The Railways and Other Guided Transport Systems (Safety) (Amendment) Regulations 2011

Made: 25th July 2011

Laid before Parliament: 28th July 2011

Coming into force: 26th August 2011

The Secretary of State makes the following Regulations in exercise of the powers conferred by sections 15(1), (2), (3)(c), (4)(b), (6)(b), 47(2), 52(2) and 82(3)(a) of, and paragraphs 1(1)(a) and (c), 1(2) and 5 of Schedule 3 to, the Health and Safety at Work etc. Act 1974 .

These Regulations are made for the purpose of giving effect without modifications to proposals submitted to the Secretary of State by the Office of Rail Regulation under paragraph 2(5) of Schedule 3 to the Railways Act 2005 , in respect of which the Office of Rail Regulation has carried out consultations in accordance with paragraph 2(6) of that Schedule.

Citation and commencement

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These Regulations may be cited as the Railways and Other Guided Transport Systems (Safety) (Amendment) Regulations 2011 and come into force on 26th August 2011.

Amendments to the Railways and Other Guided Transport Systems (Safety) Regulations 2006

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• (1) The Railways and Other Guided Transport Systems (Safety) Regulations 2006 are amended as follows.

• (2) In regulation 2 (interpretation and application), in paragraph (1)—

• (a) for the definition of “the Directive” substitute—

“the Directive” means Directive 2004/49/EC of the European Parliament and of the Council on safety on the Community's railways as amended by the Interoperability Directive, Directive 2008/110/EC of the European Parliament and of the Council on safety on the Community's railways and Commission Directive 2009/149/EC on Common Safety Indicators and common methods to calculate accident costs;

• (b) after the definition of “engineering possession” insert—

“entity in charge of maintenance” means an entity in charge of maintenance of a vehicle, and includes a transport undertaking, an infrastructure manager or a keeper;

• (c) after the definition of “infrastructure manager” insert—

“Interoperability Directive” means Directive 2008/57/EC of the European Parliament and of the Council of 17th June 2008 on the interoperability of the rail system within the Community (Recast) ;

• (d) after the definition of “Interoperability Regulations” insert—

“keeper” means the person who, being the owner of a vehicle or having the right to use it, exploits the vehicle as a means of transport and is registered as being the keeper in the National Vehicle Register;

• (e) after the definition of “mainline railway system” insert—

“maintenance file” means the written file that contains all the technical and management information that is necessary to carry out the maintenance of a vehicle;“maintenance rules” means any rules, applicable to the whole of Great Britain, which set out requirements relating to the maintenance of vehicles;

• (f) after the definition of “national safety rules” insert—

“National Vehicle Register” means the register of vehicles authorised in Great Britain, required by regulation 33 of the Interoperability Regulations ;

• (g) after the definition of “operator of last resort” insert—

“owner”, in relation to a vehicle, means any person who has an estate or interest in, or a right over, that vehicle, and whose permission is needed before another may use it;

• (h) after the definition of “Part B of a safety certificate” insert—

“placed in service” means when a vehicle, having been constructed, upgraded or renewed, is first operated in the transportation of passengers or freight, and in ascertaining when this takes place no regard shall be had to any trials or testing that takes place to the relevant vehicle, and cognate expressions shall be construed accordingly;

• (i) after the definition of “station” insert—

“subsystem” has the same meaning as in the Interoperability Directive;

• (j) in the definition of “technical specifications for interoperability”—

• (i) at the end of paragraph (a) of the definition, omit “or”;

• (ii) at the end of paragraph (b) of the definition, insert—

• ; orArticle 6.1 of the Interoperability Directive

• (k) for the definition of “vehicle” substitute—

“vehicle”— (a) includes a mobile traction unit; and (b) in respect of the mainline railway, means a vehicle that runs on its own wheels on railway lines of a gauge of at least 350 millimetres, with or without traction, and is composed of one or more structural and functional subsystems or parts of such subsystems;

• (3) In regulation 5 (safety management system for the mainline railway) omit paragraph (6).

• (4) In regulation 6 (safety management system for other transport systems) omit paragraph (5).

• (5) After regulation 18 (notification to the European Railway Agency regarding safety certificates and safety authorisations relating to the mainline railway), insert—

(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 is registered as such in the National Vehicle Register. (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 TSIs.

• (6) In regulation 20 (annual safety reports), in paragraph (1)(c), for “paragraphs 1(1)(a)(vii), 1(1)(b)(v) and 3”, substitute “ “2(1)(a)(vi), 2(1)(b)(v) and 6 of Part 1 (common safety indicators)& ”.

• (7) In regulation 23 (interpretation and application of Part 4), in paragraph (1)—

• (a) in the definition of “safety critical work”, omit “or voluntary work”;

• (b) omit “and” immediately following that definition; and

• (c) at the end of the definition of “telecommunications system”, add—

; and“work” includes voluntary work

• (8) In regulation 27 (appeals)—

• (a) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

• (b) in paragraph (6), for “Minister for the Civil Service” substitute “ Treasury ”; and

• (c) in paragraph (8), for “sub-section (1) of the said section 44” substitute “ section 44(1) of the Health and Safety at Work etc. Act 1974 ”.

• (9) In regulation 31 (defence of due diligence), in paragraph (1), for “regulation 5(4) or 6(4)” substitute “ regulation 5(4), 6(4) or 18A(2) ”.

• (10) After regulation 34 (revocation), insert—

(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.

• (11) In paragraph 2 of Part 1 of Schedule 2 (application for a safety certificate)—

• (a) for “Railways (Interoperability) (High-Speed) Regulations 2002 (“2002 Regulations”)” substitute “ Interoperability Regulations ”; and

• (b) for “2002 Regulations”, in the second place where that expression occurs, substitute “ Interoperability Regulations ”.

• (12) For Schedule 3 (common safety indicators) substitute—