the event of accidents. U.K.

3.  The body must employ staff and possess the means required to perform adequately the technical and administrative tasks linked with the checks; it should also have access to the equipment needed for exceptional checks. U.K.

4.  The staff responsible for the checks must possess: U.K.

• proper technical and vocational training;

• a satisfactory knowledge of the requirements relating to the checks that they carry out and sufficient practice in those checks;

• the ability to draw up the certificates, records and reports which constitute the formal record of the inspections conducted.

5.  The independence of the staff responsible for the checks must be guaranteed. No official must be remunerated either on the basis of the number of checks performed or of the results of those checks. U.K.

6.  The body must take out civil liability insurance unless that liability is covered by the State under national law or unless the checks are carried out directly by that Member State. U.K.

7.  The staff of the body are bound by professional secrecy with regard to everything they learn in the performance of their duties (with the exception of the competent administrative authorities in the State where they perform those activities) in pursuance of the High-Speed Directive or of the Conventional Directive and any provision of national law implementing those Directives. U.K.

Regulation 2(3)

SCHEDULE 11 U.K. HIGH-SPEED RAIL SYSTEM

Commencement Information

I11 Sch. 11 in force at 20.3.2006, see reg. 1(2)

The lines that in the United Kingdom form part of the trans-European high-speed rail system are—

(a) the part of the Channel Tunnel railway line passing through the Channel Tunnel system;

(b) the Channel Tunnel Rail Link from London St Pancras station to Cheriton;

(c) London Euston station to Glasgow Central station, via Nuneaton, Stafford, Crewe, Preston, Penrith, Carstairs and Polmadie;

(d) Colwich Junction to Stone station;

(e) Norton Bridge to Manchester Piccadilly station via Macclesfield;

(f) Crewe station to Stockport station via Wilmslow;

(g) Weaver Junction to Liverpool Lime Street station via Runcorn;

(h) Carstairs South Junction to Edinburgh Waverley station via Cobbinshaw Summit and Haymarket;

(i) London King’s Cross station to Edinburgh Waverley station via Peterborough, Doncaster, York and Newcastle;

(j) London Paddington station to Cardiff Central station via Badminton;

(k) Wootton Bassett Junction to Bristol Temple Meads station via Bath; and

(l) Stoke Gifford Junction to Bristol Temple Meads station via Filton Abbey Wood.

(1)

OJ L 228, 9.9.1996, p. 1. Decision amended by Decision 1346/2001/EC (OJ L 185, 6.7.2001, p. 1) and by Decision 884/2004/EC (OJ L 167, 30.4.2004, p. 1). The lines in the UK forming part of the trans-European high-speed rail system are identified in Schedule 11 to these Regulations.

(2)

OJ L 228, 9.9.1996, p. 1. Decision as amended by Decision No. 1346/2001/EC (OJ L 185, 6.7.2001, p. 1) and by Decision 884/2004/EC (OJ L 167, 30.4.2004, p. 1).

(3)

OJ L 220, 30.8.1993, p. 23.

(4)

OJ L 143, 27.6.1995, p. 70. Directive as amended by Directive 2001/13/EC of the European Parliament and of the Council (OJ L 75, 15.3.2001, p. 26), and by Directive 2004/49/EC of the European Parliament and of the Council (OJ L 163, 30.4.2004, p. 44)

(5)

OJ L 163, 30.4.2004, p. 44.