Interoperability of the Trans-European high-speed rail system 96/48/EC
Directive 2001/16/EC of the European Parliament and of the Council
of 19 March 2001
on the interoperability of the trans-European conventional rail
system
THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE
EUROPEAN UNION,
Having regard to the Treaty establishing the European Community,
and in particular Article 156 thereof,
Having regard to the Commission proposal(1),
Having regard to the opinion of the Economic and Social
Committee(2),
Having regard to the opinion of the Committee of the Regions(3),
Acting in accordance with the procedure referred to in Article 251 of
the Treaty(4),
Whereas:
(1) In order to enable citizens of the Union, economic operators and
regional and local authorities to benefit to the full from the advantages
deriving from the establishing of an area without internal frontiers, it
is appropriate, in particular, to improve the interlinking and
interoperability of the national rail networks as well as access thereto,
implementing any measures that may prove necessary in the field of
technical standardisation, as provided for in Article 155 of the Treaty.
(2) By signing the Protocol adopted in Kyoto on 12 December 1997 the
European Union has undertaken to reduce its gas emissions. These
objectives require an adjustment to the balance between the various modes
of transport, and consequently an increase in the competitiveness of rail
transport.
(3) The Council strategy for the integration of the environment and
sustainable development into Community transport policy highlights the
need to act to reduce the environmental impact of transport.
(4) The commercial operation of trains throughout the trans-European
rail network requires in particular excellent compatibility between the
characteristics of the infrastructure and those of the rolling stock, as
well as efficient interconnection of the information and communication
systems of the different infrastructure managers and operators.
Performance levels, safety, quality of service and cost depend upon such
compatibility and interconnection, as does, in particular, the
interoperability of the trans-European conventional rail system.
(5) To achieve these objectives an initial measure was taken by the
Council on 23 July 1996 with the adoption of Directive 96/48/EC concerning
the interoperability of the trans-European high-speed rail system(5).
(6) In its White Paper entitled "A strategy for revitalising the
Community's railways" in 1996, the Commission announced a second
measure in the conventional rail sector and then ordered a study on the
integration of national rail systems, the results of which were published
in May 1998 with the recommendation of the adoption of a Directive based
on the approach taken in the high-speed sector. This study also
recommended that, rather than tackling all the obstacles to
interoperability head on, problems should be solved gradually according to
an order of priority based on the cost-benefit ratio of each proposed
measure. In this study the harmonisation of procedures and rules in use
and the interconnection of information and communication systems were
shown to be more effective than measures, for example, concerning the
infrastructure loading gauge.
(7) The Commission communication on "Integration of conventional
rail systems" recommends the adoption of this Directive and justifies
the similarities and main differences compared with Directive 96/48/EC.
The main differences lie in the adaptation of the geographical scope, in
the extension of the technical scope to take account of the results of the
above study and in the adoption of a gradual approach to eliminating
obstacles to the interoperability of the rail system, which includes
establishing an order of priorities and a timetable for drawing it up.
(8) In view of that gradual approach and of the time consequently
required for the adoption of all the technical specifications for
interoperability (TSIs), steps should be taken to avoid a situation where
Member States adopt new national rules or undertake projects that increase
the heterogeneity of the present system.
(9) The adoption of a gradual approach satisfies the special needs of
the objective of interoperability of the conventional rail system, which
is characterised by old national infrastructure and stock requiring heavy
investment for adaptation or renewal, and particular care should be taken
not to penalise rail economically vis-à-vis other modes of
transport.
(10) In its Resolution of 10 March 1999 on the rail package the
Parliament asked that the progressive opening up of the rail sector go
hand-in-hand with the fastest and most effective possible technical
harmonisation measures.
(11) The Council meeting on 6 October 1999 asked the Commission to
propose a strategy on improving the interoperability of rail transport and
reducing bottlenecks with a view to eliminating technical, administrative
and economic obstacles to the interoperability of networks without delay
while guaranteeing a high level of safety as well as personnel training
and qualifications.
(12) Pursuant to Council Directive 91/440/EEC of 29 July 1991 on the
development of the Community's railways(6), railway companies must have
increased access to Member States' rail networks, which in turn requires
the interoperability of infrastructure, equipment, rolling stock and
systems of management and operation, including those staff qualifications
and hygiene and safety conditions at work required for the operation and
maintenance of the subsystems in question and for the implementation of
each TSI. However, it is not the aim of this Directive, directly or
indirectly, to harmonise working conditions in the rail sector.
(13) Member States are responsible for ensuring compliance with the
safety, health and consumer protection rules applying to the railway
networks in general during the design, construction, putting into service
and operation of those railways.
(14) There are major differences in the national regulations and
internal rules and technical specifications which the railways apply,
since they incorporate techniques that are specific to the national
industries and prescribe specific dimensions and devices and special
characteristics. This situation prevents trains from being able to run
without hindrance throughout the Community network.
(15) Over the years, this situation has created very close links
between the national railway industries and the national railways, to the
detriment of the genuine opening-up of markets. In order to enhance their
competitiveness at world level, these industries require an open,
competitive European market.
(16) It is therefore appropriate to define basic essential
requirements for the whole of the Community which will apply to the
trans-European conventional rail system.
(17) In view of the extent and complexity of the trans-European
conventional rail system, it has proved necessary, for practical reasons,
to break this down into subsystems. For each of these subsystems the
essential requirements must be specified and the technical specifications
determined for the whole of the Community, particularly in respect of
constituents and interfaces, in order to meet these essential
requirements.
(18) Implementation of the provisions on the interoperability of the
trans-European conventional rail system should not create unjustified
barriers in cost-benefit terms to the preservation of the existing rail
network of each Member State, but must endeavour to retain the objective
of interoperability.
(19) The technical specifications for interoperability also have an
impact on the conditions of use of rail transport by users, and it is
therefore necessary to consult these users on aspects concerning them.
(20) Each Member State concerned should be allowed not to apply
certain technical specifications for interoperability in special cases,
provided that there are procedures to ensure that these derogations are
justified. Article 155 of the Treaty requires Community activities in the
field of interoperability to take account of the potential economic
viability of projects.
(21) The drawing up of TSIs and their application to the conventional
rail system should not impede technological innovation, which should be
directed towards improving economic performance.
(22) Advantage should be taken of the interoperability of the
conventional rail system, particularly in the case of freight, to bring
about the conditions for greater interoperability between modes of
transport.
(23) To comply with the appropriate provisions on procurement
procedures in the rail sector and in particular Directive 93/38/EEC(7),
the contracting entities should include technical specifications in the
general documents or in the terms and conditions for each contract. To
this end it is necessary to build up a body of European specifications in
order to serve as references for these technical specifications.
(24) An international system of standardisation capable of generating
standards which are actually used by those involved in international trade
and which meet the requirements of Community policy would be in the
Community's interest. The European standardisation bodies must therefore
continue their cooperation with the international standardisation bodies.
(25) The contracting entities are to define the further requirements
needed to complete European specifications or other standards. These
specifications should meet the essential requirements that have been
harmonised at Community level and which the trans-European conventional
rail system must satisfy.
(26) The procedures governing the assessment of conformity or of
suitability of use of constituents should be based on the use of the
modules covered by Decision 93/465/EEC(8). As far as possible and in order
to promote industrial development, it is appropriate to draw up the
procedures involving a system of quality assurance.
(27) Conformity of constituents is mainly linked to their area of use
in order to guarantee the interoperability of the system and not only to
their free movement on the Community market. The suitability for use of
the most critical constituents as regards safety, availability or system
economy should be assessed. It is therefore not necessary for a
manufacturer to affix the CE marking to constituents that are now subject
to the provisions of this Directive. On the basis of the assessment of
conformity and/or suitability for use, the manufacturer's declaration of
conformity should be sufficient.
(28) That does not affect the obligation on manufacturers to affix
the CE marking to certain components in order to certify their compliance
with other Community provisions relating to them.
(29) The subsystems constituting the trans-European conventional rail
system should be subjected to a verification procedure. This verification
must enable the authorities responsible for authorising their putting into
service to be certain that, at the design, construction and putting into
service stages, the result is in line with the regulations and technical
and operational provisions in force. It must also enable manufacturers to
be able to count upon equality of treatment whatever the country. It is
therefore necessary to lay down a module defining the principles and
conditions applying to "EC" verification of subsystems.
(30) The "EC" verification procedure should be based on
TSIs. These TSIs are subject to the provisions of Article 18 of Directive
93/38/EEC. The notified bodies responsible for examining the procedures
for conformity assessment and suitability for the use of constituents,
together with the procedure for the assessment of subsystems must, in
particular in the absence of any European specification, coordinate their
decisions as closely as possible.
(31) These TSIs are drawn up to the order of the Commission by the
joint body representing the infrastructure managers, the railway companies
and the industry. Representatives of non-member countries, in particular
those of the applicant countries, may from the outset be authorised to
attend meetings of the joint representative body as observers.
(32) Directive 91/440/EEC requires a separation of activities, in
accounting terms, between transport service operation and railway
infrastructure management. This being the case, the specialised services
provided by railway infrastructure managers designated as notified bodies
should be structured in such a way as to meet the criteria which must
apply to this type of body. Other specialised bodies may be notified where
these meet the same criteria.
(33) The measures necessary for the implementation of this Directive
should be adopted in accordance with Council Decision 99/468/EC of 28 June
1999 laying down the procedures for the exercise of implementing powers
conferred on the Commission(9).
(34) Interoperability within the trans-European conventional rail
system is Community-wide in scale. No individual Member State is in a
position to take the action needed in order to achieve this
interoperability. In accordance with the principle of subsidiarity, the
objectives of the proposed action cannot be sufficiently achieved by the
Member States and can therefore by reason of the scale or effects of the
proposed action be better achieved by the Community,
HAVE ADOPTED THIS DIRECTIVE:
CHAPTER ONE
General provisions
Article 1
1. This Directive sets out to establish the conditions to be met to
achieve interoperability within the Community territory of the
trans-European conventional rail system, as described in Annex I. These
conditions concern the design, construction, putting into service,
upgrading, renewal, operation and maintenance of the parts of this system
put into service after the date of entry into force of this Directive, as
well as the professional qualifications and health and safety conditions
of the staff who contribute to its operation.
2. The pursuit of this objective must lead to the definition of a
minimum level of technical harmonisation and make it possible to:
(a) facilitate, improve and develop international rail transport
services within the European Union and with third countries;
(b) contribute to the progressive creation of the internal market in
equipment and services for the construction, renewal, upgrading and
operation of the trans-European conventional rail system;
(c) contribute to the interoperability of the trans-European
conventional rail system.
Article 2
For the purposes of this Directive:
(a) "trans-European conventional rail system" means the
structure, as described in Annex I, composed of lines and fixed
installations, of the trans-European transport network, built or upgraded
for conventional rail transport and combined rail transport, plus the
rolling stock designed to travel on that infrastructure;
(b) "interoperability" means the ability of the
trans-European conventional rail system to allow the safe and
uninterrupted movement of trains which accomplish the required levels of
performance for these lines. This ability rests on all the regulatory,
technical and operational conditions which must be met in order to satisfy
the essential requirements;
(c) "subsystems" means the result of the division of the
trans-European conventional rail system, as shown in Annex II. These
subsystems, for which essential requirements must be laid down, are
structural and functional;
(d) "interoperability constituents" means any elementary
component, group of components, subassembly or complete assembly of
equipment incorporated or intended to be incorporated into a subsystem
upon which the interoperability of the trans-European conventional rail
system depends directly or indirectly. The concept of a "constituent"
covers both tangible objects and intangible objects such as software;
(e) "essential requirements" means all the conditions set
out in Annex III which must be met by the trans-European conventional rail
system, the subsystems, and the interoperability constituents including
interfaces;
(f) "European specification" means a common technical
specification, a European technical approval or a national standard
transposing a European standard, as defined in points 8 to 12 of Article 1
of Directive 93/38/EEC;
(g) "technical specifications for interoperability",
hereinafter referred to as "TSIs", means the specifications by
which each subsystem or part subsystem is covered in order to meet the
essential requirements and ensure the interoperability of the
trans-European conventional rail system;
(h) "joint representative body" (JRB) means the body
bringing together representatives of the infrastructure managers, railway
companies and industry which is responsible for drawing up the TSIs. "Infrastructure
managers" means those referred to in Articles 3 and 7 of Directive
91/440/EEC;
(i) "notified bodies" means the bodies which are
responsible for assessing the conformity or suitability for use of the
interoperability constituents or for appraising the "EC"
procedure for verification of the subsystems;
(j) "basic parameters" means any regulatory, technical or
operational condition which is critical to interoperability and requires a
decision in accordance with the procedure laid down in Article 21(2)
before any development of draft TSIs by the joint representative body;
(k) "specific case" means any part of the trans-European
conventional rail system which needs special provisions in the TSIs,
either temporary or definitive, because of geographical, topographical or
urban environment constraints or those affecting compatibility with the
existing system. This may include in particular railway lines and networks
isolated from the rest of the Community, the loading gauge, the track
gauge or space between the tracks and rolling stock strictly intended for
local, regional or historical use, as well as rolling stock originating
from or destined for third countries, as long as this stock does not cross
the border between two Member States;
(l) "upgrading" means any major modification work on a
subsystem or part subsystem which requires fresh authorisation for putting
into service within the meaning of Article 14(1);
(m) "renewal" means any major substitution work on a
subsystem or part subsystem which requires fresh authorisation for putting
into service within the meaning of Article 14(1);
(n) "existing rail system" means the structure composed of
lines and fixed installations of the existing rail system plus the rolling
stock of all categories and origin travelling on that infrastructure.
Article 3
1. This Directive applies to the provisions concerning, for each
subsystem, the interoperability constituents, the interfaces and
procedures as well as the conditions of overall compatibility of the
trans-European conventional rail system required to achieve its
interoperability.
2. The provisions of this Directive shall apply without prejudice to
any other relevant Community provisions. However, in the case of
interoperability constituents, including interfaces, compliance with the
essential requirements of this Directive may require the use of individual
European specifications drawn up for that purpose.
Article 4
1. The trans-European conventional rail system, subsystems and
interoperability constituents including interfaces shall meet the relevant
essential requirements.
2. The further technical specifications referred to in Article 18(4)
of Directive 93/38/EEC which are necessary to complete European
specifications or other standards in use within the Community must not
conflict with the essential requirements.
CHAPTER II
Technical specifications for interoperability (TSIs)
Article 5
1. Each of the subsystems shall be covered by a TSI. Where necessary,
especially for treating categories of lines, hubs or rolling stock
separately, or to solve certain interoperability problems as a matter of
priority, a subsystem may be covered by several TSIs. In this case the
provisions of this Article also apply to the part of the subsystem
concerned.
2. Subsystems shall comply with the TSIs; this compliance shall be
permanently maintained while each subsystem is in use.
3. To the extent necessary in order to achieve the objectives
referred to in Article 1, each TSI shall:
(a) indicate its intended scope (part of network or rolling stock
referred to in Annex I: subsystem or part of subsystem referred to in
Annex II);
(b) lay down essential requirements for each subsystem concerned and
its interfaces vis-à-vis other subsystems;
(c) establish the functional and technical specifications to be met
by the subsystem and its interfaces vis-à-vis other subsystems. If
need be, these specifications may vary according to the use of the
subsystem, for example according to the categories of line, hub and/or
rolling stock provided for in Annex I;
(d) determine the interoperability constituents and interfaces which
must be covered by European specifications, including European standards,
which are necessary to achieve interoperability within the trans-European
conventional rail system;
(e) state, in each case under consideration, the procedures for the
assessment of conformity or suitability of use. This includes in
particular the modules defined in Decision 93/465/EEC or, where
appropriate, the specific procedures, to be used to assess either the
conformity or the suitability for use of interoperability constituents and
"EC" verification of subsystems;
(f) indicate the strategy for implementing the TSIs. In particular,
it is necessary to specify the stages to be completed in order to make a
gradual transition from the existing situation to the final situation in
which compliance with the TSIs shall be the norm;
(g) indicate, for the staff concerned, the professional
qualifications and health and safety conditions at work required for the
operation and maintenance of the above subsystem, as well as for the
implementation of the TSIs.
4. Each TSI shall be drawn up on the basis of an examination of an
existing subsystem and indicate a target subsystem that may be obtained
gradually within a reasonable time-scale. Accordingly, the gradual
adoption of the TSIs and compliance therewith will help gradually to
achieve the interoperability of the trans-European conventional rail
system.
5. The TSIs shall retain, in an appropriate manner, the compatibility
of the existing rail system of each Member State. With this objective,
provision may be made for specific cases for each set of TSIs, with regard
to both infrastructure and rolling stock; special attention must be given
to the loading gauge, the track gauge or space between the tracks and
wagons from or going to third countries. For each specific case, the TSIs
stipulate the implementing rules of the elements of the TSIs indicated in
paragraphs 3(c) to (g).
6. The TSIs shall not be an impediment to decisions by the Member
States concerning the use of infrastructures for the movement of rolling
stock not covered by the TSIs.
Article 6
1. Draft TSIs shall be drawn up by the joint representative body
under a mandate from the Commission in accordance with the procedure set
out in Article 21(2). TSIs shall be adopted and reviewed by the same
procedure. They shall be published by the Commission in the Official
Journal of the European Communities.
2. The joint representative body shall be designated in accordance
with the procedure set out in Article 21(2); it shall comply with the
rules laid down in Annex VIII. Where the joint representative body does
not comply with these rules or does not have the authority needed to draw
up a particular TSI, another authorised body shall be designated by the
same procedure. In the latter case, the joint representative body must be
associated with the work of the other body.
3. The joint representative body or, where appropriate, the
authorised body in question shall be responsible for preparing the review
and updating of TSIs and making appropriate recommendations to the
Committee referred to in Article 21 in order to take account of
developments in technology or social requirements.
4. Each draft TSI shall be drawn up in two stages. First of all, the
joint representative body shall identify the basic parameters for this TSI
as well as the interfaces with the other subsystems and any other specific
cases that may be necessary. The most viable alternative solutions
accompanied by technical and economic justification shall be put forward
for each of these parameters and interfaces. A decision shall be taken in
accordance with the procedure set out in Article 21(2); if necessary,
specific cases shall be cited.
The joint representative body shall then draw up the draft TSI on the
basis of these basic parameters. Where appropriate, the joint
representative body shall take account of technical progress, of
standardisation work already carried out, of working parties already in
place and of acknowledged research work. An overall assessment of the
estimated costs and benefits of the implementation of the TSIs shall be
attached to the draft TSI; this assessment shall indicate the likely
impact for all the operators and economic agents involved.
5. The drafting, adoption and review of each TSI (including the basic
parameters) shall take account of the estimated costs and benefits of all
the technical solutions considered together with the interfaces between
them, so as to establish and implement the most viable solutions. The
Member States shall participate in this assessment by providing the
requisite data.
6. The Committee referred to in Article 21 shall be kept regularly
informed of the preparatory work on the TSIs. During this work the
Committee may formulate any terms of reference or useful recommendations
concerning the design of the TSIs and the cost-benefit analysis. In
particular, the Committee may, at the request of a Member State, require
that alternative solutions be examined and that the assessment of the cost
and benefits of these alternative solutions be set out in the report
annexed to the draft TSI.
7. On the adoption of each TSI, the date of entry into force of that
TSI shall be established in accordance with the procedure provided for in
Article 21(2). Where different subsystems have to be put into service
simultaneously for reasons of technical compatibility, the dates of entry
into force of the corresponding TSIs shall be the same.
8. The drafting and review of the TSIs shall take account of the
opinions of the users, as regards the characteristics which have a direct
impact on the conditions in which they use the subsystems. To that end the
joint representative body or, where appropriate, the authorised body shall
consult associations and bodies representing users during the drafting and
review phases of the TSIs. They shall enclose with the draft TSI a report
on the results of this consultation.
The list of associations and bodies to be consulted shall be
finalised by the Committee referred to in Article 21 before adopting the
mandate of the first TSI and may be re-examined and updated at the request
of a Member State or the Commission.
9. The drafting and review of the TSIs shall take account of the
opinion of the social partners as regards the conditions referred to in
Article 5(3)(g).
To this end, the social partners shall be consulted before the draft
TSI is submitted, for adoption or review, to the Committee referred to in
Article 21.
The social partners shall be consulted in the context of the Sectoral
Dialogue Committee set up in accordance with Commission Decision
98/500/EC(10).
The social partners shall issue their opinion within three months.
Article 7
A Member State need not apply one or more TSIs, including those
relating to rolling stock, in the following cases and circumstances:
(a) for a proposed new line, for the upgrading of an existing line,
or for any element referred to Article 1(1) at an advanced stage of
development or the subject of a contract in course of performance when
these TSIs are published;
(b) for any project concerning the renewal or upgrading of an
existing line where the loading gauge, track gauge, space between the
tracks, or electrification voltage in these TSIs is not compatible with
those of the existing line;
(c) for a proposed new line or for the proposed renewal or upgrading
of an existing line in the territory of that Member State when its rail
network is separated or isolated by the sea from the rail network of the
rest of the Community;
(d) for any proposed renewal, extension or upgrading of an existing
line, when the application of these TSIs would compromise the economic
viability of the project and/or the compatibility of the rail system in
the Member State;
(e) where, following an accident or a natural disaster, the
conditions for the rapid restoration of the network do not economically or
technically allow for partial or total application of the relevant TSIs;
(f) for wagons from or going to third countries the track gauge of
which is different from that of the main rail network of the Community.
In all cases the Member State concerned shall serve prior notice of
its intended derogation to the Commission and shall forward to it a file
setting out the TSIs or the parts of TSIs that it does not wish to be
applied as well as the corresponding specifications that it does wish to
apply. The Committee provided for in Article 21 shall analyse the measures
envisaged by the Member State. In cases (b), (d) and (f), the Commission
shall take a decision in accordance with the procedure in Article 21(2).
Where necessary, a recommendation shall be drawn up concerning the
specifications to be applied. Nevertheless, in the case of (b) the
Commission's decision shall not cover the loading gauge and the track
gauge.
CHAPTER III
Interoperability constituents
Article 8
Member States shall take all necessary steps to ensure that
interoperability constituents:
(a) are placed on the market only if they enable interoperability to
be achieved within the trans-European conventional rail system while at
the same time meeting the essential requirements;
(b) are used in their area of use as intended and are suitably
installed and maintained.
These provisions shall not obstruct the placing on the market of
these constituents for other applications.
Article 9
Member States may not, in their territory and on grounds concerning
this Directive, prohibit, restrict or hinder the placing on the market of
interoperability constituents for use in the trans-European conventional
rail system where they comply with this Directive. In particular, they may
not require checks which have already been carried out as part of the
procedure of "EC" declaration of conformity or suitability for
use, the components of which are set out in Annex IV.
Article 10
1. Member States shall consider as complying with the essential
requirements of this Directive applying to them those interoperability
constituents which bear the "EC" declaration of conformity or
suitability for use.
2. Compliance of an interoperability constituent with the respective
essential requirements and, where appropriate, its suitability for use
shall be established in relation to the conditions laid down by the
corresponding TSI, including any relevant European specifications that may
exist.
3. The references to European specifications shall be published in
the Official Journal of the European Communities and mentioned in the
respective TSI. When the relevant European specifications are published
after adoption of the TSI, they shall be taken into account as soon as the
TSIs are revised.
4. Member States shall publish the references to national standards
transposing European standards.
5. As regards the period prior to the publication of a TSI, in the
absence of any European specifications and without prejudice to Article
20(5), Member States shall notify to the other Member States and the
Commission a list of the standards and technical specifications in use in
order to implement the essential requirements. This notification shall be
made not later than 20 March 2002.
6. Where a European specification is not yet available at the time of
adoption of a TSI and compliance with this specification is an essential
precondition to guarantee interoperability, the TSI may refer to the most
advanced version available of the draft European specification that has to
be complied with or that incorporates all or part of that draft.
Article 11
Where it appears to a Member State or the Commission that European
specifications do not meet the essential requirements, partial or total
withdrawal of these specifications from the publications containing them,
or their amendment, may be decided upon in accordance with the procedure
laid down in Article 21(2) after consultation, where European standards
are involved, of the Committee set up under Directive 98/34/EC(11).
Article 12
1. Where a Member State finds that an interoperability constituent
covered by the "EC" declaration of conformity or suitability for
use and placed on the market is unlikely, when used as intended, to meet
the essential requirements, it shall take all necessary steps to restrict
its field of application, prohibit its use or withdraw it from the market.
The Member States shall forthwith inform the Commission of the measures
taken and give the reasons for its decision, stating in particular whether
failure to conform is due to:
(a) failure to meet the essential requirements;
(b) incorrect application of European specifications where
application of such specifications is relied upon;
(c) inadequacy of European specifications.
2. The Commission shall consult the parties concerned as quickly as
possible. Where, following that consultation, the Commission establishes
that the measure is justified it shall forthwith inform the Member State
that has taken the initiative as well as the other Member States thereof.
Where, after that consultation, the Commission establishes that the
measure is unjustified it shall forthwith inform the Member State that has
taken the initiative and the manufacturer or his authorised representative
established within the Community thereof. Where the decision referred to
in paragraph 1 is justified by the existence of a gap in European
specifications, the procedure defined in Article 11 shall apply.
3. Where an interoperability constituent bearing the "EC"
declaration of conformity fails to comply, the competent Member State
shall take appropriate measures against whomsoever has drawn up the
declaration and shall inform the Commission and the other Member States
thereof.
4. The Commission shall ensure that the Member States are kept
informed of the course and results of that procedure.
Article 13
1. In order to establish the "EC" declaration of conformity
or suitability for use of an interoperability constituent, the
manufacturer or his authorised representative established in the Community
shall apply the provisions laid down by the relevant TSIs.
2. Assessment of the conformity or suitability for use of an
interoperability constituent shall be carried out by the notified body
with which the manufacturer or his authorised representative established
in the Community has lodged the application.
3. Where interoperability constituents are the subject of other
Community directives covering other aspects, the "EC"
declaration of conformity or suitability for use shall, in such instances,
state that the interoperability constituents also meet the requirements of
those other directives.
4. Where neither the manufacturer nor his authorised representative
established in the Community has met the obligations arising out of
paragraphs 1, 2 and 3, those obligations shall be incumbent on any person
who places interoperability constituents on the market. The same
obligations shall apply to whomsoever assembles interoperability
constituents or parts of interoperability constituents having diverse
origins or manufactures interoperability constituents for his own use, for
the purposes of this Directive.
5. Without prejudice to the provisions of Article 12:
(a) in each instance where the Member State finds that the "EC"
declaration of conformity has been drawn up improperly, the manufacturer
or his authorised representative established in the Community shall be
required to restore the interoperability constituent to a state of
conformity and to terminate the infringement under the conditions laid
down by that Member State;
(b) where non-conformity persists, the Member State shall take all
appropriate steps to restrict or prohibit the placing on the market of the
interoperability constituent at issue, or to ensure that it is withdrawn
from the market in accordance with the procedures provided for in Article
12.
CHAPTER IV
Subsystems
Article 14
1. Each Member State shall authorise the putting into service of
those structural subsystems constituting the trans-European conventional
rail system which are located or operated in its territory. To this end,
Member States shall take all appropriate steps to ensure that these
subsystems may be put into service only if they are designed, constructed
and installed in such a way as to meet the essential requirements
concerning them when integrated into the trans-European conventional rail
system. In particular, they shall check the compatibility of these
subsystems with the system into which they are being integrated.
2. Each Member State shall check when they are put into service and
at regular intervals thereafter, that these subsystems are operated and
maintained in accordance with the essential requirements concerning them.
3. In the event of renewal or upgrading, the manager of the rail
infrastructure or enterprise shall send the Member State concerned a file
describing the project. The Member State shall examine this file and,
taking account of the implementation strategy indicated in the applicable
TSI, shall decide whether the size of the works means that a new
authorisation for putting into service within the meaning of this
Directive is needed. This authorisation for putting into service is
required each time the safety level may be affected by the works
envisaged.
Article 15
Without prejudice to the provisions of Article 19, Member States may
not, in their territory and on grounds concerning this Directive,
prohibit, restrict or hinder the construction, putting into service and
operating of structural subsystems constituting the trans-European
conventional rail system which meet the essential requirements. In
particular, they may not require checks which have already been carried
out as part of the procedure leading to the "EC" declaration of
verification, the components of which are set out in Annex V.
Article 16
1. Member States shall consider as being interoperable and meeting
the essential requirements concerning them, those structural subsystems
constituting the trans-European conventional rail system which are covered
by the "EC" declaration of verification.
2. Verification of the interoperability, in accordance with the
essential requirements, of a structural subsystem constituting the
trans-European conventional rail system shall be established by reference
to TSIs where they exist.
3. As regards the period prior to the publication of TSIs, Member
States shall send the other Member States and the Commission, for each
subsystem, a list of the technical rules in use for implementing the
essential requirements. This shall be notified not later than 20 March
2002.
Article 17
Where it appears that the TSIs do not fully meet the essential
requirements the Committee referred to in Article 21 may be consulted at
the request of a Member State or on the initiative of the Commission.
Article 18
1. In order to establish the "EC" declaration of
verification, the procurement entity or its official representative shall
invite the notified body that it has selected for that purpose to apply
the "EC" verification procedure referred to in Annex VI.
2. The task of the notified body responsible for the "EC"
verification of a subsystem shall begin at the design stage and cover the
entire manufacturing period through to the acceptance stage before the
subsystem is put into service. It shall also cover verification of the
interfaces of the subsystem in question with the system into which it is
incorporated, based on the information available in the relevant TSI and
in the registers provided for in Article 24.
3. The notified body shall be responsible for compiling the technical
file that has to accompany the "EC" declaration of verification.
This technical file must contain all the necessary documents relating to
the characteristics of the subsystem and, where appropriate, all the
documents certifying conformity of the interoperability constituents. It
should also contain all the elements relating to the conditions and limits
of use and to the instructions concerning servicing, constant or routine
monitoring, adjustment and maintenance.
Article 19
1. Where a Member State finds that a structural subsystem covered by
the "EC" declaration of verification accompanied by the
technical file does not fully comply with this Directive and in particular
does not meet the essential requirements, it may request that additional
checks be carried out.
2. The Member State making the request shall forthwith inform the
Commission of any additional checks requested and set out the
substantiating reasons therefor. The Commission shall without delay
initiate the procedure provided for in Article 21(2).
CHAPTER V
Notified bodies
Article 20
1. Member States shall notify to the Commission and the other Member
States the bodies responsible for carrying out the procedure for the
assessment of conformity or suitability for use referred to in Article 13
and the verification procedure referred to in Article 18, indicating each
body's area of responsibility, and the identification numbers obtained in
advance from the Commission. The Commission shall publish in the Official
Journal of the European Communities the list of bodies, their
identification numbers and areas of responsibility, and shall keep the
list updated.
2. Member States shall apply the criteria provided for in Annex VII
for the assessment of the bodies to be notified. Bodies meeting the
assessment criteria provided for in the relevant European standards shall
be deemed to meet the said criteria.
3. A Member State shall withdraw approval from a body which no longer
meets the criteria referred to in Annex VII. It shall forthwith inform the
Commission and the other Member States thereof.
4. Should a Member State or the Commission consider that a body
notified by another Member State does not meet the relevant criteria, the
matter shall be referred to the Committee provided for in Article 21,
which shall deliver its opinion within three months. In the light of the
opinion of the Committee, the Commission shall inform the Member State in
question of any changes that are necessary for the notified body to retain
the status conferred upon it.
5. Where appropriate, coordination of the notified bodies shall be
implemented in accordance with Articles 21 and 22.
CHAPTER VI
Committee and work programme
Article 21
1. The Commission shall be assisted by the Committee established by
Article 21 of Directive 96/48/EC (hereinafter referred to as "the
Committee").
2. Where reference is made to this paragraph, Articles 5 and 7 of
Decision 1999/468/EC shall apply, having regard to the provisions of
Article 8 thereof.
The period laid down in Article 5(6) of Decision 1999/468/EC shall be
set at three months.
3. The Committee shall adopt its rules of procedure.
Article 22
Once this Directive enters into force, the Committee may discuss any
matter relating to the interoperability of the trans-European conventional
rail system, including questions relating to interoperability between the
trans-European rail system and the rail system of third countries.
Article 23
1. The order of priority for the adoption of the TSIs shall be as
follows, without prejudice to the order of adoption of the mandates
provided for in Article 6(1):
(a) the first group of TSIs will cover control/command and
signalling; telematic applications for freight services; traffic operation
and management (including staff qualifications for cross-border services
respecting the criteria defined in Annexes II and III); freight wagons;
noise problems deriving from rolling stock and infrastructure.
As regards rolling stock, that intended for international use will be
developed first;
(b) the following aspects shall also be discussed in the light of the
resources of the Commission and the joint representative body: telematic
applications for passenger services, maintenance, with particular regard
to safety, passenger carriages, traction units and locomotives,
infrastructure, energy and air pollution. As regards rolling stock, that
intended for international use will be developed first;
(c) at the request of the Commission, a Member State or the joint
representative body, the Committee may decide, according to the procedure
laid down in Article 21(2), to draw up a TSI for an additional subject
without prejudicing the order of priorities set out above in so far as it
concerns a subsystem mentioned in Annex II. 2. The Committee, following
the procedure laid down in Article 21(2), shall draw up a work programme
observing the order of priority referred to in paragraph 1 and that of the
other tasks entrusted to it by this Directive.
The TSIs mentioned in the first work programme referred to in
paragraph 1(a) shall be drawn up not later than 20 April 2004.
3. The work programme shall consist of the following stages:
(a) designation of the joint representative body;
(b) development on the basis of a draft established by the joint
representative body of a representative architecture of the conventional
rail system, based on the list of subsystems (Annex II), to guarantee
consistency between TSIs. This architecture must include in particular the
different constituents of this system and their interfaces and act as a
reference framework for defining the areas of use of each TSI;
(c) adoption of a model structure for developing TSIs;
(d) adoption of a method of cost-benefit analysis of the solutions
set out in the TSIs;
(e) adoption of the mandates needed to draw up the TSIs;
(f) adoption of the basic parameters for each TSI;
(g) approval of draft standardisation programmes;
(h) management of the transition period between the date of entry
into force of this Directive and publication of the TSIs, including the
adoption of the reference system mentioned in Article 25.
CHAPTER VII
Registers of infrastructure and rolling stock
Article 24
1. The Member States shall ensure that registers of infrastructure
and of rolling stock are published and updated annually. Those registers
shall indicate the main features of each subsystem or part subsystem
involved (e.g. the basic parameters) and their correlation with the
features laid down by the applicable TSIs. To that end, each TSI shall
indicate precisely which information must be included in the registers of
infrastructure and of rolling stock.
2. A copy of those registers shall be sent to the Member States
concerned and to the joint representative body and shall be made available
to the public.
CHAPTER VIII
Transitional provisions
Article 25
1. The joint representative body shall develop, on the basis of the
information notified by the Member States under Articles 10(5) and 16(3),
technical documents by the profession and texts of the relevant
international agreements, a draft reference system of technical rules
ensuring the current degree of interoperability of the trans-European
conventional rail system. The Committee shall examine this draft and
decide whether it may constitute a reference system pending the adoption
of TSIs.
2. Following adoption of the abovementioned reference system, Member
States shall inform the Committee of their intention to adopt any national
provision or of the development of any project in their territory which
diverges from the reference system.
CHAPTER IX
Final provisions
Article 26
Any decision taken pursuant to this Directive concerning the
assessment of conformity or suitability for use of interoperability
constituents, the checking of subsystems constituting the trans-European
conventional rail system and any decision taken pursuant to Articles 11,
12, 17 and 19 shall set out in detail the reasons on which it is based. It
shall be notified as soon as possible to the party concerned, together
with an indication of the remedies available under the laws in force in
the Member State concerned and of the time limits allowed for the exercise
of such remedies.
Article 27
1. Member States shall bring into force the laws, regulations and
administrative provisions needed to comply with this Directive no later
than 20 April 2003, with the exception of the provisions specific to each
TSI which shall be implemented in accordance with the arrangements
specific to each TSI. They shall forthwith inform the Commission thereof.
When Member States adopt these measures, they shall contain a
reference to this Directive or be accompanied by such reference on the
occasion of their official publication. The methods of making such
reference shall be laid down by the Member States.
Article 28
Every two years, and for the first time 20 April 2005 the Commission
shall report to the European Parliament and the Council on the progress
made towards achieving interoperability of the trans-European conventional
rail system. That report shall also include an analysis of the cases set
out in Article 7.
The joint representative body shall develop and regularly update a
tool capable of providing, at the request of a Member State or the
Commission, a chart of the interoperability level of the trans-European
conventional rail system. That tool shall use the information available in
the registers provided for in Article 24.
Article 29
This Directive shall enter into force on the day of its publication
in the Official Journal of the European Communities.
Article 30
This Directive is addressed to the Member States.
Done at Brussels, 19 March 2001.
For the European Parliament
The President
N. Fontaine
For the Council
The President
A. Lindh
(1) OJ C 89 E, 28.3.2000, p. 1.
(2) OJ C 204, 18.7.2000, p. 13.
(3) OJ C 317, 6.11.2000, p. 22.
(4) Opinion of the European Parliament of 17 May 2000 (OJ C 59,
23.2.2001, p. 106), Council Common Position of 10 November 2000 (OJ C 23,
24.1.2001, p. 15) and Decision of the European Parliament of 13 February
2001.
(5) OJ L 235, 17.9.1996, p. 6.
(6) OJ L 237, 24.8.1991, p. 25.
(7) Council Directive 93/38/EEC of 14 June 1993 coordinating the
procurement procedures of entities operating in the water, energy,
transport and telecommunications sectors (OJ L 199, 9.8.1993, p. 84).
Directive as last amended by Directive 98/4/EC (OJ L 101, 1.4.1998, p. 1).
(8) Council Decision 93/465/EEC of 22 July 1993 concerning the
modules for the various phases of the conformity assessment procedures and
the rules for the affixing and use of the CE conformity marking, which are
intended to be used in the technical harmonisation directives (OJ L 220,
30.8.1993, p. 23).
(9) OJ L 184, 17.7.1999, p. 23.
(10) Commission Decision 98/500/EC of 20 May 1998 on the
establishment of Sectoral Dialogue Committees promoting the Dialogue
between the social partners at European level (OJ L 255, 12.8.1998, p.
27).
(11) Directive 98/34/EC of the European Parliament and of the Council
of 22 June 1998 laying down a procedure for the provision of information
in the field of technical standards and regulations and of rules on
Information Society services (OJ L 204, 21.7.1998, p. 37). Directive as
amended by Directive 98/48/EC (OJ L 217, 5.8.1998, p. 18).
ANNEX I
THE TRANS-EUROPEAN CONVENTIONAL RAIL SYSTEM
1. INFRASTRUCTURE
The infrastructure of the trans-European conventional rail system
shall be that on the lines of the trans-European transport network
identified in Decision No 1692/96/EC of the European Parliament and of the
Council of 23 July 1996 on Community guidelines for the development of the
trans-European transport network(1) or listed in any update to the same
Decision as a result of the revision provided for in Article 21 of that
Decision.
For the purposes of this Directive, this network may be subdivided
into the following categories:
- lines intended for passenger services;
- lines intended for mixed traffic (passengers and freight);
- lines specially designed or upgraded for freight services;
- passenger hubs;
- freight hubs, including intermodal terminals;
- lines connecting the abovementioned components.
This infrastructure includes traffic management, tracking, and
navigation systems: technical installations for data processing and
telecommunications intended for long-distance passenger services and
freight services on the network in order to guarantee the safe and
harmonious operation of the network and efficient traffic management.
2. ROLLING STOCK
The rolling stock shall comprise all the stock likely to travel on
all or part of the trans-European conventional rail network, including:
- self-propelling thermal or electric trains;
- thermal or electric traction units;
- passenger carriages;
- freight wagons, including rolling stock designed to carry lorries.
Each of the above categories must be subdivided into:
- rolling stock for international use;
- rolling stock for national use;
taking due account of the local, regional or long-distance use of the
stock.
3. COMPATIBILITY OF THE TRANS-EUROPEAN
CONVENTIONAL RAILWAY SYSTEM
The quality of rail services in Europe depends, inter alia, on
excellent compatibility between the characteristics of the infrastructure
(in the broadest sense, i.e. the fixed parts of all the subsystems
concerned) and those of the rolling stock (including the onboard
components of all the subsystems concerned). Performance levels, safety,
quality of service and cost depend upon that compatibility.
(1) OJ L 228, 9.9.1996, p. 1.
ANNEX II
SUBSYSTEMS
1. LIST OF SUBSYSTEMS
For the purposes of this Directive, the system constituting the
trans-European conventional rail system may be broken down into the
following two subsystems, either:
(a) structural areas:
- infrastructure;
- energy;
- control and command and signalling;
- traffic operation and management;
- rolling stock; or
(b) operational areas:
- maintenance;
- telematics applications for passenger and freight services.
2. DESCRIPTION OF THE SUBSYSTEMS
For each subsystem or part of a subsystem, the list of constituents
and aspects relating to interoperability is proposed by the joint
representative body at the time of drawing up the relevant draft TSI.
Without prejudging the choice of aspects and constituents relating to
interoperability or the order in which they will be made subject to TSIs,
the subsystems include, in particular:
2.1. Infrastructure:
The track, points, engineering structures (bridges, tunnels, etc.),
associated station infrastructure (platforms, zones of access, including
the needs of persons with reduced mobility, etc.), safety and protective
equipment.
2.2. Energy:
The electrification system, overhead lines and current collectors.
2.3. Control and command and signalling:
All the equipment necessary to ensure safety and to command and
control movements of trains authorised to travel on the network.
2.4. Traffic operation and management:
The procedures and related equipment enabling a coherent operation of
the different structural subsystems, both during normal and degraded
operation, including in particular train driving, traffic planning and
management.
The professional qualifications which may be required for carrying
out cross-border services.
2.5. Telematics applications:
In accordance with Annex I, this subsystem comprises two elements:
(a) applications for passenger services, including systems providing
passengers with information before and during the journey, reservation and
payment systems, luggage management and management of connections between
trains and with other modes of transport;
(b) applications for freight services, including information systems
(real-time monitoring of freight and trains), marshalling and allocation
systems, reservation, payment and invoicing systems, management of
connections with other modes of transport and production of electronic
accompanying documents.
2.6. Rolling stock:
Structure, command and control system for all train equipment,
traction and energy conversion units, braking, coupling and running gear
(bogies, axles, etc.) and suspension, doors, man/machine interfaces
(driver, on-board staff and passengers, including the needs of persons
with reduced mobility), passive or active safety devices and requisites
for the health of passengers and on-board staff.
2.7. Maintenance:
The procedures, associated equipment, logistics centres for
maintenance work and reserves allowing the mandatory corrective and
preventive maintenance to ensure the interoperability of the rail system
and guarantee the performance required.
ANNEX III
ESSENTIAL REQUIREMENTS
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.
1.1.3. The components used must withstand any normal or exceptional
stresses that have been specified during their period in 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 foreseeably in a manner not in accordance with
the posted instructions.
1.2. Reliability and availability
The monitoring and maintenance of fixed or movable 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 infrastructure.
1.3.2. Those materials must be selected, deployed and used in such a
way as to restrict the 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
trans-European conventional rail system must be assessed and taken into
account at the design stage of the system in accordance with the Community
provisions in force.
1.4.2. The materials used in the trains and infrastructure 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. Operation of the trans-European conventional rail system must
respect existing regulations on noise pollution.
1.4.5. Operation of the trans-European conventional 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 trans-European conventional 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.
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 of the
particular safety conditions in very long tunnels.
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 and command and signalling
2.3.1. Safety
The control and 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 and 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 and command and signalling
systems must be tailored to use of those systems.
The control and command and signalling equipment installed in the
train drivers' cabs must permit normal operation, under the specified
conditions, throughout the trans-European conventional rail system.
2.4. Rolling stock
2.4.1. Safety
The structure of the rolling stock and 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 and
command and signalling installations. The braking techniques and the
stresses exerted must be compatible with the design of the track,
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.
An emergency lighting system of sufficient intensity and duration is
compulsory on board trains.
Trains must be equipped with a public address system which provides a
means of communication to the public from on-board staff and ground
control.
2.4.2. Reliability and availability
The design of the vital equipment, of the running, traction and
braking equipment and of the control and command system must be such as to
enable the train to continue its mission, in a specific degraded
situation, 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 and 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
trans-European conventional 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.
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 conventional 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 operations 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 trans-European conventional rail system,
bearing in mind the different requirements of cross-border and domestic
services.
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.
ANNEX IV
CONFORMITY AND SUITABILITY FOR USE OF
INTEROPERABILITY CONSTITUENTS
1. INTEROPERABILITY CONSTITUENTS
The "EC" declaration applies to the interoperability
constituents involved in the interoperability of the trans-European
conventional rail system, as referred to in Article 3. These
interoperability constituents may be:
1.1. Multiple-use constituents
These are constituents that are not specific to the railway system
and which may be used as such in other areas.
1.2. Multiple-use constituents having specific characteristics These
are constituents which are not, as such, specific to the railway system,
but which must display specific performance levels when used for railway
purposes.
1.3. Specific constituents
These are constituents that are specific to railway applications.
2. SCOPE
The "EC" declaration covers:
- either the assessment by a notified body or bodies of the intrinsic
conformity of an interoperability constituent, considered in isolation, to
the technical specifications to be met;
- or the assessment/judgement by a notified body or bodies of the
suitability for use of an interoperability constituent, considered within
its railway environment and, in particular in cases where the interfaces
are involved, in relation to the technical specifications, particularly
those of a functional nature, which are to be checked. The assessment
procedures implemented by the notified bodies at the design and production
stages will draw upon the modules defined in Decision 93/465/EEC, in
accordance with the conditions referred to in the TSIs.
3. CONTENTS OF THE "EC" DECLARATION
The "EC" declaration of conformity or of suitability for
use and the accompanying documents must be dated and signed.
That declaration must be written in the same language as the
instructions and must contain the following:
- the Directive references;
- the name and address of the manufacturer or his authorised
representative established within the Community (give trade name and full
address, in the case of the authorised representative, also give the trade
name of the manufacturer or constructor);
- description of interoperability constituent (make, type, etc.);
- description of the procedure followed in order to declare
conformity or suitability for use (Article 13);
- all the relevant descriptions met by the interoperability
constituent and, in particular, its conditions of use;
- name and address of the notified body or bodies involved in the
procedure followed in respect of conformity or suitability for use and
date of examination certificate together with, where appropriate, the
duration and conditions of validity of the certificate;
- where appropriate, reference to the European specifications;
- identification of the signatory empowered to enter into commitments
on behalf of the manufacturer or of the manufacturer's authorised
representative established within the Community.
ANNEX V
DECLARATION OF VERIFICATION OF SUBSYSTEMS
The "EC" declaration of verification and the accompanying
documents must be dated and signed.
That declaration must be written in the same language as the
technical file and must contain the following:
- the Directive references;
- name and address of the contracting entity or its authorised
representative established within the Community (give trade name and full
address; in the case of the authorised representative, also give the trade
name of the contracting entity);
- a brief description of the subsystem;
- name and address of the notified body which conducted the "EC"
verification referred to in Article 18;
- the references of the documents contained in the technical file;
- all the relevant temporary or definitive provisions to be complied
with by the subsystems and in particular, where appropriate, any operating
restrictions or conditions;
- if temporary: duration of validity of the "EC"
declaration;
- identity of the signatory.
ANNEX VI
VERIFICATION PROCEDURE FOR SUBSYSTEMS
1. INTRODUCTION
"EC" verification is the procedure whereby a notified body
checks and certifies, at the request of a contracting entity or of its
authorised representative established within the Community, that a
subsystem:
- complies with the Directive;
- complies with the other regulations deriving from the Treaty, and
may be put into operation.
2. STAGES
The subsystem is checked at each of the following stages:
- overall design;
- construction of subsystem, including, in particular,
civil-engineering activities, constituent assembly, overall adjustment;
- final testing of the subsystem.
3. CERTIFICATE
The notified body responsible for "EC" verification draws
up the certificate of conformity intended for the contracting entity or
its authorised representative established within the Community, which in
turn draws up the "EC" declaration of verification intended for
the supervisory authority in the Member State in which the subsystem is
located and/or operates.
4. TECHNICAL FILE
The technical file accompanying the declaration of verification must
be made up as follows:
- for infrastructure: engineering-structure plans, approval records
for excavations and reinforcement, testing and inspection reports on
concrete;
- for the other subsystems: general and detailed drawings in line
with execution, electrical and hydraulic diagrams, control-circuit
diagrams, description of data-processing and automatic systems, operating
and maintenance manuals, etc.;
- list of interoperability constituents, as referred to in Article 3,
incorporated into the subsystem;
- copies of the "EC" declarations of conformity or
suitability for use with which the abovementioned constituents must be
provided in accordance with Article 13 of the Directive accompanied, where
appropriate, by the corresponding calculation notes and a copy of the
records of the tests and examinations carried out by the notified bodies
on the basis of the common technical specifications;
- certificate from the notified body responsible for "EC"
verification, accompanied by corresponding calculation notes and
countersigned by itself, stating that the project complies with this
Directive and mentioning any reservations recorded during performance of
the activities and not withdrawn; the certificate should also be
accompanied by the inspection and audit reports drawn up by the same body
in connection with its task, as specified in sections 5.3 and 5.4.
5. MONITORING
5.1. The aim of "EC" monitoring is to ensure that the
obligations deriving from the technical file have been met during
production of the subsystem.
5.2. The notified 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
contracting entity or its authorised representative within the Community
must send it or have sent to it all the documents needed for that purpose
and, in particular, the implementation plans and technical documentation
concerning the subsystem.
5.3. The notified body responsible for checking implementation must
periodically carry out audits in order to confirm compliance with the
Directive. It must provide those responsible for implementation with an
audit report. It may require to be present at certain stages of the
building operations.
5.4. In addition, the notified body may pay unexpected visits to the
worksite or to the production workshops. At the time of such visits the
notified body may conduct complete or partial audits. It must provide
those responsible for implementation with an inspection report and, if
appropriate, an audit report.
6. SUBMISSION
The complete file referred to in paragraph 4 must be lodged with the
contracting entity or its authorised agent established within the
Community in support of the certificate of conformity issued by the
notified body responsible for verification of the subsystem in working
order. The file must be attached to the "EC" declaration of
verification which the contracting entity sends to the supervisory
authority in the Member State concerned.
A copy of the file must be kept by the contracting entity throughout
the service life of the subsystem. It must be sent to any other Member
States which so request.
7. PUBLICATION
Each notified body must periodically publish relevant information
concerning:
- requests for "EC" verification received;
- certificates of conformity issued;
- certificates of conformity refused.
8. LANGUAGE
The files and correspondence relating to the "EC"
verification procedures must be written in an official language of the
Member State in which the contracting entity or its authorised
representative within the Community is established or in a language
accepted by the entity.
ANNEX VII
MINIMUM CRITERIA WHICH MUST BE TAKEN INTO
ACCOUNT BY THE MEMBER STATES WHEN NOTIFYING
BODIES
1. The body, its Director and the staff responsible for carrying out
the checks may not become involved, either directly or as authorised
representatives, in the design, manufacture, construction, marketing or
maintenance of the interoperability constituents or subsystems or in their
use. This does not exclude the possibility of an exchange of technical
information between the manufacturer or constructor and that body.
2. The body and the staff responsible for the checks must carry out
the checks with the greatest possible professional integrity and the
greatest possible technical competence and must be free of any pressure
and incentive, in particular of a financial type, which could affect their
judgement or the results of their inspection, in particular from persons
or groups of persons affected by the results of the checks.
3. The body must employ staff and possess the means required to
perform adequately the technical and administrative tasks linked with the
checks; it should also have access to the equipment needed for exceptional
checks.
4. The staff responsible for the checks must possess:
- proper technical and vocational training;
- a satisfactory knowledge of the requirements relating to the checks
that they carry out and sufficient practice in those checks;
- the ability to draw up the certificates, records and reports which
constitute the formal record of the inspections conducted.
5. The independence of the staff responsible for the checks must be
guaranteed. No official must be remunerated either on the basis of the
number of checks performed or of the results of those checks.
6. The body must take out civil liability insurance unless that
liability is covered by the State under national law or unless the checks
are carried out directly by that Member State.
7. The staff of the body are bound by professional secrecy with
regard to everything they learn in the performance of their duties (with
the exception of the competent administrative authorities in the State
where they perform those activities) in pursuance of this Directive or any
provision of national law implementing the Directive.
ANNEX VIII
GENERAL RULES TO BE OBSERVED BY THE JOINT
REPRESENTATIVE BODY (JRB)
1. In line with the general Community standardisation procedures, the
JRB must work openly and transparently, based on consensus and independent
of any particular interests. To this end, all members of the three
categories represented on the JRB - infrastructure managers, railway
companies and industry - must have the opportunity to express their
opinion during the process of drafting TSIs, in accordance with the JRB's
rules of procedure and before finalisation of the draft TSIs by the JRB.
2. If the JRB lacks the expertise required in order to draft a
particular TSI, it must inform the Commission immediately.
3. The JRB must set up the working parties necessary for the purposes
of drafting TSIs; these working parties must have a flexible, efficient
structure. To this end, the number of experts must be limited. Balanced
representation must be ensured between infrastructure managers and railway
companies on the one hand and industry on the other; an appropriate
balance must be struck between different nationalities. Experts from
non-Community countries may sit in on working parties as observers.
4. Any difficulties which emerge in relation with this Directive and
which cannot be resolved by the JRB's working parties must be reported to
the Commission without delay.
5. All the working papers necessary in order to monitor the JRB's
work must be placed at the disposal of the Commission and the Committee
referred to in Article 21.
6. The JRB must take all measures necessary to safeguard the
confidentiality of any critical information which comes to its knowledge
in the course of its activities.
7. The JRB must take all measures necessary to inform all its members
and all experts participating in the working parties of the results of the
work of the Committee referred to in Article 21 and of the recommendations
made by the Committee and by the Commission.