The Railways (Interoperability) Regulations 2011

1. Introductory Text

2. PART 1 Interpretation and Application

   1. 1. Citation, commencement and extent

   2. 2. Interpretation

   3. 3. Application

   4. 3A. Appointment and obligations of an authorised representative

3. PART 1A National Technical Specification Notices and National Technical Rules

   1. 3B. Publication of National Technical Specification Notices

   2. 3C. Publication of a list of National Technical Rules

4. PART 2 Subsystems

   1. 4. Requirement for authorisation

   2. 5. Application for authorisation

   3. 6. Authorisation for a vehicle already authorised for an EU Member State

   4. 7. Authorisation decision

   5. 8. Determination of type

   6. 9. Type authorisation

   7. 10. Type authorisation: changes to applicable standards

   8. 11. Revocation of authorisations

   9. 12. List of projects for the renewal or upgrading of subsystems

   10. 13. Authorisation requirements for the renewal or upgrading of subsystems

   11. 14. Exemption from need to conform with NTSNs (exemptions)

   12. 14A. Application for exemptions

   13. 15. Essential requirements for project subsystems

   14. 16. Role of project entity

   15. 17. Project subsystems: UK verification assessment procedure

   16. 18. Project subsystems: UK declaration of verification

   17. 19. Retention of documents

   18. 20. Continuing duty on operator in relation to standards

   19. 21. Fees payable to the Safety Authority

   20. 22. Fees payable to the Competent Authority

5. PART 3 Interoperability Constituents

   1. 23. Prohibition on placing interoperability constituents on the market

   2. 24. Assessment procedure for interoperability constituents

   3. 25. UK declaration of conformity or suitability for use

   4. 26. Effect of declarations of conformity or suitability for use

   5. 27. Duties on operators

   6. 28. Recognition of assessments of other Member States

   7. 29. Notification to the European Commission of incorrect declaration

6. PART 4 Approved and Designated Bodies

   1. 30. Approved bodies

   2. 31. Appointment of approved bodies and designated bodies

   3. 32. Approved bodies and designated bodies: certificates etc.

   4. 33. Fees of approved bodies and designated bodies

   5. 34. Fees of the Secretary of State

   6. 34A. Register of approved bodies

   7. 34B. UK national accreditation body

7. PART 5 Registers

   1. 35. Register of infrastructure

   2. 36. National vehicle register

8. PART 6 Appeals and Enforcement

   1. 37. Appeals in Great Britain

   2. 38. Appeals in Northern Ireland

   3. 39. Enforcement in Great Britain

   4. 40. Enforcement in Northern Ireland

   5. 41. Notices relating to interoperability constituents not meeting the essential requirements

   6. 42. Notice of improper drawing up of the EC or UK declaration of conformity or suitability for use for an interoperability constituent

   7. 43. Defence of due diligence

9. PART 7 Supplementary

   1. 44. Deemed authorisation

   2. 45. Accessibility for people with reduced mobility

   3. 46. Dispensations

   4. 47. Revocation and savings

   5. 47A. Further savings and transitional arrangements

   6. 48. Amendments to legislation

   7. 49. Review

10. Signature

11. 1. SCHEDULE 1

       Amendments to legislation

       1. 1. Section 182 of the Equality Act 2010 (rail vehicle accessibility...

       2. 2. In regulation 2(1) of the Rail Vehicle Accessibility (Non-Interoperable Rail...

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

    2. SCHEDULE 2

       Essential Requirements

       1. (This Schedule substantially reproduces Annex III to the Directive with amendments to correct deficiencies arising from the UK’s withdrawal from the European Union.)

          1. 1. General requirements

          2. 1.1. Safety (1.1.1) The design, construction or assembly, maintenance and monitoring...

          3. 1.2. Reliability and availability The monitoring and maintenance of fixed or...

          4. 1.3. Health (1.3.1) Materials likely, by virtue of the way they...

          5. 1.4. Environmental protection (1.4.1) The environmental impact of establishment and operation...

          6. 1.5. Technical compatibility The technical characteristics of the infrastructure and fixed...

          7. 1.6. Accessibility (1.6.1) The ‘infrastructure’ and ‘rolling stock’ subsystems must be...

          8. 2. Requirements specific to each subsystem

          9. 2.1. Infrastructure (2.1.1) Safety Appropriate steps must be taken to prevent...

          10. 2.2. Energy (2.2.1) Safety Operation of the energy-supply systems must not...

          11. 2.3. Control-command and signalling (2.3.1) Safety The control-command and signalling installations...

          12. 2.4. Rolling stock (2.4.1) Safety The rolling-stock structures and those of...

          13. 2.5. Maintenance (2.5.1) Health and safety The technical installations and the...

          14. 2.6. Operation and traffic management (2.6.1) Safety Alignment of the network...

          15. 2.7. Telematics applications for freight and passengers (2.7.1) Technical compatibility The...

    3. SCHEDULE 3

       Subsystems

       1. (This Schedule substantially reproduces Annex II to the Directive with amendments to correct deficiencies arising from the UK’s withdrawal from the European Union.)

          1. 1. List of subsystems

          2. 2. Description of the subsystems

          3. 2.1. Infrastructure The track, points, engineering structures (bridges, tunnels etc.), associated...

          4. 2.2. Energy The electrification system, including overhead lines and the trackside...

          5. 2.3. Trackside control-command and signalling All the trackside equipment required to...

          6. 2.4. On-board control-command and signalling All the on-board equipment required to...

          7. 2.5. Operation and traffic management The procedures and related equipment enabling...

          8. 2.6. Telematics applications This subsystem comprises two elements—

          9. 2.7. Rolling stock Structure, command and control system for all train...

          10. 2.8. Maintenance The procedures, associated equipment, logistics centres for maintenance work...

    4. SCHEDULE 4

       UK verification assessment procedure for subsystems

       1. (This Schedule substantially reproduces Annex VI to the Directive with amendments to correct deficiencies arising from the UK’s withdrawal from the European Union.)

          1. 1. General principles “UK verification” means a procedure carried out by...

          2. 2. UK certificate of verification issued by an approved body

          3. 2.1. Introduction For the purpose of these Regulations, the verification by...

          4. 2.2. Intermediate statement of verification (ISV) (2.2.1) Principles At the request...

          5. 2.3. UK certificate of verification (2.3.1) The approved bodies responsible for...

          6. 2.4. Technical file accompanying the UK declaration of verification The technical...

          7. 2.5. Surveillance by approved body (2.5.1) The approved body responsible for...

          8. 2.6. Submission A copy of the technical file accompanying the UK...

          9. 2.7. Publication Each approved body must periodically publish relevant information concerning:...

          10. 3. UK certificate of verification issued by a designated body

          11. 3.1. Introduction In any case where UK specific rules apply, the...

          12. 3.2. Certificate of verification The designated body must draw up the...

          13. 3.3. Technical file The technical file compiled by the designated body...

          14. 4. Verification of parts of subsystems If a UK certificate of...

    5. SCHEDULE 5

       UK declaration of verification of subsystems

       1. (This Schedule substantially reproduces Annex V to the Directive with amendments to correct deficiencies arising from the UK’s withdrawal from the European Union.)

          1. 1. UK declaration of verification of subsystems The UK declaration of...

          2. 2. Modification of subsystems with EC or UK declaration of verification...

          3. 2.1. If the entity introducing the modifications demonstrates that the modification...

          4. 2.2. If the entity introducing the modification demonstrates that the modification...

          5. 3. UK declaration of verification in the case of additional verifications...

    6. SCHEDULE 6

       Model declaration of conformity to an authorised type of vehicle

    7. SCHEDULE 7

       UK declaration of conformity or suitability for use of interoperability constituents

       1. (This Schedule substantially reproduces Annex IV to the Directive with amendments to correct deficiencies arising from the UK’s withdrawal from the European Union.)

          1. 1. Interoperability constituents The UK declaration of conformity or suitability for...

          2. 2. Scope The UK declaration of conformity or suitability for use...

          3. 3. Contents of the UK declaration of conformity or suitability for...

    8. SCHEDULE 8

       Minimum criteria which must be taken into account by the Secretary of State when approving bodies

       1. (This Schedule substantially reproduces Annex VIII to the Directive with amendments to correct deficiencies arising from the UK’s withdrawal from the European Union.)

          1. 1. The body, its Director and the staff responsible for carrying...

          2. 2. The body and the staff responsible for the checks must...

          3. 3. The body must employ staff and possess the means required...

          4. 4. The staff responsible for the checks must possess—

          5. 5. The independence of the staff responsible for inspections must be...

          6. 6. The body must take out civil liability insurance unless that...

          7. 7. The staff of the body must be bound by professional...

12. Explanatory Note