Department For Transport
The government agreed to continue recognising EU conformity assessment markings and documentation for some manufactured goods for a set period after 1 January 2021. This included a 2-year recognition period for interoperable rail products to support industrys transition to the new domestic regulatory framework.
The Department for Business, Energy and Industrial Strategy (BEIS) announced on 20 June 2022 that a number of measures would be introduced to end recognition of CE-marked manufactured products from 1 January 2023, to support businesses in complying with the UK conformity assessment (UKCA) requirements.
The government has decided to implement these easements for rail component products, known as interoperability constituents. The easements are intended to make it easier and less costly for businesses to comply with the UK conformity assessment product regime from 1 January 2023.
This technical notice sets out the policy of ending the recognition of EC certification for interoperability constituents and subsystems and explains how the easements announced for UKCA product sectors will apply in the context of rail.
This is only applicable to products for use in domestic rail services in Great Britain. In Northern Ireland requirements for standards and conformity assessments will align with Directive (EU) 2016/797. Further guidance on Northern Ireland will be issued separately.
In addition, the government will introduce legislation to end the recognition of EU certificates issued to entities in charge of maintenance (ECMs) with responsibility for freight wagons operating domestically in GB, from 1 January 2023.
For vehicles used in international services, the UK will continue to meet its obligations under the Convention concerning International Carriage by Rail (COTIF), which provides for recognition of some EU conformity assessment documentation and ECM certification.
Rail interoperability constituents and subsystems
Background
The Railways (Interoperability) Regulations 2011 (RIR 2011), as amended by the Railways (Interoperability) (Amendment) (EU Exit) 2019 Exit Regulations, provide for the unilateral recognition of subsystems and interoperability constituents that have been assessed against EU standards (Technical Specifications for Interoperability TSIs) where there are no applicable UK specific cases in the corresponding GB standards National Technical Specification Notices NTSNs.
The government previously announced that the period of unilateral recognition of relevant documentation issued in the EU will be time-limited to 24 months (between 1 January 2021 and 31 December 2022) for the purposes of placing an interoperability constituent on the market, or seeking an authorisation to place a subsystem into service. While RIR 2011 does not yet include an end date to recognition, the government will bring forward legislation to give effect to this deadline from 1 January 2023.
1. Current requirements in RIR 2011 for placing interoperability constituents on the market with a UK declaration of conformity or suitability for use
A person intending to place an interoperability constituent on the market can only do so if a UK declaration of conformity or suitability for use has been drawn up for it in accordance with Schedule 7 of RIR 2011. Depending on the interoperability constituent, this may require an assessment by a UK approved body that the interoperability constituent meets the relevant NTSN requirements for that interoperability constituent and, if applicable, an assessment by a UK designated body that the interoperability constituent meets any applicable UK specific case requirements. The person intending to place that interoperability constituent on the market (normally the manufacturer) can then draw up a UK declaration of conformity or suitability for use on the basis of the examination certificates issued by the approved body and, if applicable, designated body.
2. Current recognition of EC declarations of conformity or suitability for use for interoperability constituents
Currently, interoperability constituents with an EC declaration of conformity or suitability for use can be placed on the market where there are no UK specific cases applicable to that interoperability constituent.
Where there is a UK specific case in relation to an interoperability constituent, regulation 24(4) of RIR 2011 requires that an assessment of the conformity or suitability for use against the applicable UK specific case(s) is carried out by a designated body in accordance with the NTSN on assessment and further assessment of interoperability constituents (available here).
This applies both to interoperability constituents with EC declarations of conformity or suitability for use and interoperability constituents that have been assessed in the UK by an approved body. The NTSN on assessment and further assessment of interoperability constituents sets out a process where a UK designated body must assess the conformity or suitability for use against the applicable UK specific case(s) and, if the assessment is positive, the manufacturer can then draw up a UK declaration of conformity for the purposes of placing the interoperability constituent on the GB market.
3. New requirements from 1 January 2023: Ending recognition of EC declarations for interoperability constituents
The government will introduce legislation so that, from 1 January 2023, a UK declaration of conformity or suitability for use will be required to place an interoperability constituent on the GB market. It will no longer be possible to place an interoperability constituent on the GB market from this date with an EC declaration of conformity or suitability for use.
The legislation will set out that interoperability constituents placed on the UK market before 1 January 2023 with an EC declaration of conformity or suitability for use in accordance with regulation 23(2) of
RIR 2011 can continue to be sold on the GB market. In addition, where that interoperability constituent is subsequently incorporated into a subsystem being authorised by the ORR on or after 1 January 2023, that interoperability constituent should be presumed to meet the essential requirements that relate to an interoperability constituent of that type and conform to the applicable NTSN.
4. Ending recognition of EC declarations of verification for subsystems
Currently an EC declaration of verification drawn up on the basis of an EC certificate of verification is valid for the purposes of seeking an authorisation from the ORR.
After 1 January 2023, a UK certificate of verification will be required in order to