The Railways (Interoperability) Regulations 2006

Made: 16th February 2006

Laid before Parliament: 23rd February 2006

Coming into force in accordance with regulation 1

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PART 1 — Interpretation and Application

Citation and commencement

1

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Interpretation

2

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Application

3

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PART 2 — Subsystems

Requirement for authorisation

4

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Renewal or upgrading of subsystems

5

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Exemption from need to conform with TSIs (derogations)

6

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Essential requirements for project subsystems

7

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Duties on a contracting entity

8

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Project subsystems: verification assessment procedure

9

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Project subsystems: verification declaration

10

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Technical file and retention of documents

11

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Duty on operator to ensure essential requirements are met

12

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Fees payable to the Safety Authority

13

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Fees payable to the Competent Authority

14

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Transitional conventional TEN projects and renewal projects on the high-speed rail system

15

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PART 3 — Interoperability Constituents

EC declaration of conformity or of suitability for use

16

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Effect of conformity and suitability declarations

17

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Assessment procedure for interoperability constituents

18

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Prohibition on placing interoperability constituents on the market

19

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Duties on operators

20

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Position after placing on the market

21

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Recognition of assessments of other Member States

22

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Notification to the Commission of incorrect declaration

23

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PART 4 — Notified Bodies

Notified bodies

24

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Appointment of notified bodies by the Secretary of State

25

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Requirement on notified bodies to carry out functions

26

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Notified bodies: certificates of conformity etc.

27

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Duties on notified bodies to consult

28

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Fees of notified bodies

29

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Fees of the Secretary of State

30

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PART 5 — Registers

Registers of authorised infrastructure and authorised rolling stock

31

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Publication and notification of registers

32

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National vehicle register

33

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PART 6 — Enforcement

Enforcement in Great Britain

34

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Enforcement in Northern Ireland

35

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Notices relating to interoperability constituents not meeting the essential requirements

36

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Notice of improper drawing up of the EC declaration of conformity for an interoperability constituent

37

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Defence of due diligence

38

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Liability of persons other than the principal offender

39

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PART 7 — Supplementary

Revocation, transitional provision and savings

40

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

THE TRANS-EUROPEAN HIGH-SPEED RAIL SYSTEM

THE INFRASTRUCTURE

1

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THE ROLLING STOCK

2

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COMPATIBILITY OF THE TRANS-EUROPEAN HIGH-SPEED RAIL SYSTEM

3

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SCHEDULE 2 — (This Schedule reproduces the provisions of Annex I to the Conventional Directive)

THE TRANS-EUROPEAN CONVENTIONAL RAIL SYSTEM

INFRASTRUCTURE

1

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ROLLING STOCK

2

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COMPATIBILITY OF THE TRANS-EUROPEAN CONVENTIONAL RAILWAY SYSTEM

3

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EXTENSION OF THE SCOPE

4

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1

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2

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

SUBSYSTEMS OF THE TRANS-EUROPEAN HIGH-SPEED RAIL SYSTEM

SUBSYSTEMS

LIST OF SUBSYSTEMS

1

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AREAS TO BE COVERED

2

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SCHEDULE 4 — (This Schedule reproduces Annex II to the Conventional Directive)

SUBSYSTEMS OF THE TRANS-EUROPEAN CONVENTIONAL RAIL SYSTEM

LIST OF SUBSYSTEMS

1

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DESCRIPTION OF THE SUBSYSTEMS

2

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2.1

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2.2

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2.3

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2.4

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2.5

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2.6

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2.7

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SCHEDULE 5 — (This Schedule reproduces Annex III to the High-Speed Directive)

ESSENTIAL REQUIREMENTS FOR THE TRANS-EUROPEAN HIGH-SPEED RAIL SYSTEM

ESSENTIAL REQUIREMENTS

1

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1.1

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1.1.1

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1.1.2

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1.1.3

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1.1.4

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1.1.5

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1.2

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1.3

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1.3.1

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1.3.2

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1.4

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1.4.1

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1.4.2

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1.4.3

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1.5

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2

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2.1

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2.1.1

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2.2

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2.2.1

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2.2.2

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2.2.3

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2.3

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2.3.1

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2.3.2

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2.4

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2.4.1

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2.4.2

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2.4.3

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2.4.4

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2.5

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2.5.1

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2.5.2

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2.5.3

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2.6

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2.6.1

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2.6.2

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2.7

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2.7.1

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2.7.2

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2.7.3

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SCHEDULE 6 — (This Schedule reproduces Annex III to the Conventional Directive)

ESSENTIAL REQUIREMENTS FOR THE TRANS-EUROPEAN CONVENTIONAL RAIL SYSTEM

GENERAL REQUIREMENTS

1

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1.1

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1.1.1

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1.1.2

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1.1.3

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1.1.4

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1.1.5

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1.2

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1.3

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1.3.1

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1.3.2

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1.4

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1.4.1

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1.4.2

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1.4.3

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1.4.4

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1.4.5

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1.5

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REQUIREMENTS SPECIFIC TO EACH SUBSYSTEM

2

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2.1

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2.1.1

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2.2

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2.2.1

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2.2.2

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2.2.3

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2.3

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2.3.1

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2.3.2

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2.4

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2.4.1

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2.4.2

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2.4.3

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2.4.4

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2.5

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2.5.1

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2.5.2

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2.5.3

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2.6

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2.6.1

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2.6.2

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2.6.3

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2.7

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2.7.1

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2.7.2

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2.7.3

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2.7.4

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

CONFORMITY AND SUITABILITY FOR USE OF INTEROPERABILITY CONSTITUENTS

INTEROPERABILITY CONSTITUENTS

1

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1.1

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1.2

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1.3

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SCOPE

2

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CONTENTS OF THE `EC' DECLARATION

3

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

VERIFICATION DECLARATION OF SUBSYSTEMS

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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 verification declaration;

• identity of the signatory.

SCHEDULE 9 — VERIFICATION PROCEDURE FOR SUBSYSTEMS

VERIFICATION PROCEDURE FOR SUBSYSTEMS

INTRODUCTION

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

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

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

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

5

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

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.

PUBLICATION

7

Each notified body must periodically publish relevant information concerning:

• requests for EC verification received;

• certificates of conformity issued;

• certificates of conformity refused.

LANGUAGE

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.

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

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

1

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2

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3

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4

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5

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6

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7

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SCHEDULE 11 — HIGH-SPEED RAIL SYSTEM

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Signed

Signed by authority of the Secretary of State for Transport

Derek Twigg — Parliamentary Under Secretary of State — Department for Transport — 16th February 2006

Explanatory note

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Footnotes

[^f00001]: 1972 c. 68.

[^f00002]: 2000 c. 38.

[^f00005]: O.J. No. L 235 17.9.97, p. 6, corrected by O.J. No. L 262, 16.10.96, p. 8, and as amended by Directive 2004/50/EC of the European Parliament and the Council of 29th April 2004 (O.J. No. L 164, 30.4.04, p. 114).

[^f00006]: 1974 c. 37.

[^f00007]: 1987 c. 53.

[^f00008]: S.I. 1999/ 283 (N.I. 1).

[^f00009]: O.J. No. L 164 of 30.04.04, p. 1.

[^f00010]: 1987 c. 53.

[^f00011]: 1993 c. 43.

[^f00012]: Established under section 15 of the Railways and Transport Safety Act 2003 (c. 20).

[^f00014]: Established under s. 201 of the Transport Act 2000 c. 38. Section 1 and Schedule 1 to the Railways Act 2005 c. 14 provides for abolition of the Strategic Rail Authority and the transfer of its functions.

[^f00015]: S.I. 2002/1166.

[^f00016]: O.J. L 164, 30.4.2004, p. 44.

[^f00017]: O.J. L 75, 15.3.2001, p. 29. Directive as amended by Commission Decision 2002/844/EC (O.J. L 289, 26.10.2002, p. 30).

[^f00018]: 1974 c. 37. Section 20(7) was amended by the Civil Partnership Act 2004 (c. 33), s. 261(1), Schedule 27, paragraph 49. Section 22(1) and (2) was amended by the Consumer Protection Act 1987 (c. 43), section 3, Schedule 3. Section 22(4) was substituted by the Consumer Protection Act 1987, section 3, Schedule 3. Section 24 was amended by the Employment Rights (Dispute Resolution) Act 1998 (c. 8), section 1(2)(a). Words omitted in 33(1)(c) were repealed by the Employment Protection Act 1975 (c. 71), subsection 116, 125(3), Schedule 15, paragraph 11, Schedule 18. Section 33(1)(h) was amended by the Consumer Protection Act 1987, section 36, Schedule 3. Words omitted in section 33(1)(m) were repealed by the Forgery and Counterfeiting Act 1981 (c. 45), section 30, Schedule, Part 1. Section 33(1A) and (2A) was inserted by the Offshore Safety Act 1992 (c. 15), section 4(2), (3) and (6). Section 33(2) was amended by the Criminal Law Act 1977 (c. 45), section 31, Schedule 6. Section 33(3) was amended by the Offshore Safety Act 1992, section 4(4), (6) and the Magistrates' Court Act 1980 (c. 43), section 32(2). Section 33(5) was repealed by the Offshore Safety Act 1992, sections 4(5), (6), 7(2), Schedule 2. Section 33(6) was repealed by the Forgery and Counterfeiting Act 1981, section 30, Schedule, Part 1. Section 33(6) was amended by the Gas Act 1986 (c. 44), section 67(1), Schedule 7, paragraph 18. So far as relevant to these Regulations, section 34 was amended by the Criminal Procedure (Scotland) Act 1975, section 461(1), Schedule 9, paragraph 51.

[^f00019]: Formerly known as the Health and Safety Agency for Northern Ireland which was established under Article 12 of the Health and Safety at Work (Northern Ireland) Order 1978 (S.I. 1978/ 1039 (N.I. 9)). Article 3(1) of the Health and Safety at Work (Amendment) (Northern Ireland) Order 1998 (S.I. 1998/ 2795 (N.I. 18)) changed its name to the Health and Safety Executive for Northern Ireland.

[^f00020]: S.I. 1978/ 1039 (N.I. 9). Article 20 was amended by S.I. 1998/2795 (N.I. 18), Article 6(1) and Schedule 1, paragraph 13(a). Article 24 was amended by S.I. 1987/2049 (N.I. 20), Article 28 and Schedule 2, paragraph 3. Article 26 was amended by S.I. 1984/1159 (N.I. 9), Article 35 and Schedule 4. Article 31 was amended by: S.I. 1987/2049 (N.I. 20), Article 28 and Schedule 2 paragraph 7; S.I. 1988/595 (N.I. 3), Article 10(1)(c); S.I. 1986/1883 (N.I. 15), Article 13(3) and Schedule 5; S.I. 1992/1728 (N.I. 17), article 6(1), (3), (4), (5), (7), Article 8 and Schedule 2; S.I. 1998/2795 (N.I. 18), Article 6 and Schedule 1, paragraph 15, and Schedule 2, Forgery and Counterfeiting Act 1981 (c. 45) section 30 and Schedule.

[^f00021]: S.I. 2002/1166.

[^f00022]: 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.

[^f00023]: 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).

[^f00024]: OJ L 220, 30.8.1993, p. 23.

[^f00025]: 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)

[^f00026]: OJ L 163, 30.4.2004, p. 44.

Editorial notes

Notified bodies: certificates of verification etc.

(This Schedule substantially reproduces, with minor modifications, the provisions of Annex VI to the High-Speed Directive and to the Conventional Directive as replaced by Commission Directive 2007/32/EC)

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EC verification is the procedure whereby a notified body checks and certifies 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.

ART 2. STAGES

The subsystem is checked at each of the following stages:

• overall design,

• production: construction of subsystem including, for example, civil engineering activities, manufacturing, constituent assembly, overall adjustment,

• final testing of the system.

For the design stage (including the type tests) and for the production stage the main contractor (or the manufacturer) or its authorised representative established within the Community may apply for an assessment as a first step.

In such a case, the assessment leads to an “intermediate statement of verification” (“ISV”) for the relevant stage issued by a notified body chosen by the main contractor (or the manufacturer). The main contractor (or the manufacturer) in turn draws up an “EC declaration of intermediate subsystem conformity” for the relevant stage.

PART 3. CERTIFICATE

The notified body responsible for EC verification draws up the certificate of verification intended for the contracting entity, or its authorised representative established within the Community, which in turn draws up the verification declaration intended for the Safety Authority.

The notified body responsible for EC verification assesses the design and production of the subsystem.

If available, the notified body responsible for EC verification takes into account any ISVs and, in order to issue the certificate of verification, it:

• checks that the subsystem:

• is covered by relevant design and production ISVs delivered to the main contractor (or the manufacturer) if it had asked a notified body for ISVs for these two stages,

• or corresponds as produced to all aspects covered by any design ISV delivered to the main contractor (or the manufacturer) if it had asked a notified body for an ISV for only the design stage, and

• verifies that the ISVs cover correctly the requirements of the TSIs and assesses the design and production elements that are not covered by the ISVs delivered to the main contractor (or the manufacturer).

PART 4. TECHNICAL FILE

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

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

• for the other subsystems: general and detailed drawings in line with execution, electrical and hydraulic diagrams, control-circuit diagrams, descriptions 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 above mentioned constituents must be provided in accordance with Article 13 of the High-Speed Directive or Article 13 of the Conventional Directive 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,

• if available, any ISV and in such a case the “EC declaration of intermediate subsystem conformity” that accompanies the certificate of verification, including the result of verification by the notified body of their validity,

• certificate from and signed by the notified body responsible for EC verification, accompanied by corresponding calculation notes, 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 paragraphs 5.3 and 5.4 of Part 5 of this Schedule.

PART 5. MONITORING

PART 6. SUBMISSION

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

PART 7. PUBLICATION

Each notified body must periodically publish relevant information concerning:

• requests for EC verification received;

• ISVs issued or refused;

• certificates of verification issued or refused.

PART 8. LANGUAGE

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

Deemed authorisation

4A

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Accessibility for people with reduced mobility

4B

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Renewal or upgrading of subsystems

Exemption from need to conform with TSIs (derogations)

Essential requirements for project subsystems

Duties on a contracting entity

Project subsystems: verification assessment procedure

Project subsystems: verification declaration

Technical file and retention of documents

Duty on operator to ensure essential requirements are met

Fees payable to the Safety Authority

Fees payable to the Competent Authority

Transitional conventional TEN projects and renewal projects on the high-speed rail system

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