1996L0048 — EN — 08.10.1996 — 000.001 — 1
This document is meant purely as a documentation tool and the institutions do not assume any liability for its contents
►B COUNCILDIRECTIVE96/48/EC
of23July1996
ontheinteroperability ofthetrans-Europeanhigh-speedrail system
(OJ L 235, 17.9.1996, p. 6)
Corrected by:
►C1Corrigendum, OJ L 262, 16.10.1996, p. 18 (96/48/EC)
▼B
COUNCILDIRECTIVE96/48/EC
of23July1996
on the interoperability of the trans-European high-speed rail
system
THE COUNCIL OF THE EUROPEAN UNION,
Having regard to the Treaty establishing the European Community, and
in particular the third paragraph of Article 129d thereof,
Having regard to the proposal from the Commission (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 laid down in Article 189c (4),
Whereas in order to enable citizens of the Union, economic operators
and regional and local authorities to benefit to the full from the advan-
tages deriving from establishing an area without internal frontiers, it isadvisable, in particular, to improve the interlinking and interoperabilityof national high-speed train networks, as well as access thereto;
Whereas a high-level working party consisting of representatives of the
governments of the Member States, of the European railways and ofthe European railway industry convened by the Commission in orderto meet the request expressed by the Council in its resolution of 4 and5 December 1989 drew up the master plan for a European high-speedtrain network;
Whereas in December 1990 the Commission sent to the Council a
communication on the high-speed train network, and whereas theCouncil gave a favourable reception to that communication in its reso-lution of 17 December 1990(
5);
Whereas Article 129c of the Treaty provides that the Community shall
implement any measures that may prove necessary to ensure networkinteroperability, in particular in the field of technical standardization;
Whereas the commercial operation of high-speed trains requires excel-
lent compatibility between the characteristics of the infrastructure and
those of the rolling stock; whereas performance levels, safety, quality
of service and cost depend upon such compatibility as does, in parti-cular, the interoperability of the European high-speed rail system;
Whereas 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 the rail networks of the Member States,which in turn requires infrastructure, equipment and rolling stock inter-operability;
Whereas the 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, placing inservice and operation of those railways; whereas, together with thelocal authorities, they also have responsibilities in respect of rights inland, regional planning and environmental protection; whereas that isalso especially pertinent with regard to high-speed train networks;1996L0048 — EN — 08.10.1996 — 000.001 — 2
(1) OJ No C 134, 17. 5. 1994, p. 6.
(2) OJ No C 397, 31. 12. 1994, p. 8.
(3) OJ No C 210, 14. 8. 1995, p. 38.
(4) Opinion of the European Parliament of 19 January 1995 (OJ No C 43, 20. 2.
1995, p. 60), Council common position of 8 December 1995 (OJ No 356,
30. 12. 1995, p. 43) and Decision of the European Parliament of 16 April
1996 (OJ No C 141, 13. 5. 1996, p. 48).
(5) OJ No C 33, 8. 2. 1991, p. 1.
(6) OJ No L 237, 24. 8. 1991, p. 25.
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Whereas Council Directive 85/337/EEC of 27 June 1985 on the assess-
ment of the effects of certain public and private projects on theenvironment (
1) requires an assessment of the impact on the environ-
ment of the construction of lines for long-distance rail traffic;
Whereas national regulations and the railways' internal rules and the
technical specifications which the railways apply contain major differ-ences; whereas those national regulations and internal rules incorporatetechniques that are specific to the national industries; whereas they
prescribe specific dimensions and devices and special characteristics;
whereas this situation runs counter to high-speed trains being able torun normally throughout Community territory;
Whereas, 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 contracts; whereas, in order
to enhance their competitiveness at world level those industries requirean open, competitive European market;
Whereas it is therefore appropriate to define essential requirements for
the whole of the Community which will apply to the trans-European
high-speed train system;
Whereas, in view of the extent and complexity of the trans-European
high-speed rail system, it has proved necessary for practical reasons tobreak it down into subsystems; whereas for each of those subsystemsthe essential requirements must be specified, the basic parameters laiddown and the technical specifications determined for the whole of the
Community, particularly in respect of constituents and interfaces, in
order to meet those essential requirements; whereas, however, certainsubsystems (environment, users and operation) will be subject to tech-nical specifications for interoperability (TSIs) only in so far as isnecessary to ensure interoperability in the fields of infrastructure,
energy, control-and-command and signalling and rolling-stock;
Whereas the introduction of provisions on the interoperability of the
trans-European high-speed rail system must not create unjustified cost-benefit barriers to the preservation of the existing rail network of eachMember State, but must endeavour to maintain the objective of the
circulation of high-speed trains throughout the Community;
Whereas individual Member States should be allowed not to apply
certain technical specifications for interoperability in specific cases,provided that there are procedures to ensure that such possibilities forderogation are justified; whereas Article 129c of the Treaty requires theCommunity's activities in the area of interoperability to take into
account the potential economic viability of projects;
Whereas in order to comply with the appropriate provisions on govern-
ment procurement procedures in the rail sector and in particularDirective 93/38/EEC (
2), contracting entities must include technical
specifications in the general documents or the contract documents
relating to each contract; whereas it is necessary to build upa body of
European specifications to serve as references for those technical speci-fications;
Whereas, within the meaning of Directive 93/38/EEC, a European
specification is a common technical specification, a European technical
approval or a national standard implementing a European standard;
whereas harmonized European standards are to be drawn up by aEuropean standardization body such as the European Committee forStandardization (CEN), the European Committee for ElectrotechnicalStandardization (CENELEC) or the European TelecommunicationsStandards Institute (ETSI), to the order of the Commission, and their1996L0048 — EN — 08.10.1996 — 000.001 — 3
(1) OJ No L 175, 5. 7. 1985, p. 40.
(2) Council Directive 93/38/EEC of 14 June 1993 coordinating the procurement
procedures of entities operating in the water, energy, transport and telecom-
munications sectors (OJ No L 199, 9. 8. 1993, p. 84), as amended by the
1994 Act of Accession.
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references published in the Official Journal of the European Commu-
nities;
Whereas it would be in the Community's interests for there to be an
international system of standardization capable of generating standardswhich are actually used by those involved in international trade andwhich meet the requirements of Community policy; whereas theEuropean standardization bodies must therefore continue their coopera-
tion with the international standardization bodies;
Whereas contracting entities define such further requirements as are
necessary to complete European specifications or other standards;whereas those specifications must not prevent the essential require-
ments that have been harmonized at Community level and which the
trans-European high-speed train system must satisfy, from being met;
Whereas the procedures governing the assessment of conformity or of
suitability of use of constituents must be based on the use of the
modules covered by Decision 93/465/EEC (
1); whereas, as far as
possible and in order to promote the development of the industriesconcerned, it is appropriate to expand the procedures involving asystem of quality assurance; whereas the notion of constituent coversboth tangible objects and intangible objects such as software;
Whereas the suitability for use of the most critical constituents as
regards safety, availability or system economy should be assessed;
Whereas in their contract documents, contracting entities, lay down, in
particular for constituents, by reference to the European specifications,
the characteristics which must be met, in contractual terms, by themanufacturers; whereas, this being the case, constituent conformity ismainly linked to their area of use in order to ensure and guarantee theinteroperability of the system, and not only to their free movement onthe Community market;
Whereas it is therefore not necessary for a manufacturer to affix the CE
mark to constituents that are subject to the provisions of this Directiveas, on the basis of the assessment of conformity and/or suitability foruse conducted in accordance with the procedures provided for that
purpose in the Directive, the manufacturer's declaration of conformity
is sufficient; whereas that does not affect the obligation on manufac-turers to affix the CE mark to certain components in order to certifytheir compliance with other Community provisions relating to them;
Whereas the subsystems constituting the trans-European high-speed rail
system must be subjected to a verification procedure; whereas that veri-fication must enable the authorities responsible for authorizing theirplacing in service to be assured that at the stages of design, construc-tion and placing in service the result is in line with the regulations andtechnical operational provisions in force; whereas that must also enable
manufacturers to be able to count upon equality of treatment whatever
the country; whereas it is therefore necessary to lay down a moduledefining the principles and conditions applying to EC verification ofsubsystems;
Whereas the EC verification procedure is based on TSIs; whereas those
TSIs are drawn upto the order of the Commission by the joint bodyrepresenting the infrastructure managers, the railway companies andthe industry; whereas the reference to TSIs is required in order toensure interoperability of the trans-European high-speed rail systemand whereas those TSIs are subject to the provisions of Article 18 of
Directive 93/38/EEC;
Whereas the notified bodies responsible for examining the conformity
assessment procedures or that applying to the use of constituents,together with the procedure for the assessment of subsystems must,1996L0048 — EN — 08.10.1996 — 000.001 — 4
(1) 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 harmonization directives (OJ No L 220, 30. 8. 1993, p.
23).
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particularly in the absence of any European specification, coordinate
their decisions as closely as possible;
Whereas Council Directive 91/440/EEC requires a separation of activ-
ities, in accounting terms, between transport service operation andthose concerning railway infrastructure management; whereas, thisbeing the case, the specialized services provided by the railway infra-structure 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; whereas other specialized bodies may be notified where thesemeet the same criteria;
Whereas interoperability within the trans-European high-speed train
system is Community wide in scale; whereas the Member States are
unable, on an individual basis, to take the action needed in order toachieve that interoperability; whereas it is therefore necessary, pursuantto the principle of subsidiarity, for this action to be taken at Commu-nity level,
HAS ADOPTED THIS DIRECTIVE:
CHAPTER I
General provisions
Article 1
1. In accordance with Articles 129b and 129c of the Treaty, the aim
of this Directive is to establish the conditions to be met in order to
achieve interoperability within Community territory of the trans-
European high-speed rail system as described in Annex I.
2. These conditions concern projects for and the construction,
upgrading and operation of the infrastructures and rolling stock which
will contribute to the functioning of the system to be put into service
after the date of entry into force of this Directive.
Article 2
For the purposes of this Directive:
(a)trans-European high-speed rail system means the structure
described in Annex I, composed of the railway infrastructurescomprising lines and fixed installations, of the trans-Europeantransport network, constructed or upgraded to be travelled on athigh speeds, and rolling stock designed for travelling on those
infrastructures;
(b)interoperability means the ability of the trans-European high-speed
rail system to allow the safe and uninterrupted movement of high-
speed trains which accomplish the specified levels of performance.This ability rests on all the regulatory, technical and operationalconditions which must be met in order to satisfy essential require-ments;
(c)subsystems means that the trans-European high-speed rail system is
subdivided, as described in Annex II, into structural or functionalsubsystems for which essential requirements must be laid down;
(d)interoperability constituents means any elementary component,
group of components, subassembly or complete assembly of equip-
ment incorporated or intended to be incorporated into a subsystem,
upon which the interoperability of the trans-European high-speedrail system depends either directly or indirectly;
(e)essential requirements means all the conditions set out in Annex III
which must be met by the trans-European high-speed rail system,subsystems and their interoperability constituents;
(f)European specification means a common technical specification, a
European technical approval or a national standard implementing aEuropean standard, as defined in points 8 to 12 of Article 1 ofDirective 93/38/EEC;1996L0048 — EN — 08.10.1996 — 000.001 — 5
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(g)technical specifications for interoperability (hereinafter TSIs)
means the specifications by which each subsystem is covered inorder to meet the essential requirements by establishing the neces-
sary reciprocal functional relations between the subsystems of the
trans-European high-speed rail system and by ensuring the latter'scompatibility;
(h)joint representative body means the body bringing together repre-
sentatives of the infrastructure managers, railway companies and
industry which is responsible for drawing up TSIs. ‘Infrastructuremanagers’ means those referred to in Articles 3 and 7 of Directive91/440/EEC;
(i)notified bodies means the bodies which are responsible for asses-
sing the conformity or suitability for use of the interoperabilityconstituents or for appraising the EC procedure for verification ofthe subsystems.
Article 3
1. This Directive applies to the provisions concerning, for each
subsystem, the parameters, interoperability constituents, interfaces andprocedures as well as the conditions for the overall compatibility ofthe trans-European high-speed rail system required to achieve its inter-
operability.
2. The provisions of this Directive shall apply without prejudice to
other Community provisions. However, in the case of interoperabilityconstituents, compliance with the essential requirements of this Direc-tive may require the use of the individual European specificationsdrawn up for that purpose.
Article 4
1. The trans-European high-speed rail system, subsystems and their
interoperability constituents must meet the relevant essential require-ments.
2. The further technical specification referred to in Article 18 (4) of
Directive 93/38/EEC, which are necessary to supplement European
specifications or other standards in use within the Community, mustnot conflict with the essential requirements.
CHAPTER II
Technical specificationsforinteroperability
Article 5
1. Each of the subsystems shall be covered by a TSI. In the case of
subsystems concerning the environment, operation or users, TSIs willbe drawn uponly to the extent necessary to ensure interop erability ofthe trans-European high-speed rail system in the fields of infrastructure,
energy, control and command, signalling and rolling stock.
2. The subsystems must conform to the TSIs; this conformity must
be permanently maintained while each subsystem is in use.
3. To the extent necessary in order to achieve interoperability of the
trans-European high-speed rail system, the TSIs shall:
(a) specify the essential requirements for the subsystems and their
interfaces;
(b) establish the basic parameters described in Annex II (3) necessary
to meet the essential requirements;
(c) establish the conditions to be complied with to achieve the speci-
fied performances for each of the following categories of line:
— lines specially built for high speed;
— lines specially upgraded for high speed;1996L0048 — EN — 08.10.1996 — 000.001 — 6
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— lines specially upgraded for high speed which have special
features as a result of topographical, relief or town-planningconstraints;
(d) establish possible implementing provisions in certain specific cases;
(e) determine the interoperability constituents and interfaces which
must be covered by European specifications, including Europeanstandards, which are needed in order to achieve interoperability
within the trans-European high-speed rail system while meeting
the essential requirements;
(f) state, in each case under consideration, which of the modules
defined in Decision 93/465/EEC or, where appropriate, which
specific procedures are to be used in order to assess either theconformity or the suitability for use of the interoperability constitu-ents, as well as EC verification of the subsystems.
4. The TSIs shall not be an impediment to decisions by the Member
States concerning the use of new or upgraded infrastructures for
running other trains.
5. Compliance with all the TSIs shall enable a compatible trans-
European high-speed rail system to be set up that will preserve, as
appropriate, the compatibility of each Member State's existing rail
network.
Article 6
1. Draft TSIs shall be drawn upto the order of the Commission, to
be established in accordance with the procedure laid down in Article
21 (2) by the joint representative body. TSIs shall be adopted and
reviewed by the same procedure. They shall be published by theCommission in the Official Journal of the European Communities .
2. The joint representative body shall be responsible for preparing
the review and updating of TSIs and making recommendations to the
Committee referred to in Article 21 in order to take account of devel-opments in technology or social requirements.
3. The preparation, adoption and review of TSIs shall take account
of the estimated cost of technical solutions by which they may be met,
with a view to defining and implementing the most viable solutions. To
that end, the joint representative body shall attach to each draft TSI anassessment of the estimated costs and benefits of those technical solu-tions for all the economic operators and agents concerned.
4. The Committee shall be kept regularly informed of the prepara-
tory work on the TSIs by the joint representative body. The
Committee may give the joint body any useful recommendation orbrief regarding the design of the TSIs, on the basis of the essentialrequirements or regarding cost assessment.
5. When each TSI is adopted, the date of its entry into force shall be
laid down in accordance with the procedure referred to in Article 21(2).
6. The joint representative body must work in an open and trans-
parent manner in accordance with general Community standardization
procedures.
Article 7
A Member State need not apply certain TSIs, including those relating
to rolling stock, in the following cases and circumstances:
(a) in the case of a project for a new line or upgrading an existing line
for high speed which is at an advanced stage of development whenthe TSIs in question are published.
The Member State concerned shall notify its intended derogation to
the Commission in advance, shall inform the Commission of thestage the project has reached and shall forward to it a file settingout the TSIs or parts thereof which it wishes not to apply, theprovisions it intends to apply in carrying out the project in order1996L0048 — EN — 08.10.1996 — 000.001 — 7
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to promote its eventual interoperability, and the technical, adminis-
trative or economic reasons which justify the derogation;
(b) in the case of a project for upgrading an existing line for high
speed, where the loading gauge, track gauge or space between thetracks of the line are different from those on the majority of the
European rail network, and where the line does not form a direct
connection with the high-speed network of another Member Statewhich is a part of the trans-European high-speed network.
The Member State concerned shall notify its intended derogation to
the Commission in advance and shall forward to it a file setting outthe TSIs or parts thereof concerning the physical parameter(s)referred to in the first subparagraph which it wishes not to apply,
the provisions it intends to apply in carrying out the project in
order to promote its eventual interoperability, the transitionalmeasures it intends to take to guarantee compatibility of operation,and the technical, administrative or economic reasons which justifythe derogation;
(c) in the case of projects for new lines or upgrading existing lines for
high speed carried out in the territory of the Member Stateconcerned where its rail network is not linked to or is isolated by
sea from the high-speed rail network of the rest of the Community.
The Member State concerned shall notify its intended derogation to
the Commission in advance and shall forward to it a file containing
the documents specified in the second subparagraph of paragraph(b);
(d) in the case of a project for upgrading an existing line for high
speed, where application of these TSIs compromises the economicviability of the project.
The Member State concerned shall notify its intended derogation to
the Commission in advance and shall forward to it a file setting outthe technical specifications or parts of specifications for interoper-ability which it wishes not to apply. The Commission shall
examine whether the measures envisaged by the Member State are
justified and shall take a decision in accordance with the procedurein Article 21 (2).
CHAPTER III
Interoperability constituents
Article 8
Member States shall take all necessary steps to ensure that interoper-
ability constituents:
— are placed on the market only if they enable interoperability to be
achieved within the trans-European high-speed rail system while atthe same time meeting the essential requirements;
— are used in their area of use as intended and are suitably installed
and maintained.
These provisions do not exclude the placing on the market of these
constituents for other purposes, nor their use for conventional railwaylines.
Article 9
Member States may not, in their territory and on grounds of this Direc-
tive, prohibit, restrict or hinder the placing on the market ofinteroperability constituents for use on the trans-European high-speedrail system if they comply with the Directive.
Article 10
1. Member States shall consider as complying with the essential
requirements of this Directive applying to them those interoperabilityconstituents which bear the EC declaration of conformity or suitabilityfor use, the components of which are set out in Annex IV.1996L0048 — EN — 08.10.1996 — 000.001 — 8
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2. Compliance of an interoperability constituent with the essential
requirements applying to it shall be established in relation to any rele-vant European specifications that may exist.
3. The references to European specifications shall be published in
theOfficial Journal of the European Communities .
4. Member States shall publish the references to the national stan-
dards transposing the European standards.
5. In the absence of any European specifications and without preju-
dice to Article 20 (5), Member States shall inform the other Member
States and the Commission of the standards and technical specifications
in use in order to implement the essential requirements.
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 the specifications concerned from the publicationscontaining them, or their amendments, may be decided upon in accor-dance with the procedure laid down in Article 21 (2) after consultationof the Committee set upunder Council Directive 83/189/EEC of 28March 1983 laying down a procedure for the provision of information
in the field of technical standards and regulations (
1) where European
standards are concerned.
Article 12
1. Where a Member State confirms that an interoperability consti-
tuent covered by the EC declaration of conformity or suitability for
use, and placed on the market is likely, when used as intended, not to
meet the essential requirements, it shall take all necessary steps torestrict its area of application, prohibit its use or withdraw it from themarket. That Member State shall forthwith inform the Commission ofthe measures taken and shall give the reasons for its decision, stating in
particular whether the failure to conform is due to:
— failure to meet the essential requirements;
— incorrect application of the European specifications where applica-
tion of the specifications is invoked;
— inadequacy of the European specifications.
2. The Commission shall consult the parties concerned as quickly as
possible. Where, following that consultation, the Commission estab-lishes that the measure is justified, it shall forthwith so inform theMember State that has taken the initiative and the other Member States.
Where, following that consultation, the Commission establishes that the
measure is unjustified, it shall forthwith so inform the Member Statethat has taken the initiative and the manufacturer or his authorizedrepresentative established within the Community. Where the decisionreferred to in paragraph 1 is justified by the existence of a gap in the
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 takethe appropriate measures against whomsoever has drawn up thedeclaration and shall inform the Commission and the other MemberStates thereof.
4. The Commission shall ensure that the Member States are kept
informed of the progress and the results of that procedure.
Article 13
1. In order to draw upthe EC declaration of conformity or suit-
ability for use of an interoperability constituent, its manufacturer or1996L0048 — EN — 08.10.1996 — 000.001 — 9
(1) OJ No L 109, 26. 4. 1983, p. 8. Directive as last amended by the 1994 Act
of Accession.
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his authorized representative established within the Community must
apply the provisions laid down in the TSIs referring to it.
2. Where so required by the TSIs, the assessment of conformity or
suitability for use of an interoperability constituent shall be appraisedby the notified body with which the manufacturer or his authorized
representative established within the Community has lodged the appli-
cation.
3. Where the interoperability constituents are the subject of other
Community Directives covering other aspects, the EC declaration ofconformity or suitability for use shall, in such instances, state that theinteroperability constituents also meet the requirements of those otherDirectives.
4. Where neither the manufacturer nor his authorized representative
established within the Community has met the obligations of the para-graphs 1, 2 and 3, those obligations shall be incumbent on any person
who places that interoperability constituent on the market. The same
obligations shall apply to any person who assembles interoperabilityconstituents or parts of interoperability constituents having diverseorigins or who manufactures the interoperability constituents for hisown use, for the purposes of this Directive.
5. Without prejudice to the provisions of Article 12:
(a) in each instance where a Member State finds that the EC declara-
tion of conformity has been drawn up improperly, the manufactureror his authorized representative established within the Communityshall be required to ensure that the conformity of the interoper-
ability constituent is re-established and that the infringement
ceases 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 marketof the interoperability constituent in question, or to ensure that itis withdrawn from the market in accordance with the procedures
provided for in Article 12.
CHAPTER IV
Subsystems
Article 14
Each Member State shall authorize the placing in service of those
structural subsystems constituting the trans-European high-speed railsystem which are located in its territory or operated by railway under-takings established there.
For this purpose Member States shall take all necessary steps to ensure
that these subsystems may be placed in service only if they aredesigned, constructed and installed and/or operated in such a way asnot to hinder satisfaction of the essential requirements concerning
them when integrated into the trans-European high-speed rail system.
Article 15
Without prejudice to Article 19, Member States may not, in their terri-
tory and on grounds of this Directive, prohibit, restrict or hinder theconstruction, placing in service and operation of structural subsystemsconstituting the trans-European high-speed rail system which satisfy the
essential requirements.
Article 16
1. Member States shall consider as being interoperable and meeting
the essential requirements concerning them those structural subsystemsconstituting the trans-European high-speed rail system which are
covered by the EC declaration of verification.
2. Verification of the interoperability, in accordance with the essen-
tial requirements, of a structural subsystem constituting the trans-1996L0048 — EN — 08.10.1996 — 000.001 — 10
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European high-speed rail system shall be established by reference to
TSIs where these exist.
3. In the absence of TSIs, Member States shall send the other
Member States and the Commission a list of the technical rules in usefor implementing the essential requirements.
Article 17
If it emerges that the TSIs do not fully meet the essential requirements,
the Committee referred to in Article 21 may be consulted at the requestof a Member State or on the initiative of the Commission.
Article 18
1. In order to draw upthe EC declaration of verification, the
awarding authority or its official representative shall cause the EC
checking procedure to be appraised by the notified body chosen by it
for that purpose.
2. The activities of the notified body responsible for the EC verifica-
tion of a subsystem shall begin at the design stage and shall cover allof the manufacturing period up to the type-approval stage before asubsystem is placed in service.
3. The notified body shall be responsible for compiling the technical
file that has to accompany the EC declaration of verification. The tech-nical file must contain all the necessary documents relating to thecharacteristics of the subsystem and, where appropriate, all the docu-
ments certifying conformity of the constituents of interoperability. It
must also contain all of the elements relating to the conditions andlimits of use and to the instructions concerning servicing, constant orroutine 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 checksbe carried out.
2. The Member State making the request shall forthwith inform the
Commission of any additional checks requested and set out the reasonswhich justify them. The Commission shall without delay initiate theprocedure provided for in Article 21 (2).
CHAPTER V
Notifiedbodies
Article 20
1. Member States shall notify the Commission and the other
Member States of the bodies responsible for carrying out the procedurefor the assessment of conformity or suitability for use referred to in
Article 13 and the checking procedure referred to in Article 18, indi-
cating each body's area of responsibility.
The Commission shall assign identification numbers to them. It shall
publish in the Official Journal of the European Communities the list
of bodies, their identification numbers and the tasks entrusted to them,and shall ensure that the list is kept updated.
2. Member States shall apply the criteria provided for in Annex VII
for the assessment of the bodies to be notified. Bodies meeting theassessment criteria provided for in the relevant European standardsshall 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 forthwithinform the Commission and the other Member States thereof.1996L0048 — EN — 08.10.1996 — 000.001 — 11
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4. Should a Member State or the Commission consider that a body
notified by another Member State no longer meets 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 Committee's opinion, the Commission shall inform the MemberState concerned of all the changes needed if the notified body is tomaintain the status awarded to it.
5. Where appropriate, coordination of the notified bodies shall be
implemented in accordance with Article 21 (4).
CHAPTER VI
Committee
Article 21
1. The Commission shall be assisted by a Committee, composed of
the representatives of the Member States and chaired by the representa-tive of the Commission.
2. The representative of the Commission shall submit to the
Committee a draft of the measures to be taken. The Committee shall
deliver its opinion on the draft within a time limit which the chairman
may lay down according to the urgency of the matter. The opinionshall be delivered by the majority laid down in Article 148 (2) of theTreaty in the case of decisions which the Council is required to adopton a proposal from the Commission. The votes of the representatives ofthe Member States within the Committee shall be weighted in the
manner set out in that Article. The chairman shall not vote.
The Commission shall adopt the measures envisaged if they are in
accordance with the opinion of the Committee.
If the measures envisaged are not in accordance with the opinion of the
Committee, or if no opinion is delivered, the Commission shall without
delay submit to the Council a proposal relating to the measures to be
taken. The Council shall act by a qualified majority.
If, on the expiry of a period of three months from the date of referral to
the Council, the Council has not acted, the proposed measures shall beadopted by the Commission, save where the Council has decided
against the said measures by a simple majority.
3. The Committee may discuss any matter concerning the interoper-
ability of the trans-European high-speed rail system.
4. Should it prove necessary, the Committee may set up working
parties to aid it in carrying out its tasks, in particular with a view to
coordinating the notified bodies.
5. The Committee shall be set upas soon as this Directive enters
into force.
CHAPTER VII
Finalprovisions
Article 22
Any decision taken pursuant to this Directive concerning the assess-
ment of conformity or suitability for use of interoperabilityconstituents, the checking of subsystems constituting the trans-
European high-speed rail system and any decision taken pursuant to
Articles 11, 12, 17 and 19 shall set out in detail the reasons on whichit is based. It shall be notified as soon as possible to the partyconcerned, together with an indication of the remedies available underthe laws in force in the Member States concerned and of the time limitsallowed for the exercise of such remedies.1996L0048 — EN — 08.10.1996 — 000.001 — 12
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Article 23
1. Member States shall amend and adopt their laws, regulations and
administrative provisions so as to authorize the use of interoperability
constituents and the putting into service and operation of subsystems
which comply with this Directive no later than 30 months after entryinto force of this Directive. They shall forthwith inform the Commis-sion thereof.
2. When Member States adopt the provisions referred to in para-
graph 1, they shall contain a reference to this Directive or beaccompanied by such reference on the occasion of their official publi-
cation. The methods of making such reference shall be laid down by
Member States.
Article 24
Every two years the Commission shall report to the European Parlia-
ment and the Council on the progress made towards achievinginteroperability of the trans-European high-speed rail system.
Article 25
This Directive shall enter into force on the 21st day following that of
its publication in the Official Journal of the European Communities
Article 26
This Directive is addressed to the Member States.1996L0048 — EN — 08.10.1996 — 000.001 — 13
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ANNEX I
THETRANS-EUROPEANHIGH-SPEEDRAILSYSTEM
1.Infrastructure
(a) The infrastructure of the trans-European high-speed rail system shall be
that on the lines of the trans-European transport network identified in the
framework of the guidelines referred to in Article 129c of the Treaty:
— those specially built for high-speed travel,
— those specially upgraded for high-speed travel.
They may include connecting lines, in particular junctions of new lines
or lines upgraded for high speed with town centre stations located on
them, on which speeds must take account of local conditions.
(b) High-speed lines shall comprise:
— specially built high-speed lines equipped for speeds generally equal
to or greater than 250 km/h,
— specially upgraded high-speed lines equipped for speeds of the order
of 200 km/h,
— specially upgraded high-speed lines which have special features as a
result of topographical, relief or town-planning constraints, on which
the speed must be adapted to each case.
2.Rollingstock
The high-speed advanced-technology trains shall be designed in such a way
as to guarantee safe, uninterrupted travel:
— at a speed of at least 250 km/h on the lines specially built for high speed,
while enabling speeds of over 300 km/h to be reached in appropriate
circumstances;
— at a speed of the order of 200 km/h on existing lines which have been or
are to be specially upgraded;
— at the highest possible speed on other lines.
3.Compatibilityofinfrastructureandrolling stock
High-speed train services presuppose excellent compatibility between the
characteristics of the infrastructure and those of the rolling stock. Perfor-
mance levels, safety, quality of service and cost depend upon that
compatibility.1996L0048 — EN — 08.10.1996 — 000.001 — 14
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ANNEX II
SUBSYSTEMS
1. For the purposes of this Directive, the system constituting the trans-
European high-speed rail system may be broken down into subsystems, as
follows:
1.1. basically structural areas:
— infrastructures
— energy— control and command and signalling— rolling stock;
1.2. basically operational areas:
— maintenance
— environment— operation— users.
2. For each subsystem, the list of aspects relating to interoperability is indi-
cated in the order given to the representative joint body for drawing up
draft TSIs.
Under the provisions of Article 6 (1), this order shall be established in
accordance with the procedure laid down in Article 21 (2).
Where necessary, the list of aspects relating to interoperability indicated in
the order is specified by the representative joint body in accordance with
the provisions of Article 5 (3) (e).
3. Within the meaning of Article 5 (3) (b), the following are regarded as basic
parameters for achieving interoperability:
BASIC PARAMETERS— Minimum infrastructure gauges
— Minimum radius of curvature— Track gauge
— Maximum track stressing
— Minimum platform length— Platform height— Power-supply voltage— Catenary geometry— ERTMS characteristics (*)— Axle loading— Maximum train length— Gauge of rolling stock— Minimum braking characteristics
— Boundary electrical characteristics of rolling stock
— Boundary mechanical characteristics of rolling stock— Operating characteristics linked to train safety— Boundary characteristics linked to outside noise— Boundary characteristics linked to outside vibrations— Boundary characteristics linked to outside electromagnetic interference— Boundary characteristics linked to inside noise— Boundary characteristics linked to air conditioning— Characteristics linked to the carriage of disabled persons.1996L0048 — EN — 08.10.1996 — 000.001 — 15
(*) European Rail Traffic Management System.
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ANNEX III
ESSENTIALREQUIREMENTS
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 authorized 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 reper-cussions 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 their safety 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 organized, carried out and quan-
tified 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 the emission of harmful and dangerous fumes or gases, particu-
larly in the event of fire.
1.4.Environmental protection
1.4.1. The repercussions on the environment of the establishment and operation
of the trans-European high-speed 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 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 manu-
factured in such a way as to be electromagnetically compatible with the
installations, equipment and public or private networks with which they
might interfere.
1.5.Technical compatibility
The technical characteristics of the infrastructures and fixed installations
must be compatible with each other and with those of the trains to be
used on the trans-European high-speed rail system.
If adherence to these characteristics proves difficult on certain sections of
the network, temporary solutions, which ensure compatibility in the
future, may be implemented.1996L0048 — EN — 08.10.1996 — 000.001 — 16
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2.Requirementsspecifictoeachsubsystem
2.1.Infrastructures
2.1.1. Safety
Appropriate steps must be taken to prevent access to or undesirable intru-
sions into installations on lines travelled at high speed.
Steps must be taken to limit the dangers to which persons are exposed,
particularly in stations through which trains pass at high speed.
Infrastructures to which the public has access must be designed and made
in such a way as to limit any human health hazards (stability, fire, access,
evacuation, platforms, etc.).
Appropriate provisions must be laid down to take account of the parti-
cular 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 high-speed trains or of persons (users, operating staff, trackside
dwellers and third parties).
2.2.2. Environmental protection
The functioning of the energy-supply systems must not interfere with the
environment beyond the specified limits.
2.2.3. Technical compatibility
The electricity supply systems used throughout the trans-European high-
speed rail system must:
— enable trains to achieve the specified performance levels;
— 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 installation and procedures used
on the trans-European high-speed rail system must enable trains to travel
with a level of safety which corresponds to the objectives set for the
network.
2.3.2. Technical compatibility
All new high-speed infrastructures and all new high-speed rolling stock
manufactured or developed after adoption of compatible control and
command and signalling must be tailored to the use of those systems.
The control and command and signalling equipment installed within the
train drivers' cabs must permit normal operation, under the specified
conditions, throughout the trans-European high-speed 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 and 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.1996L0048 — EN — 08.10.1996 — 000.001 — 17
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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 parti-
cular safety conditions in very long tunnels.
An emergency lighting system having a sufficient intensity and duration
is an absolute requirement 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 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 and command and signalling installations.
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 high-speed 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
The technical installations and the procedures used in the maintenance
centres must not constitute a danger to human health.
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 on high-speed trains must be such as to
enable safety, health and comfort operations to be carried out on all trains
for which they have been designed.
2.6.Environment
2.6.1. Health
Operation of the trans-European high-speed rail system must remain
within the statutory noise-nuisance limits.
2.6.2. Environmental protection
Operation of the trans-European high-speed rail system must not cause a
level of ground vibrations which is unacceptable for activities and the
immediate environment in the vicinity of the infrastucture and in a
normal state of maintenance.
2.7.Operation
2.7.1. Safety
Alignment of the network operating rules and the qualifications of drivers
and on-board staff must be such as to ensure safe international operation.
The operations and maintenance intervals, the training and qualifications
of maintenance staff and the quality assurance system set upin the main-
tenance centres of the operators concerned must be such as to ensure a
high level of safety.1996L0048 — EN — 08.10.1996 — 000.001 — 18
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2.7.2. Reliability and availability
The operation and maintenance periods, the training and qualifications of
the maintenance staff and the quality assurance system set upby the
operators concerned in the maintenance centres must be such as to ensure
a high level of system reliability and availability.
2.7.3. Technical compatibility
The alignment of the operating rules of the networks and the qualifica-
tions of drivers, on-board staff and managers in charge of traffic must
be such as to ensure operating efficiency on the trans-European high-
speed rail system.1996L0048 — EN — 08.10.1996 — 000.001 — 19
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ANNEX IV
INTEROPERABILITYCONSTITUENTS
ECdeclaration
—ofconformity
—ofsuitabilityforuse
1.Interoperability constituents
The EC declaration applies to the interoperability constituents involved in
the interoperability of the trans-European high-speed rail systems, 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 multiple-use constituents which are not, as such, specific to a
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/judgment by a notified body or bodies of the suit-
ability 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, particulary 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 Deci-
sion 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 accom-
panying 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 authorized representa-
tive established within the Community (give trade name and full
address and in the case of the authorized 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,
suitability for use (Article 13);
— all of the relevant descriptions met by the interoperability constituent
and in particular its conditions of use;
— name and address of notified body (bodies) involved in the procedure
followed in respect of conformity or suitability for use and date of
examination certificate together, where appropriate, with the duration
and conditions of validity of the certificate;
— where appropriate, reference to the European specification;
— identification of signatory having received powers to engage the manu-
facturer or his authorized representative established within the
Community.1996L0048 — EN — 08.10.1996 — 000.001 — 20
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ANNEX V
SUBSYSTEMS
EC DECLARATION OF VERIFICATION
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 authorized representative
established within the Community. (Give trade name and full address, and
in the case of the authorized representative also give the trade name of the
contracting entity);
— a brief description of the subsytem;
— name and address of the notified body which has conducted the EC inspec-
tion referred to in Article 18;
— the references of the documents contained in the technical file;— all of the relevant temporary or final 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 signatory.1996L0048 — EN — 08.10.1996 — 000.001 — 21
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ANNEX VI
SUBSYSTEMS
EC VERIFICATION
1. EC verification is the procedure whereby a notified body checks and certi-
fies, at the request of a contracting entity or its authorized 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. The subsystem is checked at each of the following stages:
— overall design;
— structure of subsystem, including, in particular, civil-engineering activ-
ities, constituent assembly, overall adjustment;
— final testing of the subsystem.
3. The notified body responsible for EC verification draws up the certificate
of conformity intended for the contracting entity or its authorized represen-
tative established within the Community, which in turn draws upthe EC
verification declaration intended for the supervisory authority in the
Member State within which the subsystem is located and/or operates.
4. The technical record accompanying the verification statement must be
made upas follows:
— for infrastructures: 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 dat-processing and automatic systems, operating and
maintenance manuals, etc.;
— list of interoperability constituents, as referred to in Article 3, incorpo-
rated into the subsystem;
— copies of the EC declarations of conformity or suitability for use with
which said 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 examina-
tions 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, where appropriate, reservations recorded during perfor-
mance of the activities and not withdrawn; the certificate should also
be accompanied by the inspection and audit reports drawn up in
connection with the verification, as specified in points 5.3 and 5.4.
5.Monitoring
5.1. The aim of EC monitoring is to ensure that the obligations deriving from
the technical record have been met during production of the subsystem.
5.2. The notified body responsible for checking production must have perma-
nent 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 authorized representative within the Community must send it
or have sent to it all the documents needed for that purpose and in parti-
cular the implementation plans and technical records concerning the
subsystem.
5.3. The body notified responsible for checking implementation must periodi-
cally 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.1996L0048 — EN — 08.10.1996 — 000.001 — 22
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6. The complete record referred to in paragraph 4 must be lodged with the
contracting entity or its authorized agent established within the Community
in support of the certificate of conformity issued by the notified body
responsible for checking the subsystem in working order. The record 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 record must be kept by the contracting entity throughout the
service life of the subsystem. It must be sent to any other Member States
who so request.
7. Each body must periodically pass on relevant information concerning the
following:
— requests for EC verification received;
— certificates of conformity issued;— certificates of conformity refused.
8. The records 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 authorized representative is established within the
Community, or in a language accepted by the Community.1996L0048 — EN — 08.10.1996 — 000.001 — 23
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ANNEX VII
MINIMUMCRITERIAWHICHMUSTBETAKENINTOACCOUNTBY
THEMEMBERSTATESWHENNOTIFYINGBODIES
1. The body, its Director and the staff responsible for carrying out the checking
operations may not become involved either directly or as authorized repre-
sentatives 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 infor-mation between the manufacturer or constructor and that body.
2. The body and the staff responsible for inspection must carry out the checking
operations with the greatest possible professional integrity and the greatest
possible technical competence and must be free of any pressure and incen-
tive, in particular of a financial type, which may affect their judgment or
the results of their inspection, and in particular those generated by persons
or groups of persons affected by the results of the checks.
3. That body must employ staff and possess the means required to perform
adequately the technical and administrative tasks linked with the conducting
of 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 upthe certificates, records and rep orts which consti-
tute the formal record of the inspections conducted.
5. The independence of the staff responsible for inspections must be guaranteed.
No official must be remunerated either on the basis of the number of inspec-
tions performed or of the results of those inspections.
6. The body must take out civil liability insurance unless that liability is
covered by the State under national law or unless the inspections are carried
out directly by that Member State.
7. The staff of that 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.1996L0048 — EN — 08.10.1996 — 000.001 — 24