The Railways (Interoperability) Regulations 2011

Authorisation for a vehicle already authorised for another Member State U.K.

6.—(1) This regulation applies when an application is made pursuant to regulation 5(1)(c).

(2) When this regulation applies paragraph (3) applies instead of regulation 5(2) and paragraph (4) applies instead of regulation 5(4).

(3) In order for the application to be valid the application must be made in writing to the Safety Authority and accompanied by—

(a) a copy of the authorisation referred to in regulation 4(1)(c) (“the first authorisation”);

(b) if the first authorisation is a TSI conform authorisation, a technical file containing—

(i) a copy of the technical file from the first authorisation;

(ii) for a vehicle equipped with a data recorder not required by an applicable TSI, information on the procedures for collecting and evaluating the data;

(iii) the documentation relating to the maintenance history and any technical modifications undertaken after the first authorisation;

(iv) evidence on technical and operational characteristics that shows that the vehicle is compatible with the infrastructures and fixed installations, including climate conditions, energy supply system, control-command and signalling system, track gauge and infrastructure gauges, maximum permitted axle load and other constraints of the network; and

(v) any certificate of verification in relation to notified national technical rules;

(c) if the first authorisation is not a TSI conform authorisation, a technical file containing—

(i) information on the procedure followed in relation to the first authorisation in order to show that vehicle complied with the safety requirements in force and information on any derogation that applies;

(ii) the technical data and information on the maintenance programme and operational characteristics, including, for a vehicle equipped with a data recorder, information on the procedures for collecting and evaluating the data;

(iii) the documentation relating to the maintenance and operational history and any technical modifications undertaken after the first authorisation;

(iv) evidence on technical and operational characteristics that shows that the vehicle is compatible with the infrastructures and fixed installations, including climate conditions, energy supply system, control-command and signalling system, track gauge and infrastructure gauges, maximum permitted axle load and other constraints of the network; and

(v) any certificate of verification in relation to notified national technical rules;

(d) if the first authorisation was made, in accordance with Article 26 of the Directive, on the basis of a declaration of conformity to type, a copy of the declaration; and

(e) any verification declaration from the project entity made under paragraph (9).

(4) If the first authorisation is a TSI conform authorisation, the Safety Authority may, after consultation with an applicant, require the applicant, by notice in writing, to carry out additional tests on the network concerned or risk analysis and to provide any additional information which the Safety Authority considers necessary in order to check—

(a) technical compatibility between the vehicle and the network concerned, including the notified national technical rules applicable to the open points needed to ensure such compatibility; and

(b) compatibility with any notified national technical rules applicable to any specific case identified in any applicable TSI.

(5) If the first authorisation is not a TSI conform authorisation the Safety Authority may, after consultation with an applicant, require the applicant, by notice in writing, to carry out additional tests on the network concerned or risk analysis and to provide any additional information which the Safety Authority considers necessary in order to verify that—

(a) if there is a substantial safety risk, matters covered by the information referred to in paragraph (3)(c)(i) and (ii); and

(b) matters covered by the information referred to in paragraph (3)(c)(iii) and (iv),

comply with any applicable notified national technical rules.

(6) The infrastructure manager must, if requested by the applicant, make reasonable efforts to enable any tests required under paragraphs (4) and (5) to be completed before the date which is three months after the date on which the infrastructure manager received the request.

(7) If there are any applicable notified national technical rules that must be assessed against in order to comply with requirements made by the Safety Authority under paragraphs (4) or (5), the project entity must, in order for the application to proceed, engage a designated body, or if the engagement is made before one year after the coming into force of these Regulations either a designated body or a notified body, to assess conformity with those rules.

(8) A notified body engaged to assess conformity with notified national technical rules may only continue to carry out that function after the beginning of the day which is one year after the coming into force of these Regulations if it has also been appointed as a designated body under regulation 31 (whether or not the appointment as a notified body remains in place).

(9) If a body is engaged in accordance with paragraph (7), in order for the application to proceed, the project entity must draw up a declaration in relation to the project subsystem after the body appointed under paragraph (7) has, in accordance with Annex VI to the Directive, drawn up a certificate of verification and compiled a technical file.

(10) The Safety Authority may only require additional information, risk analysis and tests under paragraphs (4) and (5) to the extent they are necessary for verifying compatibility with national rules that are classified as Group B or Group C in the reference document.

(11) “Group B” and “Group C” have the same meaning as in Annex VII to the Directive and the “reference document” means the document adopted and updated from time to time by the Commission in accordance with Articles 27(4) and 29(3) of the Directive.

(12) This regulation does not apply in relation to the Channel Tunnel system.