The Railways and Other Guided Transport Systems (Safety) Regulations 2006

Maintenance of vehicles on the mainline railway

18A

• (1) No person may place in service or use a vehicle on the mainline railway unless that vehicle has an entity in charge of maintenance assigned to it, and that entity in charge of maintenance—

• (a) is registered in relation to that vehicle in the National Vehicle Register; and

• (b) where the vehicle is a freight wagon, holds—

• (i) a UK-issued ECM certificate;

• (ii) a cross-border UK-issued ECM certificate; or

• (iii) if that person is compliant with the requirements set out in paragraphs (1ZA) or (1ZB), an EU ECM certificate;

• (1ZA) Before 1st November 2023, a person is compliant with the requirements referred to in paragraph (1)(b)(iii) if that person—

• (a) places in service or uses a vehicle in circulation on railway lines across the territory of two states;

• (b) has an EU ECM certificate that was issued by a certification body accredited by the UK national accreditation body; or

• (c) has made an application to a certification body for a UK-issued ECM certificate and the certification body has not yet taken a decision on the application.

• (1ZB) On or after 1st November 2023, a person is compliant with the requirements referred to in paragraph (1)(b)(iii) if that person—

• (a) places in service or uses a vehicle in circulation on railway lines across the territory of two states; or

• (b) has an EU ECM certificate that was issued by a certification body accredited by the UK national accreditation body.

• (1A) No person may use a vehicle to operate a cross-border service unless that vehicle has an entity in charge of maintenance assigned to it, and that entity in charge of maintenance—

• (a) is registered in relation to that vehicle in the National Vehicle Register; and

• (b) holds either an EU ECM certificate valid on the terms of its original issue or a cross-border UK-issued ECM certificate, where it is required to do so in accordance with the assimilated 2019 EU ECM Regulation.

• (2) Each entity in charge of maintenance must ensure, by means of a system of maintenance, that a vehicle for which it is in charge of maintenance is in a safe state of running.

• (3) The requirement for a system of maintenance referred to in paragraph (2) is that a vehicle must be maintained in accordance with—

• (a) the maintenance file for the vehicle;

• (b) applicable maintenance rules; and

• (c) applicable NTSNs.

• (4) Schedule 9 (applications for UK-issued ECM certificates by entities in charge of maintenance) and Schedule 10 (system of certification of entities in charge of maintenance in respect of Great Britain) have effect.

• (5) In this regulation, “UK national accreditation body” means the body which was appointed by the Secretary of State in accordance with Regulation (EC) No 765/2008 of the European Parliament and of the Council setting out the requirements for accreditation and market surveillance relating to the marketing of products and repealing Regulation (EEC) No 339/93, as it had effect in EU law before IP completion day.

Review

34A

• (1) Before the end of each review period, the Secretary of State must—

• (a) carry out a review of these Regulations;

• (b) set out the conclusions of the review in a report; and

• (c) publish the report.

• (2) In carrying out the review the Secretary of State must, so far as is reasonable, have regard to how the Directive is implemented in other member States.

• (3) The report must in particular—

• (a) set out the objectives intended to be achieved by the regulatory system established by these Regulations;

• (b) assess the extent to which those objectives are achieved; and

• (c) assess whether those objectives remain appropriate and, if so, the extent to which they could be achieved with a system that imposes less regulation.

• (4) “Review period” means—

• (a) the period of five years beginning with the day on which the Railways and Other Guided Transport Systems (Safety) (Amendment) Regulations 2011 come into force; and

• (b) subject to paragraph (5), each successive period of five years.

• (5) If a report under this regulation is published before the last day of the review period to which it relates, the following review period is to begin with the day on which that report is published.

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Part 1 — COMMON SAFETY INDICATORS

Interpretation

Indicators relating to accidents

Indicators relating to dangerous goods

Indicators relating to suicides

Indicators relating to precursors of accidents

Indicators to calculate the economic impact of accidents

6

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Indicators relating to technical safety of infrastructure and its implementation

7

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Indicators relating to management of safety

8

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PART 2 — COMMON DEFINITIONS AND METHODS TO CALCULATE THE ECONOMIC IMPACT OF ACCIDENTS

Indicators relating to accidents

1

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Indicators relating to dangerous goods

2

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Indicators relating to suicides

3

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Indicators relating to precursors of accidents

4

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Common methodologies to calculate the economic impact of accidents

5

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Indicators relating to technical safety of infrastructure and its implementation

6

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Indicators relating to the management of safety

7

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Definitions of the scaling bases

8

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Determination of exclusion from the mainline railway

2A

• (1) A railway or part of a railway does not form part of the mainline railway if the Office of Rail and Road determines that it falls within one or more of these categories—

• (a) metros and other light rail systems;

• (b) networks that are functionally separate from the rest of the mainline railway and intended only for the operation of local, urban or suburban passenger services, as well as transport undertakings operating solely on these networks;

• (c) heritage, museum or tourist railways that operate on their own networks;

• (2) The Office of Rail and Road may determine that a heritage vehicle which operates on the mainline railway and complies with national safety rules is deemed not to operate on the mainline railway for the purposes of these Regulations.

• (3) The Office of Rail and Road may revoke or vary a determination under paragraph (1) or (2).

• (4) A person may make an application to the Office of Rail and Road for a determination under paragraph (1) or (2) or for such a determination to be revoked or varied under paragraph (3) and the Office of Rail and Road shall consider any such application.

• (5) The Office of Rail and Road shall maintain and publish a list of—

• (a) railways or parts of railways that do not form part of the mainline railway; and

• (b) heritage vehicles which operate on both the mainline railway and heritage railway and are deemed not to operate on the mainline railway,

by virtue of determinations made under paragraph (1) or (2).

Format for safety certificates and applications

9A

Schedule 8 has effect.

Safety authorisation

Amended safety authorisation

Further safety authorisation

Notice of changes by holder of a safety certificate or a safety authorisation

Direction to apply for an amended safety certificate or safety authorisation

Revocation of safety certificate

Revocation of safety authorisation

General provisions relating to safety certificates and safety authorisations

Notification to the European Railway Agency regarding safety certificates and safety authorisations relating to the mainline railway

Maintenance of vehicles on the mainline railway

Common safety targets

18B

The Office of Rail and Road must assess the achievement of common safety targets in accordance with Schedule 11 (common safety targets), which has effect.

SCHEDULE 8 — Format for safety certificates and applications

(This Schedule substantially reproduces the provisions of Commission Regulation (EC) No 653/2007 on the use of a common European format for safety certificates and application documents in accordance with Article 10 of Directive 2004/49/EC of the European Parliament and of the Council and on the validity of safety certificates delivered under Directive 2001/14/EC, with amendments for the purpose of addressing deficiencies arising out of the UK's withdrawal from the EU.)

PART 1

1

Where Part A of a safety certificate is to be issued, renewed, updated, amended or revoked by the Office of Rail and Road, it must be in the form provided in Part 2.

2

Where Part B of a safety certificate is to be issued, renewed, updated, amended or revoked by the Office of Rail and Road, it must be in the form provided in Part 3

3

An application for a new, updated, amended or renewed—

• (a) Part A of a safety certificate;

• (b) Part B of a safety certificate; or

• (c) Part A of a safety certificate and Part B of a safety certificate where a combined application is made,

must be made in the form provided in Part 4.

PART 2 — Part A of a safety certificate

4

The form referred to in paragraph 1 follows.

PART 3 — Part B of a safety certificate

5

The form referred to in paragraph 2 follows.

PART 4 — Application form for a safety certificate

6

The form referred to in paragraph 3 follows.

SCHEDULE 9 — Applications for UK-issued ECM certificates by entities in charge of maintenance

(This Schedule substantially reproduces Annexes IV and V of Commission Regulation (EU) No 445/2011 on a system of certification of entities in charge of maintenance for freight wagons and amending Regulation (EC) No 653/2007, with amendments for the purpose of addressing deficiencies arising out of the UK's withdrawal from the EU.)

PART 1

1

Applications to certification bodies must be made—

• (a) where the applicant is an entity in charge of maintenance for freight wagons applying for a UK-issued ECM certificate, in the form provided in Part 2;

• (b) where the applicant is a contractor applying for a maintenance functions certificate, in the form provided in Part 3.

2

• (1) A UK-issued ECM certificate must be issued in the form provided in Part 4.

• (2) A maintenance functions certificate must be issued in the form provided in Part 5.

3

For the purposes of this Schedule, a “maintenance functions certificate” is a certificate issued pursuant to paragraph 8 of Schedule 10.

PART 2 — Application for a UK-issued ECM certificate

4

The application form referred to in paragraph 1(a) follows.

PART 3 — Application for a maintenance functions certificate

5

The form referred to in paragraph 1(b) follows.

PART 4 — UK-issued ECM certificate

6

The form referred to in paragraph 2(1) follows.

PART 5 — Maintenance functions certificate

7

The form referred to in paragraph 2(2) follows.

SCHEDULE 10 — System of certification of entities in charge of maintenance in respect of Great Britain

(This Schedule substantially reproduces the provisions of Commission Regulation (EU) No 445/2011 on a system of certification of entities in charge of maintenance for freight wagons and amending Regulation (EC) No 653/2007 other than Annexes IV and V, with amendments for the purpose of addressing deficiencies arising out of the UK's withdrawal from the EU.)

PART 1 — Principles

Purpose

1

This Schedule sets out a system of certification of entities in charge of maintenance for freight wagons for the purpose of providing evidence that such an entity has established its maintenance system and can meet the requirements for ensuring the safe state of running of any freight wagon for which it is in charge of maintenance.

Scope

2

• (1) The system of certification applies to any entity in charge of maintenance for freight wagons to be used on the railway network within Great Britain.

• (2) Maintenance workshops or any organisation taking on a subset of the functions specified in paragraph 4 may apply the system of certification on a voluntary basis, based on the principles specified in paragraph 8 and Part 2.

• (3) References to an infrastructure manager in paragraphs 5 and 7 are to be understood as relating to its operations with freight wagons for transporting materials for construction or for infrastructure maintenance activities. When it operates freight wagons for this purpose, an infrastructure manager is to be deemed to do so in the capacity of a railway undertaking.

Interpretation

3

In this Schedule—

• “accreditation” has the meaning in Regulation (EC) No 765/2008 of the European Parliament and of the Council of 9th July 2008 setting out the requirements for accreditation and market surveillance relating to the marketing of products and repealing Regulation (EEC) No 339/93;

• “causes” means actions, omissions, events or conditions, or a combination thereof, which led to the accident or incident;

• “common safety methods” (“CSMs”) means the methods developed to describe how safety levels and achievement of safety targets and compliance with other safety requirements are assessed;

• “designated standard” has the meaning provided in Article 3A of Commission Implementing Regulation (EU) No 402/2013 on the common safety method for risk evaluation and assessment and repealing Regulation (EC) No 352/2009, as it has effect in Great Britain;

• “incident” means any occurrence, other than an accident, associated with the operation of trains and affecting the safety of operation;

• “infrastructure manager” means any body or undertaking that is responsible in particular for establishing and maintaining railway infrastructure, or a part thereof, as defined in Article 3 of Directive 91/440/EEC, which may also include the management of infrastructure control and safety systems. The functions of the infrastructure manager on a network or part of a network may be allocated to different bodies or undertakings;

• “investigation” means a process conducted for the purpose of accident and incident prevention which includes the gathering and analysis of information, the drawing of conclusions, including the determination of causes and, when appropriate, the making of safety recommendations;

• “maintenance workshop” means a mobile or fixed entity composed of staff, including those with management responsibility, tools and facilities organised to deliver maintenance of vehicles, parts, components or sub-assemblies of vehicles;

• “national safety authority” means one or both of the safety authority in Great Britain and the safety authority for the tunnel system;

• “railway system” means the totality of the subsystems in Great Britain for structural and operational areas, as defined in paragraph 2(1) to 2(7) of Annex II to Directive 2008/57/EC, as well as the management and operation of the system as a whole;

• “railway undertaking” means a public or private undertaking, licensed according to applicable legislation, the activity of which is to provide transport of goods and/or passengers by rail on the basis that the undertaking must ensure traction; this also includes undertakings which provide traction only;

• “release to service” means the assurance given to the fleet maintenance manager by the entity delivering the maintenance that maintenance has been delivered according to the maintenance orders;

• “return to operation” means the assurance, based on a release to service, given to the user, such as a railway undertaking or a keeper, by the entity in charge of maintenance that all appropriate maintenance works have been completed and the wagon, previously removed from operation, is in a condition to be used safely, possibly subject to temporary restrictions of use.

Maintenance system

4

• (1) The maintenance system is to be composed of the following functions—

• (a) the management function, which supervises and coordinates the maintenance functions referred to in paragraphs (b) to (d) and ensures the safe state of the freight wagon in the railway system;

• (b) the maintenance development function, which is responsible for the management of the maintenance documentation, including the configuration management, based on design and operational data as well as on performance and return on experience;