The Railways (Interoperability) Regulations 2011

• (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 the work commissioned in advance of carrying out that work.

• (4) Unless the parties otherwise agree, an amount charged in accordance with paragraph (3) must not exceed a reasonable estimate of the fee for the work for the three months subsequent to the request for the advance payment.

Fees of the Secretary of State

34

The Secretary of State may charge such reasonable fee in connection with, or incidental to, carrying out the Secretary of State's functions under regulation 31 as the Secretary of State may determine.

PART 5 — Registers

Register of infrastructure

35

• (1) An owner of infrastructure must keep a register of its infrastructure or procure that the register is kept.

• (2) The owner must ensure that in relation to its infrastructure—

• (a) the infrastructure register is maintained in accordance with the infrastructure specifications, subject to the transitional arrangements set out in Article 3 of the specifications Regulation;

• (b) refer in the infrastructure register to any rules or restrictions that have been notified to the owner in accordance with regulation 46(2); and

• (c) the infrastructure register is available on request by an applicant for authorisation under these Regulations, or by an approved body.

• (2A) The owner must make the information requested under paragraph (2)(c) available within 28 days of receiving the request.

• (3) In this regulation—

• (a) “infrastructure” means any structural subsystem within the scope of the infrastructure specifications;

• (b) “the infrastructure specifications”, means the specifications set out in the Annex to the specifications Regulation; and

• (c) “the specifications Regulation” means Commission Implementing Regulation (EU) 2019/777 of 16 May 2019 on the common specifications for the register of infrastructure and repealing Implementing Decision 2014/880/EU.

National vehicle register

36

• (1) This regulation applies to a vehicle for which there is an authorisation under these Regulations for it to be placed in service.

• (2) If the Safety Authority issues an authorisation, the person who applied for the authorisation must apply to the registration entity for it to assign a European vehicle number before the vehicle is placed in service.

• (3) The registration entity must assign a unique alphanumeric identification code (a “European vehicle number”) to each vehicle for which an application is made and maintain a register of vehicles (“National Vehicle Register”).

• (4) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

• (5) Any person who places in service a vehicle must ensure it is marked with the European vehicle number assigned to it.

• (6) The person who applied for the authorisation must, no later than 14 days after the date of authorisation, provide particulars to the registration entity to enable the registration entity to enter the information on the National Vehicle Register that is necessary to conform to the common specifications referred to in paragraph (7), and such further information as the registration entity may reasonably require.

• (7) In respect of particulars provided under paragraph (6) the registration entity must ensure that the National Vehicle Register conforms to the common specifications as set out in the Annex to Commission Decision 2007/756/EC as amended from time to time.

• (8) Where there is a material change to any of the particulars provided under paragraph (6) or to any of the particulars provided under regulation 33(7) or (10) of the Railways (Interoperability) Regulations 2006 , the owner of the vehicle must ensure that the registration entity is given the particulars of the change and the registration entity must alter the National Vehicle Register accordingly.

• (9) Where a vehicle is also registered in an EU Member State the registration entity may notify the entity responsible for the national vehicle register in that EU Member State of any relevant changes to the National Vehicle Register.

• (10) The registration entity must make the National Vehicle Register available for inspection—

• (a) by the Safety Authority or the Rail Accident Investigation Branch;

• (b) in response to a reasonable request by—

• (i) the Office of Rail and Road, DFI, the Intergovernmental Commission, or any EU regulatory body designated in accordance with relevant EU law,

• (ii) the European Union Agency for Railways

• (iii) railway undertakings;

• (iv) infrastructure managers;...

• (v) owners of project subsystems ; or

• (vi) the national body or bodies responsible for railway safety in the country where the project subsystem is used.

• (11) In Great Britain the Secretary of State and in Northern Ireland the DFI must designate a person, who must be independent of any railway undertaking, to be the registration entity from time to time; and different persons may be designated to maintain the register in different parts of the United Kingdom.

PART 6 — Appeals and Enforcement

Appeals in Great Britain

37

• (1) A person who is aggrieved by a decision of the Safety Authority under regulations 5 to 11 may appeal to the Secretary of State.

• (2) The Secretary of State may, in such cases as the Secretary of State considers it appropriate to do so, having regard to the nature of the questions which appear to the Secretary of State to arise, direct that an appeal under this regulation is determined on the Secretary of State's behalf by a person appointed by the Secretary of State for that purpose.

• (3) Before the determination of an appeal the Secretary of State must ask the appellant and the Safety Authority whether they wish to appear and be heard on the appeal and—

• (a) the appeal may be determined without a hearing of the parties if both of them express a wish not to appear and be heard;

• (b) the Secretary of State must, if either of the parties expresses a wish to appear and be heard, afford to both of them an opportunity of doing so.

• (4) The Tribunals and Inquiries Act 1992 applies to a hearing held by a person appointed in pursuance of paragraph (2) to determine an appeal as it applies to a statutory inquiry held by the Secretary of State, but as if in section 10(1) of that Act (statement of reasons for decisions) the reference to any decision taken by the Secretary of State included a reference to a decision taken on the Secretary of State's behalf by that person.

• (5) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

• (6) Without prejudice to the right of any person to make an application for judicial review—

• (a) a determination by the Secretary of State, or by a person appointed to make a determination on the Secretary of State's behalf, on an appeal brought under this regulation is binding on all parties affected by that determination;

• (b) the Secretary of State, or person so appointed, may give such directions as they consider appropriate to give effect to the determination; and

• (c) it is the duty of any person to whom a direction is given under this regulation to comply with and give effect to that direction.

• (7) The Secretary of State may pay to any person appointed to determine an appeal under paragraph (2) on the Secretary of State's behalf such remuneration and allowances as the Secretary of State may with the approval of the Treasury determine.

• (8) Where under paragraph (3)(b) a party expresses a wish to appear and be heard, for hearings held in England and Wales, the Health and Safety Licensing Appeals (Hearing Procedure) Rules 1974 , and for hearings held in Scotland, the Health and Safety Licensing Appeals (Hearing Procedure)(Scotland) Rules 1974 , apply to an appeal under paragraph (1) as they apply to an appeal under section 44(1) of the 1974 Act, but with the modification that references to a licensing authority in those rules are to be read as references to the Safety Authority.

• (9) Where an appeal is made under this regulation, the decision in question is suspended pending the final determination of the appeal.

• (10) This regulation does not apply to a decision of DFI under regulations 5 to 11.

Appeals in Northern Ireland

38

• (1) A person who is aggrieved by a decision of the Safety Authority in Northern Ireland under regulations 5 to 11 may appeal to DFI .

• (2) The appellant must lodge the appeal by way of an application in such form or manner as DFI may decide.

• (3) DFI must within two months of the date of receipt of the information necessary for DFI to make its determination—

• (a) make a determination; and

• (b) where DFI considers it appropriate in order to give effect to the determination—

• (i) arrange for the Safety Authority to take any necessary action; and

• (ii) give directions.

• (4) Without prejudice to the right of any person to make an application for judicial review—

• (a) a determination by DFI on appeal brought under this regulation is binding on all parties affected by that determination; and

• (b) it is the duty of any person to whom a direction is given under this regulation to comply with and give effect to that direction.

• (5) Where an appeal is made under this regulation, the decision in question is suspended pending the final determination of the appeal.

Enforcement in Great Britain

39

• (1) It is the duty of the Office of Rail Regulation Office of Rail and Road to make adequate arrangements for the enforcement of these Regulations in Great Britain.

• (2) Subject to paragraph (5), the provisions of the 1974 Act specified in paragraph (3) (the “specified provisions”) apply for the purposes of the enforcement of these Regulations in Great Britain as if in the specified provision—

• (a) a reference to the “enforcing authority” was a reference to the Office of Rail Regulation Office of Rail and Road;

• (b) a reference to the “relevant statutory provisions” was a reference to these Regulations and to the specified provisions; and

• (c) a reference to “health and safety regulations” was a reference to these Regulations.

• (3) The provisions of the 1974 Act referred to in paragraph (2) are—

• (a) sections 19 and 20 (appointment and powers of inspectors) , excluding section 20(3);

• (b) sections 21 and 22 (improvement and prohibition notices) ;

• (c) section 23 (provisions supplementary to sections 21 and 22) , excluding section 23(3) and (6);

• (d) section 24 (appeal against improvement and prohibition notices) ;

• (e) section 26 (power to indemnify inspectors);

• (f) section 28 (restrictions on disclosure of information);

• (g) sections 33(1)(c), (e) to (h), (j) to (o), 34(2) to (5), 36(1) and (2), 37 to 41 and 42(1) to (3) (provision as to offences) ; and

• (h) section 46 (service of notices).

• (4) The mode of trial and maximum penalty applicable to each offence under section 33 of the 1974 Act so applied and listed in the first column of the following table are set out opposite that offence in the subsequent columns of the table.

Offence	Mode of trial	Penalty on summary conviction	Penalty on conviction on indictment
An offence under section 33(1)(c), (e), (f), (g), (j), (k), (l), (m) or (o).	Summarily or on indictment.	Imprisonment for a term not exceeding 3 months, or a fine not exceeding level 5 on the standard scale as it has effect from time to time (as if the offence was triable only summarily), or both.	Imprisonment for a term not exceeding two years, or a fine, or both.
An offence under section 33(1)(h).	Summarily only.	Imprisonment for a term not exceeding 3 months, or a fine not exceeding level 5 on the standard scale as it has effect from time to time, or both.
An offence under section 33(1)(n).	Summarily only.	A fine not exceeding level 5 on the standard scale as it has effect from time to time.

• (5) A failure to discharge a duty placed on the Office of Rail Regulation Office of Rail and Road, the Secretary of State, or the Intergovernmental Commission by these Regulations is not an offence under section 33(1)(c) of the 1974 Act.

Enforcement in Northern Ireland

40

• (1) It is the duty of the Health and Safety Executive for Northern Ireland to make adequate arrangements for the enforcement of these Regulations in Northern Ireland.

• (2) Subject to paragraph (5), the provisions of the Health and Safety at Work (Northern Ireland) Order 1978 (“the 1978 Order”) specified in paragraph (3) (the “specified provisions”) apply for the purposes of the enforcement in Northern Ireland of these Regulations as if in the specified provision—

• (a) a reference to the “enforcing authority” was a reference to the Health and Safety Executive for Northern Ireland;

• (b) a reference to the “relevant statutory provisions” was a reference to these Regulations and to the specified provisions; and

• (c) a reference to “health and safety regulations” was a reference to these Regulations.

• (3) The provisions of the 1978 Order referred to in paragraph (2) are—

• (a) articles 21 and 22 (appointment and powers of inspectors), excluding article 22(3);

• (b) articles 23 and 24 (improvement and prohibition notices);

• (c) article 25 (provisions supplementary to articles 23 and 24), excluding article 25(3);

• (d) article 26 (appeal against improvement and prohibition notices);

• (e) article 28 (power to indemnify inspectors);

• (f) article 30 (restrictions on disclosure of information); and

• (g) articles 31(1)(c), (e) to (h), (j) to (o), 32(2) to (4), 34 (1) and (2), 34A to 38 and 39(1) to (3) (provision as to offences).

• (4) The mode of trial and maximum penalty applicable to each offence under article 31 of the 1978 Order so applied and listed in the first column of the following table are set out opposite that offence in the subsequent columns of the table.

Offence	Mode of trial	Penalty on summary conviction	Penalty on conviction on indictment
An offence under article 31(1)(c), (e), (f), (g), (k), (j), (l), (m) or (o).	Summarily or on indictment.	Imprisonment for a term not exceeding 3 months, or a fine not exceeding level 5 on the standard scale as it has effect from time to time (as if the offence was triable only summarily), or both.	Imprisonment for a term not exceeding two years, or a fine, or both.
An offence under article 31(1)(h).	Summarily only.	Imprisonment for a term not exceeding 3 months, or a fine not exceeding level 5 on the standard scale as it has effect from time to time, or both.
An offence under article 31(1)(n).	Summarily only.	A fine not exceeding level 5 on the standard scale as it has effect from time to time.

• (5) A failure to discharge a duty placed on the Health and Safety Executive for Northern Ireland, DFI or the Secretary of State by these Regulations is not an offence under article 31(1)(c) of the 1978 Order.

Notices relating to interoperability constituents not meeting the essential requirements

41

• (1) If the Office of Rail Regulation Office of Rail and Road or the Health and Safety Executive for Northern Ireland is of the opinion that an interoperability constituent in relation to which an EC or UK declaration of conformity or suitability for use has been drawn up is unlikely when used as intended to meet the essential requirements relating to it, the Office of Rail Regulation Office of Rail and Road or the Health and Safety Executive for Northern Ireland may serve a notice in writing on any person who is using or intending to use that interoperability constituent in a project subsystem—

• (a) prohibiting the use of or restricting the area of use of that interoperability constituent; or

• (b) where there is a serious safety risk, requiring the recall or withdrawal of the interoperability constituent.

• (2) The information to be contained in a notice served under paragraph (1) is—

• (a) a statement that the Office of Rail Regulation Office of Rail and Road or the Health and Safety Executive for Northern Ireland 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 must not be used, or that its area of use shall be restricted, or that it must be recalled or withdrawn; and

• (d) the date by which the person must comply with the notice.

• (3) Any notice served under paragraph (1) may be withdrawn by the Office of Rail Regulation Office of Rail and Road or the Health and Safety Executive for Northern Ireland by serving notice of the withdrawal on the person.

• (4) Where a notice has been served on a person (“P”) in accordance with this regulation P must—

• (a) comply with that notice; and

• (b) notify the person (if any) who supplied P 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 P requires that person in turn to notify the supplier (if any) with the same information contained in the notice from P.

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

42

• (1) Where the Office of Rail Regulation Office of Rail and Road or the Health and Safety Executive for Northern Ireland has reasonable grounds for suspecting that the EC declaration of conformity or suitability for use has not been drawn up in accordance with the requirements of relevant EU law, or the UK declaration of conformity or suitability for use has not been drawn up in accordance with the requirements of regulation 25 and Schedule 7, it may give notice in writing to any person who made the declaration.

• (2) A notice which is given under paragraph (1) must—

• (a) state that the Office of Rail and Road or the Health and Safety Executive for Northern Ireland considers that the EC declaration of conformity or suitability for use has not been drawn up in accordance with the requirements of relevant EU law, or the UK declaration of conformity or suitability for use has not been drawn up in accordance with the requirements of regulation 25 and Schedule 7;

• (b) specify the respect in which it is so considered and give particulars;

• (c) require the person who made the declaration to—

• (i) secure that any interoperability constituent to which the notice relates conforms as regards the provisions concerning the proper drawing up of the declaration within such period as may be specified in the notice; and

• (ii) provide evidence within that period, to the satisfaction of the Office of Rail Regulation Office of Rail and Road or the Health and Safety Executive for Northern Ireland, as the case may be, that the declaration has been properly drawn up; and

• (d) inform the relevant person that if the non-conformity continues (or if satisfactory evidence of conformity has not been provided) within the period specified in the notice, further action may be taken in respect of that non-conformity under these Regulations.

• (3) Where a notice has been served under this regulation on a person, the person served must comply or secure compliance with the notice.

Defence of due diligence

43

• (1) Subject to the following provisions of this regulation, if proceedings are brought against a person (“P”) for an offence under these Regulations it is a defence for P to show that P took all reasonable steps and exercised all due diligence to avoid committing the offence.

• (2) Where P's defence 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,

P is not, without the leave of the court, entitled to rely on the defence unless, within a period ending 7 clear days before the commencement of the hearing of the proceedings (or in Scotland, the trial diet), P has served a notice under paragraph (3) on the person bringing the proceedings.

• (3) A notice under this paragraph must 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 P serving the notice at the time it is served.

• (4) P is not entitled to rely on the defence provided by paragraph (1) by reason P's reliance on information supplied by another, unless P shows that it was reasonable in all the circumstances to have relied on the information, having regard in particular—

• (a) to the steps which P took, and those which might reasonably have been taken, for the purpose of verifying the information; and

• (b) to whether P had any reason to disbelieve the information.

PART 7 — Supplementary

Deemed authorisation

44

• (1) Subject to paragraph (4), a vehicle to which this paragraph applies is deemed—

• (a) to have been authorised under these Regulations; and

• (b) to have been assessed against the requirements of Part 1 of Schedule 1 to the Rail Vehicle Accessibility (Non-Interoperable Rail System) Regulations 2010 , as notified national technical rules, for the purposes of that authorisation.

• (2) Subject to paragraph (3), paragraph (1) applies to a vehicle which—

• (a) is constructed or adapted to transport passengers; and

• (b) was first brought into use after 31st December 1998 and before 1st August 2006; and

• (c) is used in the provision of a service for the carriage of passengers on the trans-European rail system located in Great Britain.

• (3) Paragraph (1) does not apply to—

• (a) a vehicle to the extent that immediately before 7th July 2008 the vehicle—

• (i) was authorised or treated as having been authorised under the Railways (Interoperability) Regulations 2006 ; and

• (ii) had been assessed against the Rail Vehicle Accessibility Regulations 1998 as in force when the unit was assessed for that authorisation; or

• (b) a vehicle which belongs to a class of vehicles first brought into use on or before 31stDecember 1998.

• (4) The deeming provisions of paragraph (1) do not apply for the purposes of—

• (a) regulation 45; and

• (b) regulation 4(1) in so far as that regulation applies in relation to any upgrading or renewal of a vehicle to which paragraph (2) applies.

Accessibility for people with reduced mobility

45

No person is to use a vehicle in the provision of a service for the carriage of passengers on the trans-European rail system located in the United Kingdom on or after 1st January 2020 unless it has been constructed, renewed, upgraded or modified to comply with the technical standards, and is operated to comply with the operational standards, required by—

• (a) the TSI relating to persons with reduced mobility set out in the Annex to Decision 2008/164/EC of the European Commission of 21 December 2007, or any amended version of it, or Commission Regulation 1300/2014 of the European Commission of 18 November 2014 which replaced it, or the NTSN that replaced Commission Regulation 1300/2014, or any variation of that NTSN, or any NTSN which replaces it;

• (b) Part 1 of Schedule 1 to the Rail Vehicle Accessibility (Non-Interoperable Rail System) Regulations 2010;

• (c) the Rail Vehicle Accessibility Regulations (Northern Ireland) 2001; or

• (d) the TSI, or amended version of it or TSI replacing it or the NTSN, referred to in paragraph (a) except to the extent that—

• (i) the vehicle or its operation complies with the technical or operational standards required by the provisions referred to in paragraphs (b) or (c),

• (ii) a derogation from part of it was granted under regulation 14 before IP completion day, or an exemption from part of it has been granted under regulations 14 and 14A,

• (iii) a determination that part of it does not apply has been made under regulation 13(8), and

• (iv) a dispensation that part of it does not apply for the purposes of this regulation has been granted under regulation 46.

Dispensations

46

• (1) The Competent Authority may grant a conditional or unconditional dispensation from NTRs for a particular case or description of case if the Competent Authority is satisfied that the dispensation is consistent with the essential requirements.

• (2) If the Competent Authority has granted a dispensation that the Competent Authority considers has created ... a rule or restriction of a strictly local nature the Competent Authority must notify the relevant owner that the rule or restriction must be referred to in the infrastructure register.

• (3) Paragraph (1) does not apply in relation to the requirements of the Rail Vehicle Accessibility (Non-Interoperable Rail System) Regulations 2010 or the Rail Vehicle Accessibility Regulations (Northern Ireland) 2001.

• (4) The Secretary of State may grant for a particular case or description of case a dispensation for the purposes of regulation 45(d)(iv).

Revocation and savings

47

• (1) The Railways (Interoperability) Regulations 2006, the Railways (Interoperability) (Amendment) Regulations 2007 and regulation 4 of the Rail Vehicle Accessibility (Interoperable Rail System) 2008 are revoked.

• (2) Where immediately before the coming into force of these Regulations an appointment of a notified body had effect as an appointment under the Railways (Interoperability) Regulations 2006, it continues to have effect as if made as an appointment under regulation 31 of these Regulations for the period specified when appointed.

• (3) Where, under the Railways (Interoperability) Regulations 2006, a structural subsystem has been authorised to be placed in service on the rail system, it is from the coming into force of these Regulations treated as authorised under these Regulations.

• (4) Regulation 4(8), (9) and (9A) of the Railways (Interoperability) Regulations 2006 continue to have effect in relation to a contract made before the coming into force of these Regulations.

• (5) A derogation in force immediately before the coming into force of these Regulations and granted by the Secretary of State in accordance with the High-Speed Directive or a derogation granted by the Competent Authority in accordance with the Conventional Directive is treated as a derogation granted under regulation 14 in accordance Article 9 of the Directive.

• (6) Any person who immediately before the coming into force of these Regulations is the registration body designated under regulation 33(12) of the Railways (Interoperability) Regulations 2006 is treated on and from the coming into force of these Regulations as if the person was designated as the registration entity under regulation 36(11).

Amendments to legislation

48

The Schedule has effect.

Review

49

• (1) The Secretary of State must from time to time—

• (a) carry out a review of these Regulations,

• (b) set out the conclusions of the review in a report, and

• (c) publish the report.

• (2) In carrying out the review the Secretary of State must, so far as is reasonable, have regard to how the Directive is implemented in other Member States.

• (3) The report must in particular—

• (a) set out the objectives intended to be achieved by the regulatory system established by these Regulations,

• (b) assess the extent to which those objectives are achieved, and

• (c) assess whether those objectives remain appropriate and, if so, the extent to which they could be achieved with a system that imposes less regulation.

• (4) The first report under this regulation must be published before the end of the period of five years beginning with the day on which these Regulations come into force.

• (5) Reports under this regulation are afterwards to be published at intervals not exceeding five years.

SCHEDULE 1 — Amendments to legislation

1

Section 182 of the Equality Act 2010 (rail vehicle accessibility regulations) is amended as follows—

• (a) in subsection (4), in the definition of “rail vehicle” for “high-speed rail system or the conventional TEN rail system” substitute “ trans-European rail system located in Great Britain ”, and

• (b) in subsection (5)—

• (i) omit the definition of “conventional TEN rail system” and the definition of “high-speed rail system”, and

• (ii) at the end insert—

“trans-European rail system” has the meaning given in regulation 2(1) of the Railways (Interoperability) Regulations 2011

2

In regulation 2(1) of the Rail Vehicle Accessibility (Non-Interoperable Rail System) Regulations 2010 (interpretation)—

• (a) omit the definitions of “conventional TEN rail system” and “high-speed rail system”,

• (b) in the definition of “rail vehicle” for “high-speed rail system or the conventional TEN rail system” substitute “ trans-European rail system located in Great Britain ”, and

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

“trans-European rail system” has the meaning given in regulation 2(1) of the Railways (Interoperability) Regulations 2011;

3

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

• (a) in regulation 2(1)—

• (i) in the definition of “Interoperability Regulations” for “2006” substitute “ 2011 ”, and

• (ii) in the definition of “National Vehicle Register” for “33” substitute “ 36 ”,

• (b) in regulation 5(5) omit “regulation 4(1)(a) of”, and

• (c) after regulation 5(5) insert—

(6) Paragraph (5) does not apply in respect of an authorisation deemed to be given under the Interoperability Regulations by operation of regulation 44 of those Regulations.

Signed

Signed by authority of the Secretary of State for Transport

Theresa Villiers — Minister of State — 2011-12-22

Explanatory note

(This note is not part of the Regulations)

Footnotes

Editorial notes