text:
Citation and commencement
1
These Regulations may be cited as the Merchant Shipping (Safety of Navigation) Regulations 2002 and shall come into force on 1st July 2002.
Interpretation
2
1
In these Regulations —
“ the Act ” means the Merchant Shipping Act 1995;
“Chapter V” means Chapter V of the annex to the SOLAS Convention;
“Contracting Government” means the Government of a State which has consented to be bound by the SOLAS Convention;
“domestic voyage” means a voyage in sea areas from a port of a member State or EEA State to the same or another port of that member State or EEA State;
“EEA Agreement” means the Agreement on the European Economic Area signed at Oporto on 2nd May 1992 as adjusted by the Protocol signed at Brussels on 17th March 1993 ;
“EEA State” means a State which is a Contracting Party to the EEA Agreement;
“international voyage” means a voyage from a country to which the SOLAS Convention applies to a port outside that country, or conversely;
“existing ship” means a ship which is not a new ship;
“ IMO ” means the International Maritime Organization;
“length” in relation to a registered ship means registered length, and in relation to an unregistered ship means the length from the fore part of the stem to the aft side of the head of the stern post or, if no stern post is fitted to take the rudder, to the fore side of the rudder stock at the point where the rudder passes out of the hull;
“ MCA ” means the Maritime and Coastguard Agency, an executive agency of the Department for Transport, Local Government and the Regions;
“MCA’s 2002 SOLAS V publication” means the MCA publication entitled “Safety of Navigation, Implementing SOLAS Chapter V, 2002”, published May 2002, including its Annexes;
“Merchant Shipping Notice” means a Notice described as such and issued by the MCA;
“new ship” means a ship the keel of which is laid or which is at a similar stage of construction on or after 1 July 1998; and for the purposes of this definition, a “similar stage of construction” means the stage at which —
construction identifiable with a specific ship begins; and
assembly of that ship has commenced comprising at least 50 tonnes or 1% of the estimated mass of all structural material, whichever is less;
“passenger ship” means a ship carrying more than 12 passengers, and for the purposes of this definition a passenger is every person other than:
the master and the members of the crew or other persons employed or engaged in any capacity on board a ship on the business of that ship,
a child under one year of age, and
persons who are on board the ship by reason of force majeure or in consequence of the obligation laid upon the master to carry shipwrecked or other persons;
“pleasure vessel” means —
any vessel which is —
wholly owned by an individual or individuals and used only for the sport or pleasure of the owner or the immediate family or friends of the owner, or
owned by a body corporate and used only for sport or pleasure of employees or officers of the body corporate, or their immediate family or friends,
and is on a voyage or excursion which is one for which the owner is not paid for or in connection with operating the vessel or carrying any person, other than as a contribution to the direct expenses of the operation of the vessel incurred during the voyage or excursion, or
any vessel which is wholly owned by or on behalf of a members' club formed for the purpose of sport or pleasure which, at the time it is being used, is used only for the sport or pleasure of members of that club or their immediate family; and for the use of which any charges levied are paid into club funds and applied for the general use of the club;
and no payments other than those mentioned above are made by or on behalf of users of the vessel, other than by the owner, and in this definition, “immediate family” means, in relation to an individual, the husband or the wife of the individual, and a brother, sister, ancestor or lineal descendant of that individual or that individual’s husband or wife;
“sea-going” means going beyond the limits of waters of categories A, B, C and D, as categorised in Annex 1 to the MCA’s 2002 SOLAS V publication;
“the SOLAS Convention” means the International Convention for the Safety of Life at Sea, 1974 as amended in accordance with its Protocol of 1988 and the resolution of the Maritime Safety Committee of the IMO published by the IMO as Resolution MSC.99(73) of December 2000; and
“tons” means gross tonnage and a reference to tons —
in relation to a ship having alternative gross tonnages under paragraph 13 of Schedule 5 of the Merchant Shipping (Tonnages) Regulations 1982 , permitted to be used pursuant to regulation 12(1) of the Merchant Shipping (Tonnages) Regulations 1997 , is a reference to the larger of those tonnages, and
in relation to a ship having its tonnage determined both under Part II and regulation 12(1) of those 1997 Regulations is a reference to its gross tonnage as determined under regulation 12(1).
2
For the purposes of these Regulations, ships shall be arranged in Classes as set out in Annex 1 to the MCA’s 2002 SOLAS V publication.
3
A rigidly constructed composite unit of a pushing vessel and associated pushed vessel, when designed as a dedicated and integrated tug and barge combination, shall be regarded as a single ship for the purposes of these Regulations.
4
Where, by virtue of these Regulations, a regulation in Chapter V applies to a hovercraft, a reference to a “ship” or “master” in that regulation in Chapter V shall be construed as including a reference to a “hovercraft” or “captain” respectively.
Repeals and revocations, and consequential amendments
3
1
Schedule 1 (repeals and revocations) shall have effect.
2
Schedule 2 (consequential amendments) shall have effect.
Application
4
1
Subject to the following paragraphs and to the provisions of individual regulations in Chapter V, these Regulations apply to all United Kingdom ships wherever they may be and to all other ships while they are within United Kingdom waters.
2
These Regulations do not apply to —
a
warships or naval auxiliaries;
b
ships, other than United Kingdom ships, which are owned or operated by a Contracting Government and used only on government non-commercial service; or
c
ships navigating solely the Great Lakes of North America and their connecting and tributary waters as far east as the lower exit of the St. Lambert Lock at Montreal in the Province of Quebec, Canada.
3
In their operation in relation to systems and equipment regulated by regulations 19 and 20 in Chapter V, paragraphs 1 to 3 and 7 and 8 of regulation 18 in Chapter V do not apply in relation to ships below 150 tons engaged on any voyage.
4
Regulation 19 in Chapter V does not apply to —
a
United Kingdom ships of Class V;
b
United Kingdom ships which are neither passenger ships nor sea-going;
c
new ships of Class A, B, C or D;
d
fishing vessels; or
e
high-speed craft to which the Merchant Shipping (High-Speed Craft) Regulations 1996 apply.
5
Regulation 19 in Chapter V shall cease to apply on the relevant date to existing ships of Class A, B, C or D, of 24 metres or over in length; and in this paragraph, “the relevant date” means the date specified in relation to each description of ship referred to in the table in regulation 4(1) of the Merchant Shipping (Passenger Ships on Domestic Voyages) Regulations 2000 .
6
Paragraphs 2.1.1 to 2.1.6 and 2.1.8 and 2.1.9 of regulation 19 in Chapter V, and regulations 24 to 28 in Chapter V, do not apply to pleasure vessels below 150 tons engaged on any voyage.
7
Paragraph 2.4 of regulation 19 in Chapter V does not apply to United Kingdom passenger ships which —
a
are not sea-going, or
b
are below 300 tons and not engaged on international voyages.
8
Regulations 22 and 34 in Chapter V apply in addition to hovercraft registered in the United Kingdom, wherever they may be, and to other hovercraft while they are within United Kingdom waters.
9
Regulation 23 in Chapter V does not apply to —
a
ships below 150 tons engaged on any voyage;
b
ships below 500 tons not engaged on international voyages; or
c
fishing vessels,
unless they are engaged on a voyage during the course of which a pilot is likely to be employed.
10
Regulations 24 to 26 in Chapter V do not apply to ships other than sea-going ships.
Safety of navigation requirements
5
1
Subject to paragraphs (3) and (4), a ship to which these Regulations apply shall comply with such of the requirements referred to in paragraph (2) as apply in relation to a ship of its description.
2
The requirements are those referred to in the following regulations or paragraphs of regulations in Chapter V which are set out in the MCA’s 2002 SOLAS V publication —
paragraph 3 of regulation 7,
paragraph 7 of regulation 10,
paragraph 7 of regulation 11,
paragraphs 2 and 3 of regulation 17,
paragraphs 1 to 3 and 7 and 8 of regulation 18,
regulation 19,
paragraph 1 of regulation 20,
regulations 21 to 30,
paragraphs 1 and 4 of regulation 31,
paragraphs 1, 2, 4 and 5 of regulation 32,
paragraphs 1 and 2 of regulation 33, and
regulation 34.
3
A ship to which these Regulations apply shall alternatively or additionally (as the case may be) comply with such of the requirements referred to in paragraph (4) as apply in relation to a ship of its description.
4
The requirements referred to in paragraph (3) shall —
a
relate to amendments from time to time of regulations in Chapter V,
b
be specified in a Merchant Shipping Notice, amending or replacing the MCA’s 2002 SOLAS V publication, which is considered by the Secretary of State to be relevant from time to time,
c
be specified in that Merchant Shipping Notice as alternative or additional requirements which apply in relation to a ship of its description, and
d
relate to all or any of the purposes set out in section 85(1) of the Act.
5
Where a requirement referred to in paragraph (2) or (3) is set out in a provision to which there is a footnote, and it is clear from the wording and the context that the content of the footnote, or of a document referred to in the footnote, is intended to form part of the requirement, then such content shall be treated as part of the requirement; and for these purposes a “footnote” is a note marked with an asterisk in the text of Chapter V.
6
Nothing in regulations 24 to 26 in Chapter V relating to the use of an automatic pilot shall override special rules made by an appropriate authority for roadsteads, harbours, rivers, lakes or inland waterways connected with the high seas and navigable by sea-going ships; and for these purposes an “appropriate authority” means any person empowered by law to make the special rules.
Supplementary provisions on safety of navigation requirements
6
Schedule 3 (supplementary provisions) shall have effect.
Exemptions and permission for equivalents
7
1
The following paragraphs of this regulation are subject to regulation 8.
2
The Secretary of State may grant exemptions from all or any of the provisions set out in regulations 17 to 19 (except paragraph 2.1.7 of regulation 19), 20, 22 and 24 to 28 in Chapter V for ships without mechanical means of propulsion on such terms (if any) as he may specify.
3
In the circumstances set out in paragraph (4) the Secretary of State may in an individual case —
a
grant exemptions from all or any of the provisions of these Regulations (as may be specified in the exemption) on such terms (if any) as he may specify, or
b
permit any fitting, material, appliance or apparatus, or type thereof, to be fitted or carried in a ship, or permit other provision to be made in the ship, in the place of any particular fitting, material, appliance or apparatus, or type thereof, or provision, which is required under these Regulations, if he is satisfied by trial or otherwise that it is at least as effective for the purpose for which the requirement in the Regulations is set.
4
The circumstances referred to in paragraph (3) are that the Secretary of State is satisfied that the ship is engaged on a voyage where the maximum distance of the ship from the shore, the length and nature of the voyage, the absence of general navigational hazards, and other conditions affecting safety are such as to render the full application of Chapter V unreasonable or unnecessary, and he has taken into account the effect such an exemption or permission may have upon the safety of other ships.
5
The Secretary of State may grant exemptions for classes of ships or individual ships from the requirements of regulation 18, 19 or 20 in Chapter V, on such terms (if any) as he may specify.
6
The Secretary of State may grant exemptions from the requirements of regulation 22 in Chapter V for ships of unconventional design, on such terms (if any) as he may specify.
7
The Secretary of State may, on such terms (if any) as he may specify, grant exemptions from the requirements of paragraphs 1 and 2 of regulation 26 in Chapter V for ships which regularly engage on voyages of less than 24 hours duration and on which the checks and tests required by those paragraphs are carried out at least once every week.
8
The Secretary of State may, on giving reasonable notice, alter or cancel any exemption granted under this regulation or any permission given under paragraph (3)(b).
9
An exemption granted under this regulation, permission given under paragraph (3)(b), and an alteration or cancellation under paragraph (8), shall —
a
be in writing,
b
specify the date on which it takes effect, and
c
in the case of an exemption, the terms (if any) on which it is given.
Restrictions on the granting of exemptions
8
The Secretary of State shall not grant an exemption under regulation 7 unless he is satisfied that —
a
compliance with such provision is either impracticable or unreasonable for the class of ship or individual ship concerned, and
b
the exemption is subject to such conditions and limitations as will provide a level of safety which is at least equivalent to that provided by the provision or provisions from which exemption is being granted.
Approvals
9
1
Where a regulation in Chapter V refers to any thing requiring —
a
the approval of the Administration,
b
to be done to the satisfaction of the Administration, or
c
to be acceptable to the Administration,
the Secretary of State, or a person authorised by him, may grant an approval for that thing as respects a United Kingdom ship in accordance with the provisions of Chapter V set out in the MCA’s 2002 SOLAS V publication, or in any subsequent Merchant Shipping Notice amending or replacing that publication which is considered by the Secretary of State to be relevant from time to time.
2
The Secretary of State, or a person authorised by him, may on giving reasonable notice cancel or alter the terms of any approval given under this regulation by the Secretary of State or the authorised person respectively.
3
An approval given under paragraph (1) and an alteration or cancellation under paragraph (2) shall —
a
be in writing,
b
specify the date on which it takes effect, and
c
in the case of an approval, the conditions (if any) on which it is given.
Offences and penalties
10
Schedule 4 (offences and penalties) shall have effect.
Detention
11
In any case where a ship does not comply with the requirements of these Regulations, the ship shall be liable to be detained and section 284(1) to (6) and (8) of the Act (which relates to the detention of a ship) shall have effect in relation to that ship, as if for the words “this Act”, wherever they appear, there were substituted the words “the Merchant Shipping (Safety of Navigation) Regulations 2002”.
Signed by authority of the Secretary of State for Transport
John Spellar
Minister of State
Department for Transport
31st May 2002


type: legislation

jurisdiction: UK

text:
PART I
Preliminary
Citation and commencement
1
These Regulations may be cited as the Railways (Interoperability) (High-Speed) Regulations 2002 and shall come into force on 16th May 2002.
Interpretation etc.
2
1
In these Regulations “the high-speed Directive” means Council Directive No. 96/48/ EC of 23rd July 1996 on the interoperability of the trans-European high-speed rail system , and any reference in the Schedules to “the Directive” shall be construed accordingly.
2
Except for the references to the European Communities in the definition of “the Commission” and in relation to the Official Journal , a reference to the European Community includes a reference to the EEA , and a reference to a Member State includes a reference to an EEA State.
3
For the purposes of paragraph (2) —
a
the “EEA” means the European Economic Area;
b
an “EEA State” means a State which is a Contracting Party to the EEA Agreement; and
c
the “EEA Agreement” means the Agreement on the European Economic Area signed at Oporto on 2nd May 1992 as adjusted by the Protocol signed at Brussels on 17th March 1993 .
4
In these Regulations, —
a
Annexes I to VII of the high-speed Directive are respectively set out in Schedules 1 to 7 hereto;
b
a reference to a numbered regulation or Schedule is a reference to the regulation or Schedule in these Regulations so numbered;
c
a reference to a numbered paragraph is a reference to the paragraph so numbered in the regulation in which that reference occurs; and
d
a reference to an Article is a reference to the Article so numbered in the high-speed Directive and a reference to a paragraph of an Article shall be construed accordingly.
5
In these Regulations unless the context otherwise requires —
“the 1974 Act ” means the Health and Safety at Work etc. Act 1974 ;
“the 1978 Order ” means the Health and Safety at Work (Northern Ireland) Order 1978 ;
“the 2000 Regulations ” means the Railways (Interoperability)(Notified Bodies) Regulations 2000 ;
“accessibility compliance certificate” means a certificate which is obtained in respect of any high-speed rolling stock that constitutes a rail vehicle within the meaning of section 46 of the Disability Discrimination Act 1995 issued pursuant to the procedure in regulation 22, and which includes details of any exemption orders made under section 47(1) of that Act in respect of that high-speed rolling stock;
“ Article 21 Committee ” means the Committee set up pursuant to Article 21 of the high-speed Directive;
“ the Authority ” means the Strategic Rail Authority except in relation to Northern Ireland where it means the Department ;
“ British standard implementing a European standard ” means a European standard transposed into a British standard by the British Standards Institution;
“certificate of conformity” means a certificate drawn up by the notified body in relation to a structural subsystem as part of the verification assessment procedures for that structural subsystem; and the reference in Schedule 6 to certificate shall be construed as a reference to the certificate of conformity;
“the Channel Tunnel system” has the meaning given by section 1(7) of the Channel Tunnel Act 1987 to the words “the tunnel system”;
“ the Commission ” means the Commission of the European Communities;
“common technical specification” means a technical specification, drawn up in accordance with a procedure recognised by the Member States with a view to uniform application in all Member States which has been published in the Official Journal and is in force, and includes a TSI ;
“conformity declaration” means an EC declaration of conformity of an interoperability constituent drawn up for the purposes of regulation 11;
“conformity or suitability for use assessment procedures” means the procedures specified in regulation 19 and includes any combination of those procedures which the circumstances so require;
“contracting entity” means any person who, in relation to a structural subsystem used in or intended for use in the construction, upgrading or operation of the rail network schemes —
has contracted with another person for the manufacture or construction by that other person of that structural subsystem; or
manufactures or constructs that structural subsystem for his own use, or for sale to, or use by, another person but not where he is contracted to do so by a person falling under paragraph (a),
and includes an authorised representative established in the Community of such a person;
“the Department” means the Department for Regional Development established by article 3(1) of the Departments (Northern Ireland) Order 1999 ;
“essential requirements”, except in the definition of European technical approval , means the requirements set out in Schedule 3;
“ European specification ” means a common technical specification, a European technical approval or a British standard implementing a European standard;
“ European standard ” means a standard approved by the European Committee for Standardisation or by the European Committee for Electrotechnical Standardisation as a European Standard or a Harmonisation Document, according to the Common Rules of those organisations or by the European Telecommunications Standards Institute according to its own rules as a European Telecommunications Standard;
“European technical approval” means an approval of the fitness of a product for a particular use given by an approval body designated for the purpose by a Member State following a technical assessment of whether the product fulfils all essential requirements for such a product, having regard to the inherent characteristics of the product and any such defined conditions of application and use as are provided for in any Council Directive applicable to the product;
“ the Executive ” means the Health and Safety Executive except in relation to Northern Ireland where is means the Health and Safety Executive for Northern Ireland ;
“high-speed infrastructure” means the infrastructure described in paragraph 1 of Schedule 1;
“high-speed rolling stock” means the subsystem constituting rolling stock described in paragraph 2 of Schedule 1, capable of use on a rail network scheme; and “rolling stock” means a vehicle falling within the definition of rolling stock in section 83(1) of the Railways Act 1993 except that where such a vehicle can only be operated as part of a fixed formation multiple unit it means all of that unit;
“interoperability” means the ability of the trans-European high-speed rail system to allow the safe and uninterrupted movement of high-speed rolling stock; and cognate expression shall be construed accordingly;
“interoperability constituent” means any elementary component, group of components, sub-assembly or complete assembly of equipment that is incorporated or intended to be incorporated into a structural subsystem upon which the interoperability of the trans-European high-speed rail system depends and that has been specified by —
a TSI covering a particular subsystem as being an interoperability constituent; or
the Secretary of State in a notification given under regulation 27 as an interoperability constituent to which any standards, technical specifications and technical rules covered by that notification relate;
“major works” in relation a structural subsystem means any works that do not constitute minor works; and “minor works” includes —
minor alterations;
replacement of components, assemblies or sub-assemblies in accordance with current technology;
maintenance; and
like for like replacement;
“notified body” has the meaning given by regulations 4 and 37 and the references in paragraph 5.3 of Schedule 6 to a body notified, in paragraph 6 of Schedule 6 to each body, and in paragraphs 1, 2, 3, 6 and 7 of Schedule 7 to the body and that body shall be construed as a reference to a notified body;
“notified standards” means the standards, technical specifications and technical rules notified by the Secretary of State to the Commission pursuant to regulation 27;
“Official Journal” means the Official Journal of the European Communities;
“operator” in relation to the use of an interoperability constituent or structural subsystem means the person having the management of that interoperability constituent or structural subsystem for the time being;
“owner” in relation to a structural subsystem means any person who has an estate or interest in, or right over that subsystem, and whose permission is needed before another may use it;
“person responsible” in relation to an interoperability constituent means the manufacturer of that interoperability constituent or his authorised representative established in the Community;
“placing into service” means, in respect of a structural subsystem, first using that subsystem on or as part of a rail network scheme for use in the transportation of passengers or freight; and cognate expressions shall be construed accordingly;
“placing on the market” means making an interoperability constituent available for purchase with a view to its use on the trans-European high-speed rail system; and cognate expressions shall be construed accordingly;
“project” means a discrete scheme for the construction or upgrading of the whole or a part of a rail network scheme; provided that where it is intended to carry out that construction or upgrading in parts, each of which are to be placed into service on a permanent basis independently on the other parts, it means any such part;
“ RVAR ” means the requirements imposed by the Rail Vehicle Accessibility Regulations 1998 ; except in relation to Northern Ireland where it means the requirements imposed by the Rail Vehicle Accessibility Regulations (Northern Ireland) 2001 ;
“rail network scheme” means one of the lines specified in Schedule 8 (which form part of the trans-European high-speed rail system);
“screening decision” has the meaning given by regulation 16(1);
“staged works decision” has the meaning given by regulation 17(2);
“subsystem” means —
high-speed rolling stock; and
a subsystem of one of the other kinds specified in paragraphs 1.1 and 1.2 of Schedule 2 which forms or is intended to form part of a rail network scheme;
and “structural subsystems” means —
high-speed rolling stock; and
the whole, or, a part, of an infrastructure subsystem, an energy subsystem and a control and command and signalling subsystem which is constructed or upgraded as a project;
“suitability declaration” is an EC declaration of suitability for use of an interoperability constituent prepared for the purposes of regulation 11;
“supervisory authority” means the Executive, except in relation to —
the Channel Tunnel system, where it means the Intergovernmental Commission; and for this purpose “the Intergovernmental Commission” has the same meaning as in the Channel Tunnel Act 1987 ; and
Northern Ireland, where it means the Department;
“technical file” means a file relating to a structural subsystem which contains the matters required by regulation 13(9) and regulation 24(1)(b) and (c), and any reference in the schedules to the “technical record” shall be construed as a reference to the technical file;
“trans-European high-speed rail system” means the high-speed infrastructure and high-speed rolling stock described in Schedule 1;
“ TSIs ” means technical specifications for interoperability which are published in the Official Journal pursuant to Article 6(1) of the high-speed Directive and in force; and “relevant TSI” in relation to a structural subsystem includes any provision of a TSI which is relevant to the construction, upgrade or operation of a structural subsystem of that type;
“upgrading” means any major work on a structural subsystem which changes the performance of that structural subsystem and which either —
the contracting entity is satisfied; or
the supervisory authority has determined, in accordance with regulation 16,
is upgrading for the purposes of these Regulations; and cognate expressions shall be construed accordingly;
“verification assessment procedure” means the procedures specified in regulation 20;
“verification declaration” means an EC declaration of verification in relation to a structural subsystem, drawn up pursuant to regulation 13(6); and
“writing” apart from its usual meaning includes any text transmitted using electronic communications that is received, or accessible by the person to whom it is sent, in legible form.
Application of the Regulations
3
These Regulations apply to subsystems and interoperability constituents other than any —
a
structural subsystem that is placed into service; or
b
interoperability constituent that is placed on the market,
within three months after the date of the coming into force of these Regulations.
PART II
Notified Bodies
Notified bodies
4
For the purposes of these Regulations, a notified body is a body which has been —
a
appointed by the Authority as a notified body for the purpose of these Regulations and notified to the Commission and other Member States pursuant to regulation 5; or
b
appointed by a Member State other than the United Kingdom, and notified by the Member State concerned to the Commission and the other Member States pursuant to Article 20(1) of the high-speed Directive.
Appointment of notified bodies by the Authority
5
1
The Authority may from time to time appoint such persons as it thinks fit to be notified bodies for the purposes of these Regulations.
2
The Authority shall not appoint any person as a notified body in accordance with paragraph (1) unless it is satisfied that that person is capable of meeting the criteria specified in Schedule 7.
3
An appointment —
a
shall relate to such descriptions of structural subsystems and interoperability constituents as the Authority may specify; and
b
shall be made subject to such conditions as the Authority may specify, including any such conditions as are to apply upon or following termination of the appointment.
4
Subject to paragraphs (5)(b) and (c) and (6), and appointment under this regulation shall be for such period as may be specified in the appointment.
5
An appointment shall terminate —
a
upon the expiry of any period specified in the appointment pursuant to paragraph (4);
b
upon the expiry of 90 days notice in writing given by the notified body to the Authority; or
c
on any date specified for the termination of the appointment in accordance with paragraph (6),
whichever is the earliest.
6
If at any time it appears to the Authority in relation to a notified body appointed by it that —
a
any of the conditions of the appointment of that notified body are not being complied with; or
b
the notified body is not meeting the criteria specified in Schedule 7,
the Authority may, by notice in writing to that notified body, specify a date on which the appointment of that person as a notified body shall terminate.
7
Where the Authority is minded to terminate the appointment of a person as a notified body pursuant to the grounds specified in paragraph (6) it shall —
a
give notice in writing to the notified body of the reasons why it is minded to do so;
b
give the notified body the opportunity to make representations within a period of 14 days beginning with the day on which such notice is given; and
c
consider any representations made within that period by the notified body before making its decision.
8
When the appointment of a notified body terminates in accordance with paragraph (5) the Authority may —
a
give such directions as the Authority considers appropriate, either to that notified body or to another notified body, for the purpose of making such arrangements as may be necessary or expedient for the determination of any matters which would, apart from the termination, have fallen to be determined by the notified body whose appointment is terminating; and
b
without prejudice to the generality of sub-paragraph (a), authorise another notified body, to take over the functions of the notified body whose appointment has terminated, in respect of such matters as the Authority may specify.
9
The Authority shall notify in writing the Commission and other Member States of the appointment or termination or appointment, as the case may be, of a notified body.
10
Where it appears to the Authority that a notified body appointed by another Member State fails to meet the criteria set out in Schedule 7, it shall notify the Article 21 Committee of that fact forthwith.
Requirement on notified bodies to carry out functions
6
1
Save as provided in paragraph (2) where a contracting entity, person responsible or other interested person so requests in writing, a notified body appointed by the Authority shall carry out, in relation to a structural subsystem or interoperability constituent, the procedures and checks (including, where so provided as part of those procedures and checks, surveillance) required to ensure that the contracting entity or the person responsible, as the case may be, duly fulfils the obligations arising from the appropriate conformity or suitability for use assessment procedure or the appropriate verification assessment procedure.
2
A notified body appointed by the Authority shall not be required to comply with a request under paragraph (1) if —
a
the request relates to a structural subsystem or interoperability constituent of a description to which the appointment of that body does not relate;
b
to do so would place that body in breach of a condition of its appointment;
c
the documents submitted to it in relation to carrying out such functions are not in a language acceptable to that body;
d
the person making the request has not submitted with its request the amount of the fee which the body requires to be submitted with the request pursuant to regulation 9; or
e
when a contracting entity, person responsible or other interested person makes its request pursuant to paragraph (1), the notified body reasonably believes that it will be unable to commence the required work in relation to that request within three months of receiving it.
3
In this regulation “interested person” means a person who is or expects to be subject to the duties imposed by regulation 12.
Notified bodies: certificates of conformity etc.
7
1
Where a notified body is minded to decline to draw up a certificate of conformity in relation to a structural subsystem, or is minded to decline to confirm that a conformity declaration or suitability for use declaration can be drawn up in respect of an interoperability constituent, it shall —
a
give notice in writing to the applicant of the reasons why it is minded to do so;
b
give the applicant the opportunity to make representations within a period of 28 days beginning with the day on which such notice is given; and
c
consider any representations made within that period by the applicant before making its decision.
2
A notified body shall not draw up a certificate of conformity in relation to a structural subsystem unless satisfied that subsystem conforms to such of the TSIs or notified standards as it is required to conform by regulation 13(4).
3
A notified body shall not confirm that a conformity declaration or suitability for use declaration can be drawn up in respect of an interoperability constituent unless satisfied that that constituent conforms to the such of the European specifications or notified standards as are required by regulation 11(2)(a).
Duties on notified bodies to consult
8
Notified bodies appointed by the Authority shall consult other notified bodies appointed pursuant to the high-speed Directive throughout the European Community in relation to the assessment procedures specified in regulations 19 and 20 with a view to ensuring that, particularly in the absence of TSIs, the conformity or suitability for use assessment procedures and the verification assessment procedures required under the high-speed Directive are consistently applied within the European Community.
Notified bodies: fees
9
1
Subject to paragraph (2), a notified body may charge such a fee in connection with or incidental to, carrying out its functions under these Regulations as it may determine.
2
The fee charged pursuant to paragraph (1) shall not exceed the sum of the following —
a
the costs incurred or to be incurred by the notified body in carrying out relevant work; and
b
an amount of profit which is reasonable in the circumstances having regard to —
i
the character and extent of the work carried out by the notified body on behalf of the person commissioning the work, and
ii
the commercial rate normally charged on account of profit for that work or similar work.
3
Subject to paragraph (4) the power in paragraph (1) includes the power to require the payment of a fee, or a reasonable estimate of the fee, in respect of work commissioned in advance of carrying out that work.
4
Unless the parties otherwise agree, an amount charged in accordance with paragraph (3) shall not exceed a reasonable estimate of the fee for the work for the three months subsequent to the request for the advance payment.
The Strategic Rail Authority: fees
10
The Strategic Rail Authority may charge such reasonable fee in connection with, or incidental to, carrying out its functions under regulation 5 as it may determine.
PART III
General Provisions
Interoperability constituents: prohibition on placing on the market
11
1
No person who is the person responsible in respect of an interoperability constituent shall place that interoperability constituent on the market unless —
a
the requirements of paragraph (2) have been met in relation to that interoperability constituent; or
b
the interoperability constituent that he places on the market is identical to an interoperability constituent that he has already placed on the market and in relation to which the requirements of paragraph (2) have been met.
2
The requirements referred to in paragraph (1) are that —
a
the interoperability constituent —
i
conforms to such European specifications as have been published in the Official Journal that are relevant to an interoperability constituent of that type, or
ii
where no such European specifications have been so published, or in the circumstances provided for in regulation 15, conforms to notified standards (if any) in relation to an interoperability constituent of that type;
b
the interoperability constituent meets such of the essential requirements as relate to an interoperability constituent of that type;
c
the appropriate conformity or suitability for use assessment procedure in respect of the interoperability constituent has been carried out;
d
where required by a TSI, a notified body is appointed to carry out the appropriate conformity or suitability for use assessment procedure in respect of that interoperability constituent;
e
either a conformity declaration or a suitability declaration, or both (as the case may be) has been drawn up in relation to the interoperability constituent by the person responsible in accordance with the requirements in Schedule 4; and
f
enables interoperability to be achieved within the trans-European high-speed rail system.
3
Where there is a requirement to prepare a conformity declaration or suitability declaration in relation to an interoperability constituent and that interoperability constituent is also subject to other requirements pursuant to a European Community Directive other than the high-speed Directive, the person who prepares that conformity declaration or suitability declaration shall state in that declaration whether or not the interoperability constituent in question meets those other requirements.
Interoperability constituents: duties on persons other than the person responsible
12
Where in the case of an interoperability constituent, any of the requirements of regulation 11 have not been met by the person responsible, such requirements shall be met by any person who —
a
places that interoperability constituent on the market; or
b
uses that interoperability constituent, or any part of it, in any interoperability constituent that he is manufacturing or assembling, or in any subsystem that he is constructing or upgrading.
Structural subsystems: duties on a contracting entity
13
1
This regulation applies where —
a
a contracting entity is —
i
intending to contract with another person for the design, manufacture or construction by that other person of a structural subsystem, or
ii
proposing himself to design, manufacture or construct a structural subsystem; or
b
a contracting entity has —
i
contracted with another person for the design, manufacture or construction of a structural subsystem, or
ii
has himself commenced work on the design, manufacture or construction of a structural subsystem.
2
The contracting entity shall appoint a notified body in relation to the structural subsystem in question —
a
forthwith, when contracting with another person who is to design the structural subsystem;
b
before selecting or completing the design for the structural subsystem, where he is designing that structural subsystem himself; or
c
within three months of the coming into force of these Regulations where the contracting entity —
i
is himself in the course of designing or constructing the structural subsystem, or
ii
has contracted with another person for, the design, manufacture or construction of the structural subsystem.
3
Where the contracting entity is required by paragraph (2) to appoint a notified body, that contracting entity shall ensure that a notified body (whether that originally appointed or another) continues to be appointed in relation to the structural subsystem in question until authorisation pursuant to regulation 14 is given or refused.
4
The contracting entity shall ensure that the structural subsystem conforms to all relevant TSIs; except that where —
a
there are no relevant TSIs;
b
a relevant TSI does not govern all elements of the structural subsystem;
c
the structural subsystem is not required to conform with the whole or part of a relevant TSI pursuant to regulation 15; or
d
permitted by an exemption granted by the supervisory authority in accordance with paragraph (5),
the structural subsystem, or part of the structural subsystem, not governed by any relevant TSI shall conform with the notified standards (if any) that relate to it.
5
Where a relevant TSI permits non-conformity with part or all of its provisions on the basis that conformity with those provisions would result in the structural subsystem being technically incompatible with the existing rail network schemes in which it is proposed to be placed into service, a contracting entity may apply to the supervisory authority for an exemption from those provisions.
6
Provided the contracting entity has satisfied the requirements of paragraphs (4) and (7), he shall draw up a verification declaration in relation to the structural subsystem in accordance with the procedure required by Schedule 5.
7
The requirements referred to in paragraph (6) are that —
a
the structural subsystem meets such of the essential requirements as relate to that type of structural subsystem;
b
the appropriate verification assessment procedure in respect of the structural subsystem has been carried out in accordance with regulation 20;
c
the certificate of conformity has been drawn up in relation to the structural subsystem in accordance with the procedures required by Schedule 6; and
d
the technical file contains the information and documents required by paragraph (9).
8
Where the RVAR constitute part of the notified standards, and pursuant to paragraph (4) they are standards with which high-speed rolling stock is required to comply, a contracting entity may apply —
a
in relation to Great Britain to the Secretary of State, or
b
in relation to Northern Ireland to the Department,
for an accessibility compliance certificate in respect of that high-speed rolling stock pursuant to the procedure set out in regulation 22.
9
The following shall be placed in the technical file —
a
the items required by paragraph 4 of Schedule 6;
b
records relating to the conditions and limits of use of the structural subsystem;
c
manuals and instructions relating to the servicing, maintenance and configuration control of the structural subsystem;
d
in respect of high-speed rolling stock in circumstances falling within paragraph (8), the accessibility compliance certificate (if any);
e
details of any exemption orders granted in respect of the structural subsystem under section 47(1) of the Disability Discrimination Act 1995; and
f
documentation or records demonstrating compliance with the notified standards where those standards are used.
10
Where a contracting entity is the owner of a structural subsystem, he shall, from the time that the structural subsystem is placed into service until it is permanently withdrawn from service (whether such service is in the United Kingdom or in the territory of another Member State), retain —
a
the technical file, which shall include the documentation it contained at the date of authorisation pursuant to regulation 14;
b
the certificate of conformity; and
c
the verification declaration.
11
Where a contracting entity who is the owner of a structural subsystem disposes of his interest in it, he shall transfer to the person who acquires that interest the items specified in sub-paragraphs (a) to (c) of paragraph (10) and thereafter, for the purposes of paragraph (10) and this paragraph, the acquirer shall be regarded as being the contracting entity.
12
Where a contracting entity is not the owner of the structural subsystem, he shall transfer to the owner of the structural subsystem the items specified in sub-paragraphs (a) to (c) of paragraph (10) within 60 days of obtaining an authorisation under regulation 14 in respect of that structural subsystem, and thereafter, for the purposes of paragraphs (10) and (11) and this paragraph, the owner shall be regarded as being the contracting entity.
13
In this regulation “design” includes the selection of a design.
Structural subsystems: authorisation
14
1
No person shall place into service a structural subsystem that he has constructed or upgraded unless the supervisory authority has given an authorisation for its placing into service (but see regulation 17).
2
A request for an authorisation under paragraph (1) shall be made in writing and be accompanied by, in relation to the structural subsystem in question —
a
the certificate of conformity;
b
the technical file; and
c
the verification declaration.
3
The supervisory authority shall not give an authorisation for the placing into service of a structural subsystem unless it is satisfied in relation to that structural subsystem that —
a
the verification declaration has been drawn up in accordance with Schedule 5;
b
the technical file is complete; and
c
it has been designed, constructed and installed in such a way so as not to hinder satisfaction of the essential requirements when it is placed into service as part of the rail network schemes.
4
The supervisory authority shall not refuse to give an authorisation for placing into service of a structural subsystem if the structural subsystem —
a
satisfies the conditions set out in paragraph (3)(a) and (b); and
b
meets the essential requirements relating to it.
5
After receiving a request for authorisation under paragraph (2), the supervisory authority may require a contracting entity to carry out any additional checks which it considers to be necessary in relation to a structural subsystem if that subsystem appears to the supervisory authority not to meet the requirements of regulation 13(4) and (7) and in particular the essential requirements.
6
After receiving a request for authorisation under paragraph (2) the supervisory authority shall —
a
authorise the placing into service of the structural subsystem;
b
inform the contracting entity that additional checks will be required pursuant to paragraph (5) before the request can be considered further; or
c
refuse the request for authorisation.
7
Subject to paragraph (8) where a contracting entity —
a
contracts with another person for the construction of; or
b
is himself constructing,
a number of items of high-speed rolling stock, to the same standards and specifications, he shall only be required to obtain authorisation pursuant to this regulation in respect of the first of those items placed into service that has been constructed to those standards and specifications.
8
For the purposes of paragraph (7) the items of high-speed rolling stock to be taken into account shall include only items that are the subject of the same contract or the same project; and for these purposes a contract shall be taken to include an option to purchase further items of high-speed rolling stock to the same standards and specifications provided that the option —
a
was agreed at the time the contract was made; and
b
is exercised by the contracting entity within five years of the time that the contract was made; except that where an item of high-speed rolling stock constructed under that contract is authorised pursuant to regulation 14 within four years from that time, the option must be exercised within 12 months of the date of that authorisation.
Exemption from need to conform with the TSIs
15
1
The circumstances in which the subsystems and interoperability constituents comprised in a project need not conform with the whole or part of any relevant TSI are where a derogation relating to that project has been —
a
notified by the Secretary of State to the Commission as provided for in Article 7(a) of the high-speed Directive;
b
notified by the Secretary of State to the Commission as provided for in Article 7(b) or (c) of the high-speed Directive; or
c
notified by the Secretary of State to the Commission and permitted by the Commission as provided for in Article 7(d) of the high-speed Directive.
2
For the purposes of paragraph (1)(a), a derogation notified pursuant to Article 7(a) of the high-speed Directive shall have no effect in relation to a subsystem or interoperability constituent unless —
a
the project in which that subsystem or interoperability constituent is to be used is at an advanced stage of development at the time the relevant TSI was published; and
b
the derogation has been notified to the Commission before authorisation is given pursuant to regulation 14.
3
For the purposes of paragraph (1)(b), a derogation notified pursuant to Article 7(b) or (c) of the high-speed Directive shall have no effect in relation to a subsystem or interoperability constituent unless the derogation has been notified to the Commission before the physical construction of the project in which that subsystem is to be used has commenced.
4
For the purposes of paragraph (1)(c), a derogation notified pursuant to Article 7(d) of the high-speed Directive shall have no effect in relation to a subsystem unless the derogation is notified to and permitted by the Commission before the physical construction of the project in which that subsystem is to be used has commenced.
Structural subsystems: screening decisions
16
1
A contracting entity shall unless satisfied that those works constitute upgrading of the relevant rail network scheme —
a
before —
i
entering into a contract with another person for major works in relation to, or
ii
commencing major work himself on,
an existing structural subsystem or part of a structural subsystem which changes the performance of that structural subsystem; or
b
within three months of the coming into force of these Regulations, where he has —
i
already contracted with another person for major works in relation to an existing structural subsystem or part of a structural subsystem which changes the performance of that structural subsystem and those works have not been completed, or
ii
has himself commenced major works on an existing structural subsystem or part of a structural subsystem which changes the performance of that structural subsystem and these works have not been completed,
make a request in writing to the supervisory authority for a decision as to whether or not those works constitute upgrading of a rail network scheme (a “screening decision”) for the purpose of these Regulations.
2
Any question as to whether proposed works constitute major works that change the performance of a structural subsystem shall be determined by the supervisory authority.
3
A request made pursuant to paragraph (1) shall be accompanied by the following information —
a
a description of the nature and scope of the proposed works;
b
the dates when the works are due to commence, finish and be placed into service;
c
in relation to works in Great Britain falling under paragraph (1)(b), a list of any approvals given by the Executive under the Railways and Other Transport Systems (Approval of Works, Plant and Equipment) Regulations 1994 ;
d
if it is likely that the contracting entity will in relation to the works —
i
seek not to conform with the whole or part of a TSI pursuant to regulation 15, or
ii
make an application for an exemption pursuant to regulation 13(5),
a description of the nature and extent of any such proposed non-conformity or exemption; and
e
an implementation plan in respect of the works.
4
If the supervisory authority considers that the information provided by the contracting entity in or with a request made under paragraph (1) is insufficient to enable it to make a screening decision the supervisory authority shall notify the contracting entity in writing of the additional information that it considers it requires in order to make that decision.
5
On receiving a notification under paragraph (4), the contracting entity shall provide the supervisory authority with such of the additional information specified in that notification as the contracting entity is reasonably able to supply and, where any of the additional information so specified is not provided, a written explanation as to why the contracting entity is unable to provide that information.
6
In making its screening decision, the factors the supervisory authority shall take into account shall include —
a
the implementation strategy provided in any relevant TSI; and
b
the scale of the proposed works.
7
If the supervisory authority considers that the proposed works would be likely to affect the overall level of safety of the relevant rail network scheme or any part of it, its screening decision shall be that the works constitute an upgrade of that structural subsystem for the purpose of these Regulations.
8
The supervisory authority shall notify the contracting entity of its screening decision in writing.
9
If the supervisory authority decides that the proposed works constitute upgrading of the rail network schemes for the purpose of these Regulations, the supervisory authority shall give reasons for that decision in the notification given under paragraph (8).
10
If at any stage of the execution of the works there is a change in the information provided by the contracting entity to the supervisory authority under paragraphs (3) or (5), the contracting entity shall notify the supervisory authority of that change and the supervisory authority shall then consider whether that change affects the screening decision given under paragraph (8).
11
If the supervisory authority considers that the change notified under paragraph (10) affects the screening decision the supervisory authority shall confirm or vary that decision and the requirements of paragraphs (8) and (9) will apply to that confirmation or variation.
12
At the same time as the contracting entity sends to the supervisory authority the information required by paragraphs (3), (5) and (10) it shall send a copy of that information to the Authority.
13
For the purpose of this regulation “implementation plan” means a description of how a contracting entity will manage and undertake the works, the interface of infrastructure with rolling stock, and the impact of the works on other persons who may be affected by those works.
Structural subsystems: staged works decisions
17
1
Nothing in regulation 14 prevents a stage of a relevant upgrading project being placed into service prior to an authorisation being given pursuant to regulation 14, if it is placed into service in accordance with the following paragraphs of this regulation.
2
A contracting entity may at any time during a relevant upgrading project make a request in writing to the supervisory authority for a decision on whether a stage of that project may be placed into service prior to an authorisation being given pursuant to regulation 14 (a “staged works decision”).
3
A request made under paragraph (2) shall be accompanied by the following information —
a
a description of the upgrading project;
b
the dates when each stage of the project is due to commence and finish and be placed into service;
c
a description of how the work will be carried out in each stage;
d
the arrangements to be put in place by the contracting entity to ensure the continued safety of any part of a rail network scheme affected by the upgrading project for the duration of that project; and
e
the date when an authorisation under regulation 14 will be sought.
4
If the supervisory authority considers that the information provided by a contracting entity in a request made under paragraph (2) is insufficient to enable it to make a staged works decision the supervisory authority shall notify the contracting entity in writing of the additional information that it considers it requires in order to make that decision.
5
On receiving a notification under paragraph (4), the contracting entity shall provide the supervisory authority with such of the additional information specified in that notification as the applicant is reasonably able to supply and, where any of the additional information so specified is not provided, a written explanation as to why the applicant is unable to provide that information.
6
The supervisory authority shall notify the contracting entity in writing of its staged works decision.
7
The staged works decision may contain such conditions as the supervisory authority considers necessary to ensure that the overall level of safety of the relevant part of a rail network scheme is not adversely affected.
8
If at any stage of the upgrading project there is a change in the information provided by the contracting entity to the supervisory authority under paragraphs (3) or (5), the contracting entity shall notify the supervisory authority of that change and the supervisory authority shall then consider whether it affects the staged works decision given under paragraph (6) or the conditions attached to that decision under paragraph (7).
9
If a change notified under paragraph (8) affects the staged works decision, or the conditions attached to that decision, the supervisory authority —
a
shall confirm or vary the staged works decision; and
b
may remove or amend the conditions given under paragraph (7) or attach new conditions to the staged works decision,
and the requirements of paragraphs (6) and (7) shall apply to any action taken by the supervisory authority under this paragraph.
10
For the purpose of this regulation “a relevant upgrading project” means a project to upgrade an infrastructure subsystem, an energy subsystem, or a control and command and signalling subsystem.
Fees payable to the supervisory authority
18
1
A fee shall be payable by the contracting entity to the supervisory authority for work carried out in Great Britain by or on behalf of the supervisory authority in relation to —
a
a request by that contracting entity pursuant to —
i
regulation 14(2) for an authorisation,
ii
regulation 16(1) for a screening decision, or
iii
regulation 17(2) for a staged works decision; and
b
the re-consideration of a —
i
screening decision pursuant to regulation 16(10), or
ii
staged works decision pursuant to regulation 17(8).
2
The fee payable under paragraph (1) shall —
a
not exceed the sum of the costs reasonably incurred by the supervisory authority in carrying out the work referred to in paragraph (1); and
b
be payable within 30 days from the date of the invoice that the supervisory authority has sent or given to the person who is required to pay the fees, such invoice to include a statement of the work done and the costs reasonably incurred including the period to which the statement relates.
3
A fee payable under this regulation shall be recoverable as a civil debt.
4
Failure to pay a fee under this regulation shall not constitute an offence under these Regulations.
5
This regulation does not apply to the Intergovernmental Commission in respect of work carried out under regulations 14, 16 and 17 in relation to the Channel Tunnel system.
PART IV
Assessment Procedures
Interoperability constituents: appropriate assessment procedure
19
For the purposes of regulation 11(2)(c) the appropriate conformity or suitability for use assessment procedure in relation to an interoperability constituent shall be —
a
the procedure specified:
i
in the TSI (if any) with which the interoperability constituent must comply; and
ii
by any relevant European specification (if any) with which the interoperability constituent must comply; or
b
in the absence of such a TSI or such a European specification, such conformity or suitability for use assessment procedure that is considered to be appropriate by the notified body; and
in any such case any relevant procedures set out in Schedule 4.
Structural subsystems: appropriate verification assessment procedure
20
1
Subject to paragraph (3) for the purposes of regulation 13(7)(b) the appropriate verification assessment procedure in relation to a structural subsystem shall be —
a
in so far as that subsystem is required to conform with part or all of a TSI, the procedures specified in the TSI or part of the TSI with which it is required to conform;
b
in so far as that structural subsystem is required to conform with notified standards, such procedures as the notified body considers appropriate to assess that structural subsystem against the notified standards with which it is required to conform; and
c
the procedures set out in Schedule 6.
2
The notified body shall compile the technical file.
3
Where the contracting entity has already commenced work on the construction or upgrade of a structural subsystem prior to these Regulations coming into force, the notified body may, with the agreement of the contracting entity, determine, having regard to documentation or other evidence produced by the contracting entity in respect of that work, that there is no need for it to assess the work that was carried out prior to its appointment and in those circumstances the notified body need not assess that work.
4
Where the RVAR constitute part of the notified standards, and pursuant to regulation 13(4) they are standards with which high-speed rolling stock is required to comply, before drawing up the certificate of conformity the notified body shall —
a
assess the compliance of that high-speed rolling stock with the RVAR; and
b
ensure that where there is not full compliance with the RVAR that high-speed rolling stock is exempt from those provisions of the RVAR by virtue of an exemption order granted under section 47(1) of the Disability Discrimination Act 1995.
Effect of declarations
21
1
Subject to paragraph (3), an interoperability constituent in relation to which such conformity declaration or suitability declaration as is required by regulation 11(2)(f) has been prepared shall be taken to —
a
meet such of the essential requirements as relate to an interoperability constituent of that type; and
b
conform to such of the European specifications or notified standards as are required by regulation 11(2)(a),
unless there are reasonable grounds for believing that it does not so conform.
2
Subject to paragraph (4), a structural subsystem in relation to which a verification declaration has been prepared in accordance with regulation 13(6) shall be taken to —
a
meet such of the essential requirements as relate to a structural subsystem of that type; and
b
conform to such of the TSIs or notified standards as are required by regulation 13(4),
unless there are reasonable grounds for believing that it does not so conform.
3
Paragraph (1) does not apply in relation to the Executive where a person fails or refuses to make available to the Executive the documentation which he is required to retain by any of the conformity or suitability for use assessment procedures which apply to the interoperability constituent in question or a copy of that documentation.
4
Paragraph (2) does not apply in relation to the Executive where a person fails or refuses to make available to the Executive the documentation which he is required to retain —
a
by the verification assessment procedure which applies to the structural subsystem in question; and
b
pursuant to regulation 13; or
a copy of that documentation.
PART V
Miscellaneous
Accessibility compliance certificates
22
1
Where a contracting entity makes an application for an accessibility compliance certificate pursuant to regulation 13(8), the application shall be made in writing and be accompanied by the following information —
a
a description of the high-speed rolling stock to which the application relates;
b
a description of how the high-speed rolling stock complies with each individual requirement of the RVAR;
c
details of any exemption orders made under section 47(1) of the Disability Discrimination Act 1995; and
d
documentation demonstrating how the notified body assessed the high-speed rolling stock with the RVAR.
2
If the Secretary of State considers that the information provided by the contracting entity with an application made under paragraph (1) is insufficient to enable him to issue an accessibility compliance certificate, the Secretary of State shall notify the contracting entity in writing of the additional information that he requires in order to be able to consider whether he may issue the accessibility compliance certificate.
3
On receiving a notification under paragraph (2) the contracting entity shall provide the Secretary of State with such of the additional information specified in that notification as the contracting entity is reasonably able to supply and, where any of the additional information so specified is not provided, a written explanation as to why the contracting entity is unable to provide that information.
4
The Secretary of State shall issue an accessibility compliance certificate provided he is satisfied that the high-speed rolling stock in respect of which the application is made —
a
complies with the RVAR; or
b
though not complying fully with the RVAR is exempt from those provisions of the RVAR with which it does not comply by virtue of an exemption order granted under section 47(1) of the Disability Discrimination Act 1995.
5
For the purposes of the application of this regulation to Northern Ireland, references in the preceding paragraphs to the Secretary of State should be construed as references to the Department.
Interoperability constituents: duties on operators
23
The operator of any interoperability constituent that is in use on, or is part of, a rail network scheme, shall ensure that while it is so in use it is —
a
correctly installed for the purpose for which it is intended to be used;
b
not used for any purpose other than the purpose for which it was designed; and
c
maintained in an efficient state, effective working order and good repair.
Structural subsystems: duties on owners
24
1
The owner of any structural subsystem that is in use on, or is part of, a rail network scheme, shall ensure that while it remains in his ownership —
a
it continues to conform to any TSIs and any notifed standards against which it was assessed; except that where those standards have been varied and appropriate replacement parts which conform to them are no longer available, it conforms to those varied TSIs or notified standards;
b
any maintenance manuals in relation to that structural subsystem are added to and kept as part of the technical file; and
c
any alterations made to the structural subsystem are documented and that documentation is added to and kept as part of the technical file.
2
The owner of a structural subsystem will be deemed to fulfil the requirements of paragraph (1) if another person with a legal interest in that structural subsystem is fulfilling those requirements.
Interoperability constituents: position after placing on the market
25
Nothing in these Regulations shall preclude any person from drawing up a conformity declaration or suitability declaration at any time in relation to an interoperability constituent which has been placed on the market provided that person has followed the requirements of these Regulations in relation to that interoperability constituent.
Structural subsystems: duties in respect of registers
26
1
The owner of authorised high-speed rolling stock shall create and maintain a register in accordance with paragraph (3) (“the rolling stock register”).
2
The owner of authorised high-speed infrastructure shall create and maintain a register in accordance with paragraph (4) (“the infrastructure register”).
3
The rolling stock register shall contain the following information in respect of authorised high-speed rolling stock —
a
all the information required by any relevant TSI; and
b
where conformity with the whole or part of a TSI is not required pursuant to regulation 15, or in the circumstances provided for in regulation 13(5), details of the part of the TSI that has not been conformed to.
4
The infrastructure register shall contain the following information in respect of authorised high-speed infrastructure —
a
all the information required by any relevant TSI; and
b
where conformity with the whole or part of a TSI is not required pursuant to regulation 15, or in the circumstances provided for in regulation 13(5), details of the part of the TSI that has not been conformed to.
5
The owner of —
a
authorised high-speed rolling stock shall maintain the rolling stock register; and
b
authorised high-speed infrastructure shall maintain the infrastructure register,
from the time that a structural subsystem owned by him is authorised for placing into service pursuant to regulation 14 and for the period that it remains in use and under his ownership.
6
The owner of authorised high-speed rolling stock and the owner of authorised high-speed infrastructure shall update any register that he is required to create and maintain in accordance with this regulation —
a
each time he obtains an authorisation for a structural subsystem pursuant to regulation 14; and
b
each time he acquires ownership of a structural subsystem to which these Regulations apply.
7
The owner of authorised high-speed rolling stock and the owner of authorised high-speed infrastructure shall send to the Authority a copy of —
a
any register that he is required to create under this regulation; and
b
any information that he is required to add to any register in accordance with paragraph (6),
within the period specified in paragraph (8).
8
The period referred to in paragraph (7) is —
a
as respects paragraph (7)(a), that of 21 days beginning with the date on which the authorisation under regulation 14 is given; and
b
as respects paragraph 7(b), that of 21 days beginning with the date on which the authorisation under regulation 14 is given or the ownership is acquired.
9
Where the owner of authorised high-speed rolling stock or the owner of high-speed infrastructure is not the operator of that rolling stock or infrastructure he shall send to the operator of that rolling stock or infrastructure a copy of the rolling stock register or infrastructure register, as the case may be, at the same time that he is required to send the rolling stock register or infrastructure register to the Authority in accordance with paragraph (7).
10
Where the owner of high-speed rolling stock or the owner of high-speed infrastructure disposes of his interest in that rolling stock or infrastructure he shall give to the person who acquires that interest the register that he has kept in respect of that rolling stock or infrastructure and the acquirer shall be regarded as being the owner of that rolling stock or infrastructure, as the case may be, for the purposes of this regulation.
11
For the purposes of this regulation;
a
“authorised high-speed infrastructure” means infrastructure subsystems, energy subsystems, and control and command and signalling subsystems that have been authorised for placing into service under regulation 14; and
b
“authorised high-speed rolling stock” means high-speed rolling stock that has been authorised for placing into service under regulation 14.
Notification of standards, technical specifications and technical rules to the Commission
27
1
Subject to paragraph (2), the Secretary of State shall notify in writing the Commission and the other Member States of the standards, technical specifications and technical rules in use in the United Kingdom in relation to —
a
interoperability constituents —
i
in the absence of European specifications, or
ii
in the circumstances provided for in regulation 15; and
b
structural subsystems —
i
in the absence of any relevant TSI,
ii
where a TSI does not govern all elements in relation to a structural subsystem,
iii
in the circumstances provided for in regulation 13(5), or
iv
in the circumstances provided for in regulation 15.
2
Paragraph (1) does not apply to any standard, technical specification or technical rule which could prevent interoperability constituents or subsystems, as the case may be, from meeting the essential requirements.
Interoperability constituents: notification to the Commission
28
1
Where it appears to the Executive that an interoperability constituent in relation to which a conformity declaration or suitability declaration has been prepared fails to meet the essential requirements it shall notify in writing the Commission, and where appropriate other Member States, of that fact forthwith.
2
Where a notice under paragraph (1) is given by the Executive, that notice shall specify —
a
the steps taken to prohibit or restrict the use of that interoperability constituent;
b
the reasons for taking those steps; and
c
any measures taken against a person who prepared the conformity declaration or suitability declaration.
Notification to the Commission of additional checks
29
1
The supervisory authority shall notify the Commission in writing forthwith of any additional checks it requires pursuant to regulation 14(5).
2
Where a notice under paragraph (1) is given by the supervisory authority, that notice shall specify —
a
the additional checks required; and
b
the reasons for requiring those additional checks.
Interoperability constituents: recognition of assessments of other Member States
30
Nothing in these Regulations shall preclude any person from placing on the market an interoperability constituent that has successfully completed all the requirements of any scheme in force in another Member State for the purpose of implementing the high-speed Directive.
PART VI
Enforcement
Enforcement in Great Britian
31
1
It shall be the duty of the Executive to make adequate arrangements for the enforcement of these Regulations in Great Britain and accordingly a reference to the enforcing authority in the provisions applied for those purposes by paragraph (3) shall be construed as a reference to the Executive.
2
Subject to paragraph (4), the provisions of the 1974 Act specified in paragraph (3) shall apply for the purposes of the enforcement in Great Britain of these Regulations as if they were Health and Safety Regulations for the purposes of that Act, and any function of the Health and Safety Commission under any other provisions of the 1974 Act which is exercisable in relation to any function of the Executive under or in respect of Health and Safety Regulations (including their enforcement) shall be exercisable as if these Regulations were Health and Safety Regulations for the purposes of that Act.
3
The provisions of the 1974 Act referred to in paragraph (2) are —
a
sections 19 to 22 (enforcement);
b
sections 23 (provisions supplementary to sections 21 and 22) and 24 (appeal against improvement or prohibition notice);
c
section 26 (power to indemnify inspectors); and
d
sections 33 to 42 (provisions as to offences).
4
A failure to discharge a duty placed on the —
a
Executive; or
b
supervisory authority,
by these Regulations shall not be an offence under section 33(1)(c) of the 1974 Act.
Enforcement in Northern Ireland
32
1
It shall be the duty of the Executive to make adequate arrangements for the enforcement of these Regulations in Northern Ireland and accordingly a reference to an “enforcing authority” in the provisions applied for those purposes by paragraph (3) shall be construed as a reference to the Executive.
2
Subject to paragraph (4), the provisions of the 1978 Order specified in paragraph (3) shall apply for the purposes of the enforcement in Northern Ireland of these Regulations as if they were Health and Safety Regulations for the purposes of that Order, and any function of the Health and Safety Executive for Northern Ireland under any other provisions of that Order which is exercisable in relation to any function of the Executive under or in respect of Health and Safety Regulations (including their enforcement) shall be exercisable as if these Regulations were Health and Safety Regulations for the purposes of that Order.
3
The provisions of the 1978 Order referred to in paragraph (2) are —
a
Article 20 to 24 (enforcement);
b
Articles 25 (provisions supplementary to Articles 23 and 24) and 26 (appeal against improvement or prohibition notice);
c
Article 28 (power to indemnify inspectors);
d
Articles 31 to 39 (provisions as to offences); and
e
Article 44(1) to (3) (application to Crown).
4
A failure to discharge a duty placed on the —
a
Executive; or
b
supervisory authority,
by these Regulations shall not be an offence under Article 31(1)(c) of the 1978 Order.
Notices relating to interoperability constituents not meeting the essential requirements
33
1
If the Executive is of the opinion that an interoperability constituent in relation to which a conformity declaration or suitability declaration has been prepared does not meet the essential requirements relating to it, the Executive may serve a notice on the person who is using or intending to use that interoperability constituent in the construction or upgrading of a structural subsystem in relation to which that person is a contracting entity, to prohibit the use of or restrict the area of use of that interoperability constituent.
2
The information to be contained in a notice served under paragraph (1) is —
a
a statement that the Executive is of the opinion referred to in paragraph (1);
b
the reasons for that opinion;
c
a direction that the interoperability constituent to which that notice relates shall not be used, or that its area of use shall be restricted; and
d
the date by which the contracting entity shall comply with the notice.
3
Any notice served under paragraph (1) may be withdrawn by the Executive serving written notice of the withdrawal on the contracting entity.
4
Where a notice has been served on the contracting entity in accordance with this regulation the contracting entity shall —
a
comply with that notice; and
b
notify the person who supplied him with the interoperability constituent in relation to which the notice under paragraph (1) was served —
i
that a notice under paragraph (1) has been served,
ii
of what the notice says, and
iii
that he requires that person in turn to notify his supplier with the same information required by this paragraph.
Defence of Due Diligence
34
1
Subject to the following provisions of this regulation, in any proceedings against any person for an offence under these Regulations it shall be a defence for that person to show that he took all reasonable steps and exercised all due diligence to avoid committing the offence.
2
Where in any proceedings against any person for such an offence the defence provided in paragraph (1) involves an allegation that the commission of the offence was due to —
a
the act or default of another; or
b
reliance on information given by another,
that person shall not, without the leave of the court, be entitled to rely on the defence unless, within a period ending seven clear days before the hearing of the proceedings (or in Scotland, the trial diet), he has served a notice under paragraph (3) on the person bringing the proceedings.
3
A notice under this paragraph shall give such information identifying, or assisting in the identification of, the person who committed the act or default or gave the information as is in the possession of the person serving the notice at the time he serves it.
4
A person shall not be entitled to rely on the defence provide by paragraph (1) by reason of his reliance on information supplied by another, unless he shows that it was reasonable in all the circumstances for him to have relied on the information, having regard in particular —
a
to the steps which he took, and those which might reasonably have been taken, for the purpose of verifying the information; and
b
to whether he had any reason to disbelieve the information.
Liability of persons other than the principal offender
35
1
Where the commission by any person of an offence under these Regulations is due to the act or default of some other person in the course of any business of his, the other person shall be guilty of the offence and may be proceeded against and punished by virtue of this paragraph whether or not proceedings are taken against the first-mentioned person.
2
Where a body corporate is guilty of an offence under these Regulations (including where it is so guilty by virtue of paragraph (1)) in respect of any act or default which is shown to have been committed with the consent or connivance of, or to be attributable to any neglect on the part of, any director, manager, secretary or other similar officer of the body corporate or any person who was purporting to act in any such capacity he, as well as the body corporate, shall be guilty of that offence and shall be liable to be proceeded against and punished accordingly.
3
Where the affairs of a body corporate are managed by its members, paragraph (2) shall apply in relation to the acts and defaults of a member in connection with his functions of management as if he were a director of the body corporate.
4
In this regulation, references to a “body corporate” include references to a partnership in Scotland and, in relation to such partnership, any reference to a director, manager, secretary or other similar officer of a body corporate is a reference to a partner.
PART VII
Consequential Amendment
Amendment of the Railways and Other Transport Systems (Approval of Works, Plant and Equipment) Regulations 1994
36
In regulation 4 of the Railways and Other Transport Systems (Approval of Works, Plant and Equipment) Regulations 1994 —
a
after paragraph (2) there shall be inserted the following paragraph —
2A
Approval shall not be required in relation to any interoperability constituent or any subsystem to the extent that the interoperability constituent or subsystem, as the case may be, is subject to the requirements of regulations 11 to 17 of the Railways (Interoperability) (High-Speed) Regulations 2002.
; and
b
after paragraph (4) there shall be added the following paragraph —
5
In this regulation, “interoperability constituent” and “subsystem” shall have the same meanings as they have in the Railways (Interoperability) (High-Speed) Regulations 2002.
PART VIII
Transitional Provisions and Revocations
Transitional provisions and revocations
37
1
Subject to paragraph (4), the 2000 Regulations are hereby revoked.
2
Subject to paragraph (3) a notified body appointed by the Secretary of State pursuant to the 2000 Regulations and notified to the Commission and the other Member States pursuant to Article 20(1) of the high-speed Directive shall be a notified body for the purposes of these Regulations, as if its appointment under the 2000 Regulations was an appointment under regulation 5 of these Regulations.
3
Paragraphs (5) to (9) of regulation 5 shall not apply in relation to a notified body to which paragraph (2) applies.
4
Paragraphs (4), (5) and (6) of regulation 4 and regulation 6 of the 2000 Regulations shall continue to have effect in relation to a notified body referred to in paragraph (2).
Signed by the authority of the Secretary of State for Transport, Local Government and the Regions
John Spellar
Minister of State,
Department for Transport, Local Government and the Regions
24th April 2002


text:
Name and commencement
1
1
This Order is called the Ceredigion and Pembrokeshire (St Dogmaels) Order 2002.
2
This Order shall come into force on 1 April 2003 which is the appointed day for the purposes of the Regulations, except that for the purpose of all proceedings preliminary or relating to an election to be held on or after that date this Order shall come into force on the day after that on which it is made.
Interpretation
2
In this Order —
“ boundary map A” (“ map ffiniau A ”) means the map prepared by the National Assembly for Wales and marked “Map A of the Ceredigion and Pembrokeshire (St Dogmaels) Order 2002” and deposited in accordance with Regulation 5 of the Regulations;
“boundary map B” (“ map ffiniau B ”) means the map prepared by the National Assembly for Wales and marked “Map B of the Ceredigion and Pembrokeshire (St Dogmaels) Order 2002” and deposited in accordance with Regulation 5 of the Regulations;
“the Regulations” (“ y Rheoliadau ”) means the Local Government Area Changes Regulations 1976 (as amended) ;
“Ceredigion” means the County of Ceredigion.
“Pembrokeshire” (“ Sir Benfro ”) means the County of Pembrokeshire.
Changes in Community Areas
3
The parts of Ceredigion which are marked A on boundary map A and marked B on boundary map B shall be separated from that county and shall form part of Pembrokeshire. The community of St Dogmaels will therefore form part of Pembrokeshire.
Signed on behalf of the National Assembly for Wales
E. Hart
Minister for Finance, Local Government and Communities
6th December 2002


text:
1
This Order may be cited as the Income Tax (Indexation) (No. 2) Order 2002.
2
1
The amounts which, unless Parliament otherwise determines, will be treated by virtue of sections 257C(1) and 265(1A) of the Income and Corporation Taxes Act 1988 as specified for the year 2003-04 in sections 257 and 257A , and 265 of that Act are set out in paragraphs (2), (3), and (4).
2
In section 257(5) of that Act (personal allowance – income limit for age-related allowances) – £18,300.
3
In section 257A of that Act (married couple’s allowance) –
a
in subsection (2) (married couple’s allowance – age 68 to 74 and born before 6 April 1935) – £5,565;
b
in subsection (3) (married couple’s allowance – age 75 and over) – £5,635;
c
in subsection (5) (income limit for age-related allowances) – £18,300;
d
in subsection (5A) (minimum married couple’s allowance) – £2,150.
4
In section 265(1) of that Act (blind person’s allowance) – £1,510.
Nick Ainger
Jim Fitzpatrick
Two of the Lords Commissioners of Her Majesty’s Treasury
27th November 2002


text:
This Order may be cited as the General Dental Council (Election of Members) Rules Order of Council 2002 and shall come into force on 30th September 2002.
A. K. Galloway
Clerk of the Privy Council


text:
Citation and commencement
1
1
This order may be cited as the Velindre National Health Service Trust (Establishment) Amendment (No. 2) Order 2002 and shall come into force on 1st October 2002.
2
In this Order, “the principal Order” (“ y prif Orchymyn ”) means the Velindre National Health Service Trust (Establishment) Order 1993 as amended .
Amendment of article 3 of the principal Order
2
The principal Order shall be amended by the insertion after article 3(2) of the following —
d
to manage and provide to or in relation to the health service in Wales a range of public health, health protection and health advisory services, child protection services, microbiological laboratory services and services relating to the surveillance, prevention and control of communicable diseases.
.
Amendment of article 4 of the principal Order
3
In article 4 of the principal Order (Directors of the trust), for “4 executive directors” substitute “5 executive directors.”.
Signed on behalf of the National Assembly for Wales under section 66(1) of the Government of Wales Act 1998
Jane Davidson
The Minister for Education and Lifelong Learning
21st August 2002


text:
1
1
These Regulations may be cited as The Dual-Use Items (Export Control) (Amendment) (No. 2) Regulations 2002 and shall come into force on 21st August 2002.
2
In this Regulation the “principal Regulations” are the Dual-Use Items (Export Control) Regulations 2000 .
2
Schedule 2, category 1 of the principal Regulations are amended by adding, after paragraph “1C Materials”,
“ 1C 993 The export of items specified in this entry is prohibited to any destination.”
“Previously separated” americium-241, -242m or -243 in any form;
except:
exports with an americium content of 10g or less.
3
Schedule 1A of the principal Regulations is amended by adding, after “Council Regulation ( EC ) No. 2432/2001 of 20th November 2001”,
Council Regulation (EC) No. 880/2002 (O.J L139, 29.5.2002, p7).
Nigel Griffiths
Parliamentary Under Secretary of State for Small Business,
Department of Trade and Industry
29th July 2002


text:
Citation, commencement, interpretation and extent
1
1
These Regulations may be cited as the Police Authorities (Three-year Strategy Plans) Regulations 2002 and shall come into force on 1st November 2002.
2
In these Regulations “the 1996 Act ” means the Police Act 1996.
3
These Regulations extend to England and Wales.
Three-year periods
2
1
The first period to be treated as constituting a relevant three-year period for the purposes of section 6A of the 1996 Act is the period of two years ending on 31st March 2005.
2
Subsequent relevant three-year periods shall be the three-year periods commencing on 1st April 2005, 1st April 2008 and every third year thereafter.
John Denham
Minister of State
Home Office
6th October 2002