UK Statutory Instrument SI 2011 United Kingdom

Railways (Interoperability) Regulations 2011

These Regulations implement the provisions of Directive 2008/57/EC (the “Directive”) of the European Parliament and of the Council of 17th June 2008 (O.J. No. L 191, 18.7.2008, p1, as amended by Commission Directive 2009/131/EC O.J. No. L 273, 17.10.2009, p12 and Commission Directive 2011/18/EU O.J. No. L 57, 2.3.2011, p21) …

Read it on legislation.gov.uk (opens in a new tab)
Enforced by
ORR
Status
Amended (in force with amendments)
Penalty ceiling
Regulated

Does it bind you?

Business-side roles with duties under this instrument.

Any Person18 Operator5 Manufacturer1 Employer1 Employee1

Plus 5 duties on the regulator, Crown ministers and public bodies — folded into the section list below.

Other Acts binding the same actors

If a role above is yours, these are the other instruments that most often bind it.

Any Person — also bound by 2340 other Acts
Operator — also bound by 746 other Acts
Manufacturer — also bound by 502 other Acts
Employer — also bound by 682 other Acts
TULRCA 1992 72 duties
Employee — also bound by 189 other Acts

What it requires

Regulations creating concrete business duties or carrying penalties, grouped as the instrument is structured. Titles link to the source text — blue means you’re leaving for legislation.gov.uk.

Part 1

Interpretation and Application

1 of 4 sections shown
s.003 Appointment and obligations of an authorised representative Regulated
  • Appoint an authorised representative in the UK for rail interoperability tasksManufacturer
3 other sections in this Part — procedural and definitional
s.001 Citation, commencement and extent
s.002 Interpretation
s.003 Application
Part 1

National Technical Specification Notices and National Technical Rules

0 of 2 sections shown
2 other sections in this Part — procedural and definitional
s.003 Publication of National Technical Specification Notices
s.003 Publication of a list of National Technical Rules
Part 2

Subsystems

3 of 20 sections shown
s.013 Authorisation requirements for the renewal or upgrading of subsystems Regulated
Other duties (1) — Crown / regulator
  • Competent Authority must decide on authorisation within 4 monthsCrown / Minister / Government department
s.019 Retention of documents Regulated
  • Retain and manage documents for railway project subsystemsAny Person
s.020 Continuing duty on operator in relation to standards Regulated
  • Operate and maintain rail subsystem to authorised standardsOperator
17 other sections in this Part — procedural and definitional
s.004 Requirement for authorisation
s.005 Application for authorisation
s.006 Authorisation for a vehicle already authorised for an EU Member State
s.007 Authorisation decision
s.008 Determination of type
s.009 Type authorisation
s.010 Type authorisation: changes to applicable standards
s.011 Revocation of authorisations
s.012 List of projects for the renewal or upgrading of subsystems
s.014 Exemption from need to conform with NTSNs (exemptions)
s.014 Application for exemptions
s.015 Essential requirements for project subsystems
s.016 Role of project entity
s.017 Project subsystems: UK verification assessment procedure
s.018 Project subsystems: UK declaration of verification
s.021 Fees payable to the Safety Authority
s.022 Fees payable to the Competent Authority
Part 3

Interoperability Constituents

1 of 7 sections shown
s.027 Duties on operators Regulated
  • Install, use and maintain rail interoperability constituents correctlyOperator
6 other sections in this Part — procedural and definitional
s.023 Prohibition on placing interoperability constituents on the market
s.024 Assessment procedure for interoperability constituents
s.025 UK declaration of conformity or suitability for use
s.026 Effect of declarations of conformity or suitability for use
s.028 Recognition of assessments of other Member States
s.029 Notification to the European Commission of incorrect declaration
Part 4

Approved and Designated Bodies

1 of 7 sections shown
s.032 Approved bodies and designated bodies: certificates etc. Regulated
Other duties (1) — Crown / regulator
  • Approved bodies must follow a fair process before declining certificatesStatutory regulator
6 other sections in this Part — procedural and definitional
s.030 Approved bodies
s.031 Appointment of approved bodies and designated bodies
s.033 Fees of approved bodies and designated bodies
s.034 Fees of the Secretary of State
s.034 Register of approved bodies
s.034 UK national accreditation body
Part 5

Registers

0 of 2 sections shown
2 other sections in this Part — procedural and definitional
s.035 Register of infrastructure
s.036 National vehicle register
Part 6

Appeals and Enforcement

1 of 7 sections shown
s.041 Notices relating to interoperability constituents not meeting the essential requirements Regulated
  • Comply with ORR notice restricting or recalling interoperability constituents and notify suppliersAny Person
6 other sections in this Part — procedural and definitional
s.037 Appeals in Great Britain
s.038 Appeals in Northern Ireland
s.039 Enforcement in Great Britain
s.040 Enforcement in Northern Ireland
s.042 Notice of improper drawing up of the EC or UK declaration of conformity or suitability for use for an interoperability constituent
s.043 Defence of due diligence
Part 7

Supplementary

1 of 7 sections shown
s.047 Further savings and transitional arrangements Regulated
  • Keep records for pre-Brexit rail project subsystemsAny Person
6 other sections in this Part — procedural and definitional
s.044 Deemed authorisation
s.045 Accessibility for people with reduced mobility
s.046 Dispensations
s.047 Revocation and savings
s.048 Amendments to legislation
s.049 Review
Schedules

Schedules

23 of 54 shown
s.sch002 Reliability and availability The monitoring and maintenance of fixed or... Regulated
  • Maintain and monitor train-movement components systematicallyAny Person
s.sch002 Health (1.3.1) Materials likely, by virtue of the way they... Regulated
  • Prohibit hazardous materials and restrict harmful fumes in trains and infrastructureAny Person
s.sch002 Environmental protection (1.4.1) The environmental impact of establishment and operation... Regulated
  • Assess environmental impact and meet environmental protection standards for rail systemAny Person
s.sch002 Accessibility (1.6.1) The ‘infrastructure’ and ‘rolling stock’ subsystems must be... Regulated
  • Ensure railway subsystems are accessible to persons with disabilitiesAny Person
s.sch002 Energy (2.2.1) Safety Operation of the energy-supply systems must not... Regulated
  • Ensure energy-supply systems do not compromise safetyOperator
s.sch002 Rolling stock (2.4.1) Safety The rolling-stock structures and those of... Regulated
  • Ensure rolling stock meets safety, reliability, and accessibility requirementsOperator
s.sch002 Maintenance (2.5.1) Health and safety The technical installations and the... Regulated
  • Ensure maintenance centres operate safely and protect the environmentOperator
s.sch002 Telematics applications for freight and passengers (2.7.1) Technical compatibility The... Regulated
  • Ensure telematics applications meet essential quality and accessibility requirementsAny Person
s.sch004 Intermediate statement of verification (ISV) (2.2.1) Principles At the request... Regulated
  • Ensure intermediate statements of verification reference relevant NTSNs and cover all required stagesAny Person
s.sch004 UK certificate of verification (2.3.1) The approved bodies responsible for... Regulated
  • Ensure approved body issues UK certificate of verification for railway subsystemsAny Person
s.sch004 Technical file accompanying the UK declaration of verification The technical... Regulated
  • Assemble technical file for UK declaration of verificationAny Person
s.sch004 Surveillance by approved body (2.5.1) The approved body responsible for... Regulated
Other duties (1) — Crown / regulator
  • Approved body must access sites, audit, and monitor railway subsystemsStatutory regulator
s.sch004 Submission A copy of the technical file accompanying the UK... Regulated
  • Keep the technical file for the life of the subsystemAny Person
s.sch004 Publication Each approved body must periodically publish relevant information concerning:... Regulated
Other duties (1) — Crown / regulator
  • Approved bodies must periodically publish information on certificates and verification requestsStatutory regulator
s.sch004 Certificate of verification The designated body must draw up the... Regulated
  • Draw up UK certificate of verification for the project entityAny Person
s.sch005 UK declaration of verification of subsystems The UK declaration of... Regulated
  • Prepare and sign a UK declaration of verification for railway subsystemsAny Person
s.sch005 If the entity introducing the modifications demonstrates that the modification... Regulated
  • Update technical file references when modifying railway subsystemsAny Person
s.sch005 If the entity introducing the modification demonstrates that the modification... Regulated
  • Get additional UK declaration of verification for modified subsystemsAny Person
s.sch008 The body, its Director and the staff responsible for carrying... Regulated
Other duties (1) — Crown / regulator
  • Conformity assessment bodies must stay independent of design, manufacture and maintenanceStatutory regulator
s.sch008 The body and the staff responsible for the checks must... Regulated
  • Perform checks with professional integrity and independenceAny Person
s.sch008 The staff responsible for the checks must possess— Regulated
  • Staff responsible for checks must be properly trained and competentEmployee
s.sch008 The independence of the staff responsible for inspections must be... Regulated
  • Guarantee independence of inspection staff and prohibit performance-based payEmployer
s.sch008 The body must take out civil liability insurance unless that... Regulated
  • Take out civil liability insurance for inspection activitiesAny Person
31 other schedules
s.sch002 General requirements
s.sch002 Safety (1.1.1) The design, construction or assembly, maintenance and monitoring...
s.sch002 Technical compatibility The technical characteristics of the infrastructure and fixed...
s.sch002 Requirements specific to each subsystem
s.sch002 Infrastructure (2.1.1) Safety Appropriate steps must be taken to prevent...
s.sch002 Control-command and signalling (2.3.1) Safety The control-command and signalling installations...
s.sch002 Operation and traffic management (2.6.1) Safety Alignment of the network...
s.sch003 List of subsystems
s.sch003 Description of the subsystems
s.sch003 Infrastructure The track, points, engineering structures (bridges, tunnels etc.), associated...
s.sch003 Energy The electrification system, including overhead lines and the trackside...
s.sch003 Trackside control-command and signalling All the trackside equipment required to...
s.sch003 On-board control-command and signalling All the on-board equipment required to...
s.sch003 Operation and traffic management The procedures and related equipment enabling...
s.sch003 Telematics applications This subsystem comprises two elements—
s.sch003 Rolling stock Structure, command and control system for all train...
s.sch003 Maintenance The procedures, associated equipment, logistics centres for maintenance work...
s.sch004 General principles “UK verification” means a procedure carried out by...
s.sch004 UK certificate of verification issued by an approved body
s.sch004 Introduction For the purpose of these Regulations, the verification by...
s.sch004 UK certificate of verification issued by a designated body
s.sch004 Introduction In any case where UK specific rules apply, the...
s.sch004 Technical file The technical file compiled by the designated body...
s.sch004 Verification of parts of subsystems If a UK certificate of...
s.sch005 Modification of subsystems with EC or UK declaration of verification...
s.sch005 UK declaration of verification in the case of additional verifications...
s.sch007 Interoperability constituents The UK declaration of conformity or suitability for...
s.sch007 Scope The UK declaration of conformity or suitability for use...
s.sch007 Contents of the UK declaration of conformity or suitability for...
s.sch008 The body must employ staff and possess the means required...
s.sch008 The staff of the body must be bound by professional...
3 other provisions
s.001 Section 182 of the Equality Act 2010 (rail vehicle accessibility... (opens in a new tab)
s.002 In regulation 2(1) of the Rail Vehicle Accessibility (Non-Interoperable Rail... (opens in a new tab)
s.003 The Railways and Other Guided Transport Systems (Safety) Regulations 2006... (opens in a new tab)

Help complying

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Which approval regime applies to your transport equipment

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The wider family of instruments made under the same parent Act.

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Duty extraction and severity labels are Guvnor’s analysis of the instrument, not the instrument itself. Always verify against the linked source text.