The Railways (Interoperability) Regulations 2011

[^key-f0286051453ee260b253870dcf727d0e]: Word in reg. 25 heading substituted (31.12.2020) by The Railways (Interoperability) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/345), regs. 1(2), 2(29)(a); 2020 c. 1, Sch. 5 para. 1(1)

[^key-0bcef5fd49afc79e5aa9bc9cb06a923c]: Reg. 25(5) inserted (31.12.2020) by The Railways (Interoperability) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/345), regs. 1(2), 2(29)(f) (as amended by The Railways (Miscellaneous Amendments, Revocations and Transitional Provisions) (EU Exit) Regulations 2020 (S.I. 2020/786), regs. 1(2)(b)(i), 4(6)); 2020 c. 1, Sch. 5 para. 1(1)

[^key-b896792e6dd92b4b9f4f996f42fe4a7e]: Words in reg. 25(1) substituted (31.12.2020) by The Railways (Interoperability) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/345), regs. 1(2), 2(29)(b); 2020 c. 1, Sch. 5 para. 1(1)

[^key-306ac9160cb17edd1b5bee6aa6025cce]: Words in reg. 25(2) substituted (31.12.2020) by The Railways (Interoperability) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/345), regs. 1(2), 2(29)(c)(i); 2020 c. 1, Sch. 5 para. 1(1)

[^key-57c8edb209003baca7dc6e6b56c0eb28]: Words in reg. 25(2) substituted (31.12.2020) by The Railways (Interoperability) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/345), regs. 1(2), 2(29)(c)(ii); 2020 c. 1, Sch. 5 para. 1(1)

[^key-b3bbced036fed285a951d7bf845774a4]: Reg. 25(3) substituted (31.12.2020) by The Railways (Interoperability) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/345), regs. 1(2), 2(29)(d); 2020 c. 1, Sch. 5 para. 1(1)

[^key-fad43fc8cf0d9a27f3e3916e9762fd63]: Words in reg. 25(4) substituted (31.12.2020) by The Railways (Interoperability) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/345), regs. 1(2), 2(29)(e)(i); 2020 c. 1, Sch. 5 para. 1(1)

[^key-b22459b702d29f3fb9c5467145d3cfce]: Words in reg. 25(4) substituted (31.12.2020) by The Railways (Interoperability) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/345), regs. 1(2), 2(29)(e)(ii); 2020 c. 1, Sch. 5 para. 1(1)

[^key-bcda2bfa96af6ee2a6e4386cffc664e1]: Words in reg. 26 heading substituted (31.12.2020) by The Railways (Interoperability) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/345), regs. 1(2), 2(31)(a); 2020 c. 1, Sch. 5 para. 1(1)

[^key-7193a00f1c046b2dbe6fa611243699b6]: Words in reg. 26(1) substituted (31.12.2020) by The Railways (Interoperability) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/345), regs. 1(2), 2(31)(b)(i); 2020 c. 1, Sch. 5 para. 1(1)

[^key-bdd2b88222973e23441167f3cb43708a]: Words in reg. 26(1) inserted (31.12.2020) by The Railways (Interoperability) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/345), regs. 1(2), 2(31)(b)(i); 2020 c. 1, Sch. 5 para. 1(1)

[^key-7bf19a346c23849f5878ebe6a4bff968]: Word in reg. 26(1)(b) substituted (31.12.2020) by The Railways (Interoperability) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/345), regs. 1(2), 2(31)(b)(ii); 2020 c. 1, Sch. 5 para. 1(1)

[^key-5b8f7bf17e05211c95976c3ca7abe517]: Word in reg. 27 substituted (31.12.2020) by The Railways (Interoperability) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/345), regs. 1(2), 2(32)(a); 2020 c. 1, Sch. 5 para. 1(1)

[^key-36def6d8a948c1259abf912c530860da]: Words in reg. 27 omitted (31.12.2020) by virtue of The Railways (Interoperability) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/345), regs. 1(2), 2(32)(b); 2020 c. 1, Sch. 5 para. 1(1)

[^key-0aa1fd4fb87ca4239fe7b80024126425]: Reg. 28 omitted (31.12.2020) by virtue of The Railways (Interoperability) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/345), regs. 1(2), 2(33); 2020 c. 1, Sch. 5 para. 1(1)

[^key-980e2a15b60cbb211fdeaaf760285187]: Word in reg. 29 heading inserted (31.12.2020) by The Railways (Interoperability) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/345), regs. 1(2), 2(34)(a); 2020 c. 1, Sch. 5 para. 1(1)

[^key-7d8ee8c264eed98b3e024411222c453c]: Reg. 29(3) inserted by S.I. 2019/345, reg. 2(34)(d) (as substituted) by The Railways (Interoperability) (Miscellaneous Amendments and Revocations) (EU Exit) Regulations 2020 (S.I. 2020/318), regs. 1(2)(b), 5(7))

[^key-356b2716b43d37b6beddfac842c694b1]: Word in reg. 29(1) substituted (31.12.2020) by The Railways (Interoperability) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/345), regs. 1(2), 2(34)(b)(i); 2020 c. 1, Sch. 5 para. 1(1)

[^key-0dd3c11a95ff236c3c4cc94d4e2432f4]: Words in reg. 29(1) substituted (31.12.2020) by The Railways (Interoperability) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/345), regs. 1(2), 2(34)(b)(ii); 2020 c. 1, Sch. 5 para. 1(1)

[^key-e3607609159b024bb148a67b4200f4e4]: Word in reg. 29(2) substituted (31.12.2020) by The Railways (Interoperability) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/345), regs. 1(2), 2(34)(c); 2020 c. 1, Sch. 5 para. 1(1)

[^key-16ffc64ffeec05875319e79fa291bc00]: Reg. 30 substituted (31.12.2020) by The Railways (Interoperability) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/345), regs. 1(2), 2(36) (as amended by The Railways (Miscellaneous Amendments, Revocations and Transitional Provisions) (EU Exit) Regulations 2020 (S.I. 2020/786), regs. 1(2)(b)(i), 4(7)); 2020 c. 1, Sch. 5 para. 1(1)

[^key-a8d42c29a54f2fbda9eebaef41907f63]: Words in reg. 31 heading substituted (31.12.2020) by The Railways (Interoperability) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/345), regs. 1(2), 2(37)(a); 2020 c. 1, Sch. 5 para. 1(1)

[^key-aacb776f3261204af18a523f9aa300e3]: Word in reg. 31(6)(b) substituted (31.12.2020) by The Railways (Interoperability) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/345), regs. 1(2), 2(37)(c); 2020 c. 1, Sch. 5 para. 1(1)

[^key-e673e316384e7388d3a449a52dd27623]: Word in reg. 31(8)(a) substituted (31.12.2020) by The Railways (Interoperability) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/345), regs. 1(2), 2(37)(c); 2020 c. 1, Sch. 5 para. 1(1)

[^key-e168d4d1c76b61ac9a3ceb8cfc4138b2]: Word in reg. 31(8)(b) substituted (31.12.2020) by The Railways (Interoperability) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/345), regs. 1(2), 2(37)(c); 2020 c. 1, Sch. 5 para. 1(1)

[^key-6ed5e72ad4c5cc2d3db5b669fa846735]: Word in reg. 31(9)(a) substituted (31.12.2020) by The Railways (Interoperability) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/345), regs. 1(2), 2(37)(c); 2020 c. 1, Sch. 5 para. 1(1)

[^key-4269ea4153d5ae1552314bf5bf70e853]: Word in reg. 31(9)(b) substituted (31.12.2020) by The Railways (Interoperability) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/345), regs. 1(2), 2(37)(c); 2020 c. 1, Sch. 5 para. 1(1)

[^key-48f3652b8b3a786aedd93b7f6197dd75]: Words in reg. 31 substituted (31.12.2020) by The Railways (Interoperability) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/345), regs. 1(2), 2(37)(b); 2020 c. 1, Sch. 5 para. 1(1)

[^key-5bbcabf9632d201f157a4cbdb20f6369]: Words in reg. 31(2)(b) substituted (31.12.2020) by The Railways (Interoperability) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/345), regs. 1(2), 2(37)(d); 2020 c. 1, Sch. 5 para. 1(1)

[^key-6352314a301e20a595c55638f98944be]: Words in reg. 31(3) substituted (31.12.2020) by The Railways (Interoperability) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/345), regs. 1(2), 2(37)(d); 2020 c. 1, Sch. 5 para. 1(1)

[^key-6cdefa893f60fbf10a2c398d0332c57d]: Words in reg. 31(7)(b) substituted (31.12.2020) by The Railways (Interoperability) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/345), regs. 1(2), 2(37)(d); 2020 c. 1, Sch. 5 para. 1(1)

[^key-8795eae95f7777264fd27339f5a71d60]: Words in reg. 32 heading substituted (31.12.2020) by The Railways (Interoperability) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/345), regs. 1(2), 2(39)(a); 2020 c. 1, Sch. 5 para. 1(1)

[^key-c91208d718f4e027a373d9f5b38e7994]: Words in reg. 32 substituted (31.12.2020) by The Railways (Interoperability) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/345), regs. 1(2), 2(39)(b); 2020 c. 1, Sch. 5 para. 1(1)

[^key-575ced7b6324963472229cbfcea9f7f0]: Reg. 32(3A) inserted (31.12.2020) by The Railways (Interoperability) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/345), regs. 1(2), 2(39)(g); 2020 c. 1, Sch. 5 para. 1(1)

[^key-8134b66682eba99fea59a19ec15a43f2]: Word in reg. 32(1) inserted (31.12.2020) by The Railways (Interoperability) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/345), regs. 1(2), 2(39)(c); 2020 c. 1, Sch. 5 para. 1(1)

[^key-cabad303a8932c2f5dcfc0542b358995]: Words in reg. 32(1) substituted (31.12.2020) by The Railways (Interoperability) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/345), regs. 1(2), 2(39)(d); 2020 c. 1, Sch. 5 para. 1(1)

[^key-af0b891e3b93f82d2d6e6a4971ea40a7]: Word in reg. 32(2) inserted (31.12.2020) by The Railways (Interoperability) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/345), regs. 1(2), 2(39)(c); 2020 c. 1, Sch. 5 para. 1(1)

[^key-58b33c1b2be0c577a98e98c2c391af18]: Words in reg. 32(2) substituted (31.12.2020) by The Railways (Interoperability) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/345), regs. 1(2), 2(39)(e); 2020 c. 1, Sch. 5 para. 1(1)

[^key-8eeef19c288c86ae22fa7067918e7e87]: Words in reg. 32(3) substituted (31.12.2020) by The Railways (Interoperability) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/345), regs. 1(2), 2(39)(d); 2020 c. 1, Sch. 5 para. 1(1)

[^key-ceccde86fd0ca0a2713dc51f7aa5d69d]: Word in reg. 32(3) substituted (31.12.2020) by The Railways (Interoperability) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/345), regs. 1(2), 2(39)(f); 2020 c. 1, Sch. 5 para. 1(1)

[^key-0e6e24106a81379f38a94fa3d234bfc9]: Reg. 32(4) omitted (31.12.2020) by virtue of S.I. 2019/345, reg. 2(39)(ga) (as inserted by The Railways (Interoperability) (Miscellaneous Amendments and Revocations) (EU Exit) Regulations 2020 (S.I. 2020/318), regs. 1(2)(b), 5(8))

[^key-47f52a8d091cae00e28ce31e5dcf91ba]: Words in reg. 32(5) substituted (31.12.2020) by The Railways (Interoperability) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/345), regs. 1(2), 2(39)(h); 2020 c. 1, Sch. 5 para. 1(1)

[^key-6fae660b2d6f14be334ab9b420b687d2]: Words in reg. 33 heading substituted (31.12.2020) by The Railways (Interoperability) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/345), regs. 1(2), 2(40)(a); 2020 c. 1, Sch. 5 para. 1(1)

[^key-364ce042c08111a7d1c9912820c41445]: Words in reg. 33(1) substituted (31.12.2020) by The Railways (Interoperability) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/345), regs. 1(2), 2(40)(b); 2020 c. 1, Sch. 5 para. 1(1)

[^key-aa0517b5186647f5a636a2731fdba0de]: Words in reg. 33(2)(a) substituted (31.12.2020) by The Railways (Interoperability) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/345), regs. 1(2), 2(40)(c); 2020 c. 1, Sch. 5 para. 1(1)

[^key-e4104ee880a4b73606b6882bc76f785e]: Words in reg. 33(2)(b)(i) substituted (31.12.2020) by The Railways (Interoperability) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/345), regs. 1(2), 2(40)(c); 2020 c. 1, Sch. 5 para. 1(1)

[^key-fc3aa608bd9ff6aa181be0fdced781a7]: Reg. 35(2A) inserted by S.I. 2019/345, reg. 2(41A)(b) (as inserted) by The Railways (Interoperability) (Miscellaneous Amendments and Revocations) (EU Exit) Regulations 2020 (S.I. 2020/318), regs. 1(2)(b), 5(9))

[^key-a12a29c9879d027d9dcb22b1afe02237]: Words in reg. 35(2)(c) substituted (31.12.2020) by S.I. 2019/345, reg. 2(41A)(a) (as inserted by The Railways (Interoperability) (Miscellaneous Amendments and Revocations) (EU Exit) Regulations 2020 (S.I. 2020/318), regs. 1(2)(b), 5(9))

[^key-cba577b42ccba62ad2f6b42eca63060c]: Reg. 36(10)(b)(vi) and word inserted (31.12.2020) by The Railways (Interoperability) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/345), regs. 1(2), 2(42)(c)(ii)(dd); 2020 c. 1, Sch. 5 para. 1(1)

[^key-a370cb485c4d61c9dd24ebdd00efe968]: Reg. 36(10)(b)(i) substituted (31.12.2020) by The Railways (Interoperability) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/345), regs. 1(2), 2(42)(c)(ii)(aa); 2020 c. 1, Sch. 5 para. 1(1)

[^key-9fa6b88db8e3b12312e65c9fe08d4767]: Reg. 36(4) omitted (31.12.2020) by virtue of The Railways (Interoperability) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/345), regs. 1(2), 2(42)(a); 2020 c. 1, Sch. 5 para. 1(1)

[^key-ffdf33713e78bfaf5d06dc1d59193e01]: Reg. 36(9) substituted (31.12.2020) by The Railways (Interoperability) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/345), regs. 1(2), 2(42)(b); 2020 c. 1, Sch. 5 para. 1(1)

[^key-821ccc1d46b351aeab8919b5261fef5e]: Reg. 36(10)(a) substituted (31.12.2020) by The Railways (Interoperability) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/345), regs. 1(2), 2(42)(c)(i); 2020 c. 1, Sch. 5 para. 1(1)

[^key-47e127ce1e8a032dec13945de5cd9167]: Reg. 36(10)(b)(ii) substituted (31.12.2020) by The Railways (Interoperability) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/345), regs. 1(2), 2(42)(c)(ii)(bb); 2020 c. 1, Sch. 5 para. 1(1)

[^key-1e672ced3e1226aa9eb60aed45d7efe5]: Word in reg. 36(10)(b)(iv) omitted (31.12.2020) by virtue of The Railways (Interoperability) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/345), regs. 1(2), 2(42)(c)(ii)(cc); 2020 c. 1, Sch. 5 para. 1(1)

[^key-771156b83436a877e6148e1053b84c59]: Word in reg. 36(11) substituted (31.12.2020) by The Railways (Interoperability) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/345), regs. 1(2), 2(42)(d); 2020 c. 1, Sch. 5 para. 1(1)

[^key-44b53c8cf28a123efdb42a255ed0cb71]: Word in reg. 37(10) substituted (31.12.2020) by The Railways (Interoperability) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/345), regs. 1(2), 2(43); 2020 c. 1, Sch. 5 para. 1(1)

[^key-c609b1cd2f687daec2b88940f7c6805b]: Word in reg. 38 substituted (31.12.2020) by The Railways (Interoperability) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/345), regs. 1(2), 2(44); 2020 c. 1, Sch. 5 para. 1(1)

[^key-92e9efb9e523256b036646aaa76d404e]: Word in reg. 40(5) substituted (31.12.2020) by The Railways (Interoperability) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/345), regs. 1(2), 2(45); 2020 c. 1, Sch. 5 para. 1(1)

[^key-c88f8b471ea882107fd1259699ff0a06]: Words in reg. 41(1) inserted (31.12.2020) by The Railways (Interoperability) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/345), regs. 1(2), 2(46); 2020 c. 1, Sch. 5 para. 1(1)

[^key-a12c9d17c71502d1658bd88dbba9cea6]: Words in reg. 42 heading inserted (31.12.2020) by S.I. 2019/345, reg. 2(47)(a) (as substituted by The Railways (Interoperability) (Miscellaneous Amendments and Revocations) (EU Exit) Regulations 2020 (S.I. 2020/318), regs. 1(2)(b), 5(11))

[^key-a4da94938b6ebf84c85df142e0b0dacd]: Words in reg. 42(1) substituted (31.12.2020) by S.I. 2019/345, reg. 2(47)(b) (as substituted by The Railways (Interoperability) (Miscellaneous Amendments and Revocations) (EU Exit) Regulations 2020 (S.I. 2020/318), regs. 1(2)(b), 5(11))

[^key-35321289f148b4137a5486a7e7d908e5]: Reg. 42(2)(a) substituted (31.12.2020) by S.I. 2019/345, reg. 2(47)(c) (as substituted by The Railways (Interoperability) (Miscellaneous Amendments and Revocations) (EU Exit) Regulations 2020 (S.I. 2020/318), regs. 1(2)(b), 5(11))

[^key-16764e1d85646f21c4a38124b1ba7683]: Reg. 45(a) substituted (31.12.2020) by The Railways (Interoperability) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/345), regs. 1(2), 2(48)(a); 2020 c. 1, Sch. 5 para. 1(1)

[^key-7f9b1cd0e653f041e78d6fe2ce4b3f49]: Words in reg. 45(d) inserted (31.12.2020) by The Railways (Interoperability) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/345), regs. 1(2), 2(48)(b)(i); 2020 c. 1, Sch. 5 para. 1(1)

[^key-0f6d1d9f47512ca9dca5ff0d9deca1ac]: Words in reg. 45(d)(ii) substituted (31.12.2020) by The Railways (Interoperability) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/345), regs. 1(2), 2(48)(b)(ii) (as amended by The Railways (Miscellaneous Amendments, Revocations and Transitional Provisions) (EU Exit) Regulations 2020 (S.I. 2020/786), regs. 1(2)(b)(i), 4(8)); 2020 c. 1, Sch. 5 para. 1(1)

[^key-d9c0901182030fbe87b9477cfe391397]: Word in reg. 46(1) substituted (31.12.2020) by The Railways (Interoperability) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/345), regs. 1(2), 2(49)(a); 2020 c. 1, Sch. 5 para. 1(1)

[^key-1eb2d8376808591d6b31ea2cb473b140]: Words in reg. 46(2) omitted (31.12.2020) by virtue of The Railways (Interoperability) (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/345), regs. 1(2), 2(49)(b); 2020 c. 1, Sch. 5 para. 1(1)

Appointment and obligations of an authorised representative

3A

• (1) A manufacturer or contracting entity may, in writing, appoint a person established in the United Kingdom as its authorised representative to perform certain tasks pursuant to these Regulations.

• (2) A manufacturer or contracting entity who has appointed an authorised representative to perform, on behalf of that manufacturer or contracting entity, a task under these Regulations remains responsible for the proper performance of that task.

• (3) An authorised representative must comply with all the duties imposed on the manufacturer or contracting entity in relation to each obligation under these Regulations that the representative is appointed to perform, and will be subject to the same penalties as a manufacturer or contracting entity for failure to comply with those duties.

PART 1A — National Technical Specification Notices and National Technical Rules

Publication of National Technical Specification Notices

3B

• (1) The Secretary of State may set standards to be complied with in relation to the design, construction, placing in service, upgrading, renewal, operation and maintenance of the parts of the rail system, as well as the professional qualifications and health and safety conditions of the staff who contribute to its operation and maintenance.

• (2) Those standards may be set out in National Technical Specification Notices (NTSNs), which must be published by the Secretary of State.

• (3) NTSNs may be varied from time to time by the Secretary of State.

• (4) Any variation must be published by the Secretary of State.

• (5) Regulations 39 and 40 apply to the enforcement of the standards set out in NTSNs as they apply to the enforcement of these Regulations.

• (6) When the Secretary of State publishes an NTSN for the first time, and the NTSN is intended to take the place of a particular TSI as it had effect immediately before IP completion day, the NTSN must specify the TSI it replaces.

• (7) When the Secretary of State publishes an NTSN or a variation of an NTSN and that NTSN substantially reproduces the provisions of a TSI, the NTSN must specify the title of the TSI it substantially reproduces at the time of publication.

Publication of a list of National Technical Rules

3C

• (1) The Secretary of State may set supplementary standards to be complied with in relation to the design, construction, placing in service, upgrading, renewal, operation and maintenance of the parts of the rail system, as well as the professional qualifications and health and safety conditions of the staff who contribute to its operation and maintenance.

• (2) Those standards may be set out in NTRs which supplement NTSNs.

• (3) On IP completion day, the Secretary of State must publish a list of all NTRs applying in the United Kingdom.

• (4) Where appropriate, the list must specify the notified national technical rule that an NTR replaces.

• (5) The list of NTRs may be varied from time to time by the Secretary of State.

• (6) Any variation to the list must be published by the Secretary of State.

• (7) Regulations 39 and 40 apply to the enforcement of the standards set out in NTRs as they apply to the enforcement of these Regulations.

Type authorisation: changes to applicable standards

Exemption from need to conform with NTSNs (exemptions)

Application for exemptions

14A

• (1) Where a project entity applies for an exemption under regulation 14, they must apply to the Competent Authority in writing.

• (2) The following information must be included in the application for an exemption—

• (a) a description of the work, goods and services subject to the exemption, specifying the key dates, the location, and the operational and technical area;

• (b) a precise reference to the NTSN (or its parts) from which an exemption is sought;

• (c) a precise reference to, and details of, the alternative provisions which will be applied;

• (d) for requests made under regulation 14(2)(a), evidence in support of the fact that the project is at an advanced stage of development;

• (e) for requests made under regulation 14(2)(f), information which outlines how the solution deviates from or complements the applicable NTSNs;

• (f) justification of the exemption, including the main reasons of a technical, economic, commercial, operational and/or administrative nature; and

• (g) any other information justifying the application for an exemption.

• (3) After receipt of the information specified in paragraph (2), the Competent Authority must determine the application for an exemption.

• (4) When the Competent Authority has made a determination it must inform the applicant of that determination.

• (5) When the Competent Authority makes a determination of a case under regulation 14(2)(f) (innovative solutions), and informs the applicant of the outcome of the application, the Competent Authority must also publish its determination.

Essential requirements for project subsystems

Role of project entity

Project subsystems: UK verification assessment procedure

Project subsystems: UK declaration of verification

Retention of documents

Continuing duty on operator in relation to standards

Fees payable to the Safety Authority

Fees payable to the Competent Authority

UK declaration of conformity or suitability for use

Effect of declarations of conformity or suitability for use

Notification to the European Commission of incorrect declaration

Approved bodies

Appointment of approved bodies and designated bodies

Approved bodies and designated bodies: certificates etc.

Fees of approved bodies and designated bodies

Register of approved bodies

34A

• (1) The Secretary of State must—

• (a) assign an approved body identification number to each approved body; and

• (b) compile and maintain a register of—

• (i) approved bodies;

• (ii) their approved body identification number;

• (iii) the activities for which they have been approved; and

• (iv) any restrictions on those activities.

• (2) The register referred to in paragraph (1) must be made publicly available.

UK national accreditation body

34B

• (1) The Secretary of State may authorise the UK national accreditation body to carry out the following activities on behalf of the Secretary of State—

• (a) assessing whether a body meets the approved body or designated body requirements;

• (b) exercising functions in accordance with regulation 31;

• (c) compiling and maintaining the register of approved bodies in accordance with regulation 34A.

• (2) In this regulation—

• “RAMS” means Regulation (EC) No 765/2008 of the European Parliament and of the Council setting out the requirements for accreditation and market surveillance relating to the marketing of products and repealing Regulation (EEC) No 339/93;

• “UK national accreditation body” means the body appointed by the Secretary of State in accordance with Article 4 of RAMS.

Further savings and transitional arrangements

47A

• (1) Where a structural subsystem was authorised to be placed in service on the rail system in accordance with regulation 7 or regulation 9 as they had effect before IP completion day and that authorisation has not been revoked, it is treated as authorised under these Regulations as they have effect on or after IP completion day.

• (2) Where an application for authorisation was made pursuant to regulation 5 as it had effect before IP completion day and that authorisation was not issued before IP completion day, it is, on or after IP completion day, treated as a valid application under these Regulations and any EC declaration of verification and technical file submitted with that application are treated as a UK declaration of verification and technical file submitted in accordance with these Regulations as they have effect on or after IP completion day.

• (3) Where an application for type authorisation was made pursuant to regulation 9 as it had effect before IP completion day and that authorisation was not issued before IP completion day, it is, on or after IP completion day, treated as a valid application under these Regulations and any reference to an applicable TSI or notified national technical rule in the documentation accompanying that application is treated as a reference to the applicable NTSN or NTR which replaces them.

• (4) Where a Competent Authority has made a decision about the requirement for authorisation and the extent to which TSIs must apply to a project subsystem pursuant to regulation 13(8) before IP completion day, a reference to a TSI in that decision is treated as a reference to the NTSN that replaces it.

• (5) Where an application for a decision by the Competent Authority as to whether an authorisation is required was made pursuant to regulation 13 as it had effect before IP completion day and the Competent Authority has not made the decision before IP completion day, it is treated as an application under regulation 13 as it has effect on or after IP completion day, and any reference in that application to TSIs or parts of TSIs is treated as a reference to the NTSNs or parts of NTSNs that replace them.

• (6) A derogation granted against a TSI by the Competent Authority in accordance with Article 9 of the Directive and these Regulations as they had effect before IP completion day is treated on or after IP completion day as an exemption granted by the Competent Authority against the NTSN which replaces that TSI in accordance with regulations 14 and 14A.

• (7) Except for a project subsystem authorised under regulation 9, if a project subsystem was authorised before IP completion day, the project entity must (in addition to the requirements of regulation 19(2)) keep the documents it was required to retain in accordance with regulation 19(1)(a) as it had effect before IP completion day.

• (8) Where an interoperability constituent was placed on the market anywhere in the European Union before IP completion day, it is treated on or after IP completion day as an interoperability constituent placed on the UK market in accordance with Part 3.

• (9) Where a notified body (as defined in regulation 30(2)) was engaged before IP completion day to carry out an EC verification assessment procedure in relation to TSIs or notified national technical rules pursuant to Annex VI of the Directive and regulation 16 as it had effect before IP completion day, the work carried out by that body before IP completion day is treated as work undertaken pursuant to regulation 16 and Schedule 4 as they have effect from IP completion day to carry out the UK verification assessment procedure in relation to NTSNs.

• (10) Where a designated body was engaged before IP completion day to carry out an EC verification assessment procedure in relation to TSIs or notified national technical rules pursuant to Annex VI of the Directive and regulation 16 as it had effect before IP completion day, the work carried out by that body before IP completion day is treated as work undertaken pursuant to regulation 16 and Schedule 4 as they have effect from IP completion day to carry out the UK verification assessment procedure in relation to UK specific rules.

• (11) A dispensation from a notified national technical rule granted by the Competent Authority pursuant to regulation 46 as it had effect before IP completion day, is treated on or after IP completion day as a dispensation from the NTR specified as replacing it.

Amendments to legislation

Review

SCHEDULE 2 — Essential Requirements

(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

General requirements

1.1

Safety

• (1.1.1) The design, construction or assembly, maintenance and monitoring of safety-critical components, and more particularly of the components involved in train movements, must be such as to guarantee safety at the level corresponding to the aims laid down for the network, including those for specific degraded situations.

• (1.1.2) The parameters involved in the wheel/rail contact must meet the stability requirements needed in order to guarantee safe movement at the maximum authorised speed. The parameters of brake equipment must guarantee that it is possible to stop within a given brake distance at the maximum authorised speed.

• (1.1.3) The components used must withstand any normal or exceptional stresses that have been specified during their period of service. The safety repercussions of any accidental failures must be limited by appropriate means.

• (1.1.4) The design of fixed installations and rolling stock and the choice of the materials used must be aimed at limiting the generation, propagation and effects of fire and smoke in the event of a fire.

• (1.1.5) Any devices intended to be handled by users must be so designed as not to impair the safe operation of the devices or the health and safety of users if used in a foreseeable manner, albeit not in accordance with the posted instructions.

1.2

Reliability and availability

• The monitoring and maintenance of fixed or moveable components that are involved in train movements must be organised, carried out and quantified in such a manner as to maintain their operation under the intended conditions.

1.3

Health

• (1.3.1) Materials likely, by virtue of the way they are used, to constitute a health hazard to those having access to them must not be used in trains and railway infrastructures.

• (1.3.2) Those materials must be selected, deployed and used in such a way as to restrict emission of harmful and dangerous fumes or gases, particularly in the event of fire.

1.4

Environmental protection

• (1.4.1) The environmental impact of establishment and operation of the rail system must be assessed and taken into account at the design stage of the system in accordance with any relevant enactment or rule of law.

• (1.4.2) The materials used in the trains and infrastructures must prevent the emission of fumes or gases which are harmful and dangerous to the environment, particularly in the event of fire.

• (1.4.3) The rolling stock and energy-supply systems must be designed and manufactured in such a way as to be electromagnetically compatible with the installations, equipment and public or private networks with which they might interfere.

• (1.4.4) The design and operation of the rail system must not lead to an inadmissible level of noise generated by it—

• (i) in areas close to the railway infrastructure as defined in Article 3 of Directive 2012/34/EU, and

• (ii) in the driver’s cab.

• (1.4.5) Operation of the rail system must not give rise to an inadmissible level of ground vibrations for the activities and areas close to the infrastructure and in a normal state of maintenance.

1.5

Technical compatibility

• The technical characteristics of the infrastructure and fixed installations must be compatible with each other and with those of the trains to be used on the rail system.

• If compliance with these characteristics proves difficult on certain sections of the network, temporary solutions, which ensure compatibility in the future, may be implemented.

1.6

Accessibility

• (1.6.1) The ‘infrastructure’ and ‘rolling stock’ subsystems must be accessible to persons with disabilities and persons with reduced mobility in order to ensure access on an equal basis with others by way of the prevention or removal of barriers, and by way of other appropriate measures. This shall include the design, construction, renewal, upgrade, maintenance and operation of the relevant parts of the subsystems to which the public has access.

• (1.6.2) The ‘operations’ and ‘telematics applications for passengers’ subsystems must provide for the necessary functionality required to facilitate access to persons with disabilities and persons with reduced mobility on an equal basis with others by way of the prevention or removal of barriers, and by way of other appropriate measures.

2

Requirements specific to each subsystem

2.1

Infrastructure

• (2.1.1) Safety

• Appropriate steps must be taken to prevent access to or undesirable intrusions into installations.

• Steps must be taken to limit the dangers to which persons are exposed, particularly when trains pass through stations.

• Infrastructure to which the public has access must be designed and made in such a way as to limit any human safety hazards (stability, fire, access, evacuation, platforms, etc.).

• Appropriate provisions must be laid down to take account for the particular safety conditions in very long tunnels and viaducts.

• (2.1.2) Accessibility

• (2.1.2.1) Infrastructure subsystems to which the public has access must be accessible to persons with disabilities and persons with reduced mobility in accordance with paragraph 1.6.

2.2

Energy

• (2.2.1) Safety

• Operation of the energy-supply systems must not impair the safety either of trains or of persons (users, operating staff, trackside dwellers and third parties).

• (2.2.2) Environmental protection

• The functioning of the electrical or thermal energy-supply systems must not interfere with the environment beyond the specified limits.

• (2.2.3) Technical compatibility

• The electricity/thermal energy supply systems used must:enable trains to achieve the specified performance levels,in the case of electricity energy supply systems, be compatible with the collection devices fitted to the trains.

2.3

Control-command and signalling

• (2.3.1) Safety

• The control-command and signalling installations and procedures used must enable trains to travel with a level of safety which corresponds to the objectives set for the network. The control-command and signalling systems should continue to provide for safe passage of trains permitted to run under degraded conditions.

• (2.3.2) Technical compatibility

• All new infrastructure and all new rolling stock manufactured or developed after adoption of compatible control-command and signalling systems must be tailored to the use of those systems.

• The control-command and signalling equipment installed in the train drivers’ cabs must permit normal operation, under the specified conditions, throughout the rail system.

2.4

Rolling stock

• (2.4.1) Safety

• The rolling-stock structures and those of the links between vehicles must be designed in such a way as to protect the passenger and driving compartments in the event of collision or derailment.

• The electrical equipment must not impair the safety and functioning of the control-command and signalling installations.

• The braking techniques and the stresses exerted must be compatible with the design of the tracks, engineering structures and signalling systems.

• Steps must be taken to prevent access to electrically-live constituents in order not to endanger the safety of persons.

• In the event of danger devices must enable passengers to inform the driver and accompanying staff to contact him.

• The access doors must incorporate an opening and closing system which guarantees passenger safety.

• Emergency exits must be provided and indicated.

• Appropriate provisions must be laid down to take account of the particular safety conditions in very long tunnels.

• All trains must have an emergency lighting system of sufficient intensity and duration on board.

• Trains must be equipped with a public address system which provides a means of communication to the public from on-board staff.

• (2.4.2) Reliability and availability

• The design of the vital equipment and the running, traction and braking equipment and also the control and command system must, in a specific degraded situation, be such as to enable the train to continue without adverse consequences for the equipment remaining in service.

• (2.4.3) Technical compatibility

• The electrical equipment must be compatible with the operation of the control-command and signalling installations.

• In the case of electric traction, the characteristics of the current-collection devices must be such as to enable trains to travel under the energy-supply systems for the rail system.

• The characteristics of the rolling stock must be such as to allow it to travel on any line on which it is expected to operate, taking account of relevant climatic conditions.

• (2.4.4) Controls

• Trains must be equipped with a recording device. The data collected by this device and the processing of the information must be harmonised.

• (2.4.5) Accessibility

• Rolling stock subsystems to which the public has access must be accessible to persons with disabilities and persons with reduced mobility in accordance with paragraph 1.6.

2.5

Maintenance

• (2.5.1) Health and safety

• The technical installations and the procedures used in the centres must ensure the safe operation of the subsystem and not constitute a danger to health and safety.

• (2.5.2) Environmental protection

• The technical installations and the procedures used in the maintenance centres must not exceed the permissible levels of nuisance with regard to the surrounding environment.

• (2.5.3) Technical compatibility

• The maintenance installations for rolling stock must be such as to enable safety, health and comfort operations to be carried out on all stock for which they have been designed.

2.6

Operation and traffic management

• (2.6.1) Safety

• Alignment of the network operating rules and the qualifications of drivers and on-board staff and of the staff in the control centres must be such as to ensure safe operation, bearing in mind the different requirements of cross-border and domestic services.

• The maintenance operation and intervals, the training and qualifications of the maintenance and control centre staff and the quality assurance system set up by the operators concerned in the control and maintenance centres must be such as to ensure a high level of safety.

• (2.6.2) Reliability and availability

• The maintenance operations and periods, the training and qualifications of the maintenance and control centre staff and the quality assurance system set up by the operators concerned in the control and maintenance centres must be such as to ensure a high level of system reliability and availability.

• (2.6.3) Technical compatibility

• Alignment of the network operating rules and the qualifications of drivers, on-board staff and traffic managers must be such as to ensure operating efficiency on the rail system, bearing in mind the different requirements of cross-border and domestic services.

• (2.6.4) Accessibility

• Appropriate steps must be taken to ensure that operating rules provide for the necessary functionality required to ensure accessibility for persons with disabilities and persons with reduced mobility.

2.7

Telematics applications for freight and passengers

• (2.7.1) Technical compatibility

• The essential requirements for telematics applications guarantee a minimum quality of service for passengers and carriers of goods, particularly in terms of technical compatibility.

• Steps must be taken to ensure:that the databases, software and data communication protocols are developed in a manner allowing maximum data interchange between different applications and operators, excluding confidential commercial data,easy access to the information for users.

• (2.7.2) Reliability and availability

• The methods of use, management, updating and maintenance of these databases, software and data communication protocols must guarantee the efficiency of these systems and the quality of the service.

• (2.7.3) Health

• The interfaces between these systems and users must comply with the minimum rules on ergonomics and health protection.

• (2.7.4) Safety

• Suitable levels of integrity and dependability must be provided for the storage or transmission of safety-related information.

• (2.7.5) Accessibility

• Appropriate steps must be taken to ensure that telematics applications for passengers subsystems provide for the necessary functionality required to ensure accessibility for persons with disabilities and persons with reduced mobility.

SCHEDULE 3 — Subsystems

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

List of subsystems

1

For the purposes of these Regulations, the system constituting the rail system may be broken down into the following subsystems, either—

• (a) structural areas—

• infrastructure,

• energy,

• trackside control-command and signalling,

• on-board control-command and signalling,

• rolling stock.

• (b) functional areas—

• operation and traffic management,

• maintenance,

• telematics applications for passenger and freight services.

Description of the subsystems

2

For each subsystem or part of a subsystem, the list of constituents and aspects relating to interoperability is proposed by the Secretary of State at the time of drawing up the relevant draft NTSN. Without prejudging the choice of aspects and constituents relating to interoperability or the order in which they will be made subject to NTSNs, the subsystems include the following—

2.1

Infrastructure

2.2

Energy

2.3

Trackside control-command and signalling

2.4

On-board control-command and signalling

2.5

Operation and traffic management

2.6

Telematics applications

2.7

Rolling stock

2.8

Maintenance

SCHEDULE 4 — UK verification assessment procedure for subsystems

(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

General principles

“UK verification” means a procedure carried out by a project entity applying for an authorisation pursuant to regulation 6 or regulation 17, to demonstrate that the requirements of these Regulations and any NTSNs or relevant NTRs relating to a subsystem have been fulfilled and the subsystem may be authorised to be placed in service.

2

UK certificate of verification issued by an approved body

2.1

Introduction

2.2

Intermediate statement of verification (ISV)

• (2.2.1) Principles

At the request of the project entity, the verifications may be done for parts of a subsystem or may be limited to certain stages of the UK verification assessment procedure. In these cases, the results of UK verification may be documented in an “intermediate statement of verification” (ISV) issued by the approved body chosen by the project entity.

The ISV must provide reference to the NTSNs with which the conformity has been assessed.

• (2.2.2) Parts of the subsystem

The project entity may apply for an ISV for any part into which they decide to split the subsystem. Each part shall be checked at each stage as set out in point 2.2.3.

• (2.2.3) Stages of the UK verification procedure

The subsystem, or certain parts of the subsystem, shall be checked at each of the following stages—

• (a) overall design,

• (b) production: construction, including, in particular, civil-engineering activities, manufacturing, constituent assembly and overall adjustment,

• (c) final testing.

The project entity may apply for an ISV for the design stage (including type tests) and for the production stage for the whole subsystem or for any part into which the project entity decided to split it (see point 2.2.2).

2.3

UK certificate of verification

• (2.3.1) The approved bodies responsible for the UK verification must assess the design, production and final testing of the subsystem and must draw up the UK certificate of verification intended for the project entity. In turn, the project entity must draw up the UK declaration of verification. The UK certificate of verification must provide reference to the NTSNs with which the conformity has been assessed.

Where a subsystem has not been assessed for its conformity with all relevant NTSNs (e.g. in the case of an exemption, partial application of NTSNs for upgrade or renewal, transitional period in an NTSN or UK specific case), the UK certificate of verification shall give the precise reference to the NTSNs or their parts whose conformity has not been examined by the approved body during the UK verification assessment procedure.

• (2.3.2) Where an ISV has been issued, whether by an approved body, an EU notified body, or a designated body, the approved body responsible for the verification of the subsystem must take the ISV into account, and before issuing its UK certificate of verification, must:

• (a) verify that the ISV correctly covers the relevant requirements of the NTSNs,

• (b) check all aspects that are not covered by the ISV, and

• (c) check the final testing of the subsystem as a whole.

• (2.3.3) In the case of a modification to a subsystem already covered by a certificate of verification, the approved body shall perform only those examinations and tests that are relevant and necessary, i.e. assessment shall relate only to the parts of the subsystem that are changed and their interfaces to the unchanged parts of the subsystem.

• (2.3.4) Each approved body involved in the verification of a subsystem shall draw up a technical file in accordance with regulation 17 covering the scope of its activities.

2.4

Technical file accompanying the UK declaration of verification

2.5

Surveillance by approved body

• (2.5.1) The approved body responsible for checking production must have permanent access to building sites, production workshops, storage areas and, where appropriate, prefabrication or testing facilities and, more generally, to all premises which it considers necessary for its task. The approved body must receive from the project entity all the documents needed for that purpose and, in particular, the implementation plans and technical documentation concerning the subsystem.

• (2.5.2) The approved body responsible for checking implementation must periodically carry out audits in order to confirm compliance with the relevant NTSNs. It must provide those responsible for implementation with an audit report. Its presence may be required at certain stages of the building operations.

• (2.5.3) In addition, the approved body may pay unexpected visits to the worksite or to the production workshops. At the time of such visits the approved body may conduct complete or partial audits. It must provide those responsible for implementation with an inspection report and if appropriate, an audit report.

• (2.5.4) The approved body shall be able to monitor a subsystem on which an interoperability constituent is mounted in order to assess, where required by the corresponding NTSNs, its suitability for use in its intended railway environment.

2.6

Submission

2.7

Publication

3

UK certificate of verification issued by a designated body

3.1

Introduction

3.2

Certificate of verification

3.3

Technical file

4

Verification of parts of subsystems

SCHEDULE 5 — UK declaration of verification of subsystems

(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

UK declaration of verification of subsystems

2

Modification of subsystems with EC or UK declaration of verification issued before IP completion day

2.1

If the entity introducing the modifications demonstrates that the modification does not affect the basic design characteristics of the subsystem which are relevant for the compliance with the requirements concerning the basic parameters:

• (a) the entity introducing the modification shall update the references of the documents contained in the technical file accompanying the EC or UK declaration of verification, and

• (b) no new UK declaration of verification needs to be established.

2.2

If the entity introducing the modification demonstrates that the modification affects the basic design characteristic of the subsystem which are relevant for the compliance with the requirements concerning some basic parameters:

• (a) the entity introducing the modification shall establish an additional UK declaration of verification with reference to the basic parameters concerned,

• (b) the additional UK declaration of verification shall be accompanied by a list of documents of the original technical file accompanying the original UK declaration of verification or EC declaration of verification that are no longer valid,

• (c) the technical file accompanying the additional UK declaration of verification shall include a demonstration that the impact of modifications is limited to the basic parameters referred to in point (a),

• (d) the provisions of Section 1 of this Schedule shall apply mutatis mutandis to this additional UK declaration of verification,

• (e) the original UK declaration of verification or EC declaration of verification shall be considered valid for the basic parameters not concerned by the modification.

3

UK declaration of verification in the case of additional verifications

SCHEDULE 6 — Model declaration of conformity to an authorised type of vehicle

SCHEDULE 7 — UK declaration of conformity or suitability for use of interoperability constituents

(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

Interoperability constituents

2

Scope

3

Contents of the UK declaration of conformity or suitability for use

The UK declaration of conformity or suitability for use and the accompanying documents must be dated and signed.

That declaration must contain the following:

• (a) references to the appropriate provisions of these Regulations,

• (b) name and address of the manufacturer or its authorised representative or the manufacturer’s representative (give trade name and full address, in the case of the authorised representative, or the manufacturer’s representative, also give the trade name of the manufacturer),

• (c) description of interoperability constituent (make, type, etc),