Proposal for a COUNCIL DIRECTIVE on the interoperability of the European high speed train network
Date: 1994-04-15
Institutions: European Commission
Subjects: harmonisation of standards, high-speed transport, rail transport, technical regulations, trans-European network, transport safety

COMMISSION  OF  THE  EUROPEAN  COMMUNITIES 

C0M(94) 107 final 
Brussels, 15.04.1994 

94/0112 (SYN) 

i'i&vtisj 

Proposal  for a 
COUNCIL  DIRECTIVE 

on the  interoperability  of  the European high  speed train network 

(presented  by the  Commission) 

fegftB 

-  A -

EXPLANATORY  MEMORANDUM 

JUSTIFICATION  IN TERMS OF  SUBSIDIARITY 

(a) What are the aims of the intended activities as compared  with  the 

Community's  obligations? 

The aims of the activities  lie in the creation of  a  regulatory 
framework which  contains mandatory  technical  specifications  for 
interoperability  (TSI) and  harmonized  standards  for the purpose  of 
ensuring  interoperability  on the European high  speed  train  network 
while meeting the essential  requirements by helping  to open  up 
transport-service and  equipment  contracts  and to enhance  the 
competitiveness  of the railway  sector overall. 

(b) Do the intended  activities  fall within the exclusive  competence  of  the 

Community or within a competence that is shared with the Member  States? 

The activities  in question  are a matter of  shared  competence  in 
accordance with Article  129d of the EC Treaty. 

(c) What  is the Community dimension of the problem  (for example  how many 

Member States are involved  and what solution has been applied  so  far)? 

The Community  dimension  is the outcome of the master plan  for  the 
European  high  speed  train  network, which  concerns  all of  the 
Member  States.  Hitherto  interoperability  has not been  achieved  by  each 
Member  State  individually. 

(d) Comparatively  speaking  is the Community  or the Member-State  approach 

more  efficient? 

Whether  by  intergovernmental  agreement  or  standardization  the 
Member  States are not  in a position  to provide  the operational  and 
regulatory technical  conditions  needed  for  interoperability. 

(e) What practical  added value do the intended  Community  activities  provide 

and what would be the cost of  inaction? 

At the moment  it  is only  possible  for high  speed  trains to make 
cross-frontier  journeys by  juxtaposing  national  operating  techniques 
and rules  and by  complying  with  all of the national  regulations.  This 
generates  an excessive  need  for investment  in those  links.  While 
initially  requiring  a great deal of  investment  Community  action  will, 
in the medium to  long term, enable  a considerable  reduction  to be made 
in the cost of those  links  since  it simplifies  and  eases  access  to the 
network  and  enables  both operators  and the  industry to  achieve 
economies of scale. 

(f) What forms of action is the Community able to take? 

- la -

The Community  is able to prompt standardization, harmonization of 
essential requirements and the adoption of measures to implement the 
technical parameters. 

The Member States have national laws based on differing philosophies as 
regards safety, health, consumer or environmental protection, 
reliability/availability, and technical and operational  compatibility. 
Operators must work to differing mandatory technical parameters.  An 
adequate level of interoperability requires harmonization of the basic 
technical parameters. 

(g) Is a uniform body of regulations needed or would a directive laying 

down general aims and transferring implementation to the Member States 
be sufficient? 

The measure adopted in the case of the European high speed train 
network is that of a Directive based on Articles 129d - third indent -
of the EC Treaty.  It is total as regards the aspects relating to 
sensitive constituents and to subsystems, where any authorization for 
the incorporation into the network can only be ensured via a less 
restrictive measure  (standards, mutual recognition).  As regards 
sensitive constituents the Directive provides for a Community procedure 
based on the principles arising form Decision 90/683/EEC of 
13 December 1990 on the use of modules. 

In order to meet interoperability needs the Directive provides for a 
Community procedure for the placing in service of subsystems.  In both 
contexts harmonization covers both the essential requirements and the 
technical specifications for interoperability and leaves the 
implementation to the Member States and to European standardization. 

- 2 -

INTRODUCTION 

1.  The gradual building-up of the European high speed train network 
starting from existing or planned national networks, requires 
interlinking and interoperability from infrastructures, static 
equipment, logistical systems and stock. 

2.  Before the development of high speed trains the cross-frontier rail 

traffic between the national networks was restricted to passenger 
coaches and goods wagons, while the general rule is still that 
locomotives and foot plate staff are still changed at frontiers.  That 
situation is incompatible with the concept of a high speed train 
running on an integrated, coherent European network. 

Hitherto each network had been operated and trains had been moved 
within the national frontiers on the basis of and in compliance with 
regulations and technical and operational requirements that differed 
and were very  broadly incompatible from one Member State to another. 
This is particularly the case as regards safety, the environment, the 
physical characteristics of infrastructures and in particular loading 
gauge, electricity supply systems, signalling and the control/command 
of traffic movements, together with the operating rules. 

3.  The outcome is that the Member States have not been in a position 

individually to take the steps that would permit interworking on the 
European high speed train network.  The necessary interoperability is 
essentially Community-wide in scale and this is intensified by the 
provisions concerning the opening up of procurement procedures in the 
transport sector  (Directive 90/531/EEC) and the development of the 
Community's railways  (Directive 91/440/EEC). 

This body of reasons has caused the Commission to undertake Community 
action, which it put into practical form by drawing up a proposal for a 
directive, the provisions of which are intended to provide and ensure 
interoperability within the European high speed train network. 

This proposal is covered by the provisions of Articles 129b, 129c and 
129d of Title XII  (Trans-European networks) of the EC Treaty. 

EARLIER ACTIVITIES 

- 3 -

4.  The Commission's activities concerning the European high speed train 

network formally began in early 1990 in response to a request from the-
Council of Ministers. 

In its Resolution of 4-5 December 1989 the Council had invited the 
Commission to set up a high-level working party consisting of 
representatives of the Member-State governments and of the European 
railway operators, who were subsequently joined by the European railway 
industry.  This working party was to be consulted in order that, before 
31 December 1990, a master plan could be drawn up for submission to the 
Council for its approval. 

The working party had also been consulted on the common technical 
standards and characteristics enabling modern trains to move about that 
network and ensuring technical and infrastructure compatibility between 
the various parts of that network. 

5.  The high-level working party delivered its report by the deadline set, 

namely during November 1990.  This is a document concerning a 
representative master plan for the European high speed train network 
which opted for the year 2010 as the reference date for its 
implementation.  This plan is not intangible in nature but must, on the 
contrary, evolve and be constantly adaptable to the Community's 
political, economic and social development of the Community. 

Examination of the national plans provided the starting point for 
mapping out the plan, which only includes the lines needed to build up 
the European network and which should enable both the cohesion of the 
European network and the integration of the essential parts of 
Community territory to be ensured. 

6.  The report by the group of senior officials devotes a great deal of 

attention to determining the level of technical compatibility needed in 
order that high speed trains may travel on lines having different 
characteristics.  For historical reasons the current situation displays 
a great deal of infrastructure and equipment diversity. 

In the chapter devoted to technical compatibility, the overall system 
has been broken down into subsystems which were analysed in great 
detail and the basic components of each of them classified as a 
function of their origin and of the importance and urgency attached to 
their harmonization. 

7.  In its Resolution of 17 December 1990 the Council gave a favourable 
reception to the work carried out with a view to drawing up a master 
plan setting out in detail the activities to receive priority in 
setting up the European network.  It also noted the progress made in 
laying down the conditions needed in order to ensure the compatibility 
of infrastructures, equipment and rolling stock and to permit the 
international movement of trains, or in other words, to ensure that the 
network displays interoperability. More particularly the Council has 
noted the Commission's intention to prepare a draft directive on the 
approximation of the laws, regulations and administrative provisions 
concerning the movement of trains and to stress the need, as soon as 
possible, for common action on the harmonization of control-command 
systems. 

THE MASTER PLAN 

- 4 -

8.  The distinguishing  feature of the European high speed train network is 
an improvement in operating speeds and thus shorter journey times.  The 
maximum speed at which "high-speed" trains may travel varies depending 
upon the geographical, demographic and economic characteristics of the 
regions to be served.  It is generally in excess of 160 km/h and may 
exceed 300 km/h. 

9.  According to the Group of Senior Officials' definition the European 

high speed train network is made up of links which can be traversed by 
railway rolling stock that is suitable for high-speed running. 

A distinction is made, on this network, between three types of line: 

- 

lines laid out for speeds of generally not less than 250 km/h; 
lines designed for speeds of about 200 km/h; 
-  the other lines making up the European network. 

The urban sections of line, whatever their characteristics, are treated 
on the same basis as the lines of which they are extensions. 

10. The master plan extending up to the year 2010 covers the lines that are 
essential components of the European network.  In the December 1990 
report the master plan covered: 

9000 km of lines; 

15000 km of upgraded lines; 

1200 km of links. 

Since it performs a coordinating and guidance function the master plan 
must periodically be amended to take account of political, economic and 
social changes within the Community.  The master plan is currently 
being updated. 

WHAT MARKET FOR A RAILWAY INDUSTRY 

- 5 -

11. The cost of the infrastructures for the network has been estimated at 

ECU 150 000 million, and that of the rolling stock at 
ECU 50 000 million. 

These overall amounts do not include existing achievements and in 
particular the ICE in Germany, the AVE in Spain, the SAV in Italy, or 
the activities in progress: EUROSTAR Transmanche and PBKA.  The two 
latter projects are the first true constituents of the trans-European 
network. 

12. If one restricts oneself to high speed trains which have, in principle, 

been designed to achieve or even exceed 300 km/h, three different 
systems have been developed - mainly in order to meet the conditions of 
the national networks operating them. 

These are: 

the French TGV for the SNCF; 
the German ICE for the DB; 
the Italian ETR 500 for the FS 

The three other types in operation, in build or on order are TGV 
derivatives. 

These are: 

-  the AVE being operated in Spain by the RENFE; 

the Transmanche EUROSTAR being built for the SNCF, BR and the SNCB; 
the PBKA on order by the SNCF, SNCB, the NS and the DB. 

Table 1 below described the state of the existing or planned stock and 
the main characteristics of each system. 

Table I 

HIGH SPEED TRAINS IN THE CE 

1 
| 
| In operation  (Op) 
| 

I 
| 
| Country/System 
| 
| Entry into service  | Being built  (Bt) 
|  (ES) 
| 

| 
| On order (Or) 

1 
| 
| 
| 
| 
| 
| 

Train sets 

Type 

, 
, 
|  Composition  |  Power supply  | 
|  P: power car  | 
| 
|  T: trailer  II 

—, 

Number 

I 

1 

1 
|Overall value  | 
'
II 
1 
| 
| 

million  | 
| 

I 

ecus 
I 

| FR/TGV  (ES*81) 

| TGV - South East  (Op) |  Articulated  |  2P • 8T 

| Dual-voltage  | 

108 

| 

930 

| 

| 

| 
I 

| 

(ES'89) 

| TGV - Atlantic  (Op)  |  Articulated  |  2P • 10T 

| Dual-voltage  | 

105 

(ES'93) 

| TGV - Network  (Bt) 
I 

|  Articulated  |  2P • 8T 
I 

II 

voltage 

| Dual & Triple  | 
| 

90 

| 

| 

| 

1200 

| 

1060 
| 

| 

0 

(ES'95) 

| TGV - 2 Levels (Bt)  |  Articulated  |  2P • 8T 

| Dual-voltage  | 

100 

| 

1450 

| 

| E/TGV 

(ES192) 

| AVE (Op) 

|  Articulated  |  2P • BT 

| Dual-voltage  | 

16 

| 

310 

| 

| F.GB.B/TGV Trans-  | 
| manche  (ES'94) 
| EUROSTAR  (Bt) 
| F,B,NL,DE  (ES'96)  | P.B.K.A. (Or) 

I 
|  Articulated  |  2P • 18T 
|  Articulated  |  2P • 8T 

I 

I 
I 
| Triple voltage | 
| 
| Quadruple 

I 

| 
| 

38 
37 

I 

1160 
690 

| 
| 

I 

I 

I

II 

voltage 

| 

| 

| 

| D/ICE  (ES'91) 

| (Op) 

|Non-articulated|  2P + 14T 

|Single-voltage  | 

60 

| 

1460 

| 

| I/ETR 500 

| (Bt) 

|Non-articulated|  2P • 12T 

|Dual-voltage 

| 

30 

| 

720 

| 

-  6 -

13. Each  of  the three base  systems: TGV, ICE, ETR  500, is built  by  the 

national  industry  in the country of the operating  network. 

During  the  last  five years those national  industries  have  concentrated 
heavily, mainly  around  large companies  in the  heavy 
electrical-engineering sector: 

GEC-ALSTHOM  (F, GB, B, E) for the TGV, the AVE, EUROSTAR  and  the 
PBKA; 
SIEMENS, ABB, AEG Westinghouse for the ICE; 
ANSALDO, BREDA, ABB  and FIAT for the ETR 500. 

The major  assemblers draw upon a wide range of equipment  manufacturers 
comprising  basically  small and medium-sized  companies. 

Except  in the  case of GEC-ALSTHOM, where the figure  is 19%, the  proportion 
of the main  European  groups' turnover  in 1991 was only  a  few per  cent, as 
shown  in Table  II below. 

Table  II 

Group 

Total  turnover 

Portion  accounted  * 
* 
for by 
* 
rail transport 

ECU  '000 
million 

GEC-ALSTHOM 
ABB 
SIEMENS 
FIAT 

7 
21 
37 
32 

Year 

1991 
1990 
1990 
1990 

ECU  '000 
million 

1.3 
1 
0.6 
0.2 

% 

19 
4 
2 
<  1 

14. Outside the European Community  high  speed  rail travel  had  been 

vigorously  developed  in Japan  since 1964 via the Shinkansen  which, 
following  a rapid  slowdown before the privatization  of the  Japanese 
railways  in 1988 and their division  into several  regional  companies, 
has now regained  more than  its former vigour. 

Having  gained  strength  from that experience the Japanese  railway 
industry  is  in competition with the European manufacturers.  That  has 
been the  case  in Spain, is currently  so in South Korea  and  Taiwan, and 
in the  future will doubtless be so in North America, Central  and 
Eastern Europe and the CIS. 

Table  III gives the main  characteristics of the most  advanced  projects 
On those markets the promoters of the European TGV  and  ICE  systems  are 
fiercely  competing  with each other. 

Table  TIT 

MAJOR  PROJKCTS OUTSIDE EUROPE AND  JAPAN 

I 

1 

1 

I 

1 

1 

1 

1 

1 

1 

|  Country 

| Project 

| Entry into| Distance  |Max speed 

| Total cost 

| Number of  |No of 

| Cost of roi-  | 

|  service  | 

km 

| km/h 

| x  '000 million| sets 

|seats per| ling stock x  | 

| 

I 

| 

I 

I 

I 

| Australia 

| Sydney  - Melbourne 

| Postponed  |  850 

I 

I 

I 

I 

I 

| 

I 

I 

350 

|  Aus $ 7 

I  E CU 4.5 

I 

| 

I

|set 

| 1 million 

II 

| 

| 

I 

| 

| 

I 

I 

| 

| 

| 

|  Canada 

| Quebec Montreal Ottawa 

| 20Ô0 

|  1215 

| 

300 

|  CAN $ 7.1 

| 

| 

| Toronto Windsor 

I

II 

I  K CO  5-1 

I 

I 

|  South Korea 

| Seoul  - Pusan 

| 1998/2000  |  445 

| 

300 

|  US$ 8.3 

| 

48 

| 1000  •  |  US$  1300 

| 

|| 

I 

I 

I 

I  ECU 6.9 

| 

|  1300 

|  ECU 1080 

| 

| Taiwan 

| Taipei  - Kaoshiung 

| 1997/1999  |  400 

|  280/300 

|  US$  17.5 

| 

| 

I 

I 

f Texas  (US) 

| Dallas  - Houston 

| 1998 

|  980 

| 

| San Antonio 

I 

I 

I 

| 

I 

I  ECU 14.6 

320 

|  US$ 5.7$ 

I  ECU 4.75U 

| 

| 

| 

| 

50 

|  800 

| US$ 2100-2600 | 

| 

| 

| 

34 

| ECU 1750-2170 | 

|  US$ 900 

|  ECU 790 

| 

| 

\ 

p 

INTEROPERABILITY AND SUBSIDIARITY 

- 7 -

15. As already stressed above the railway network in each country has over 

the last 150 years been set up as a totally integrated system on the 
responsibility of a national company to which, against a general legal 
background, the overseeing authority has delegated very broad authority 
as regards management, operation and development.  The resultant 
compartmentalization does not enable high speed trains to run 
continuously on the various parts of the network infrastructure that 
are due to the juxtaposition of the national networks. 

16. The cohesion of a network of this type presupposes a sufficient level 

of harmonization of: 

- 

in the national regulations, the differences contained  in the 
relevant provisions on, in particular, safety, health, the 
environment and consumer protection; 

the technical characteristics, relevant to the interfaces of: 

infrastructures 
power supply and collection systems 
maintenance facilities 
control-command systems 
rolling stock 

-  operating conditions and the provisions concerning users' essential 

needs. 

17. This does not mean that it is necessary to aim at the production of a 
universal system.  However, in the absence of a certain level of 
harmonization, the establishment of the European network as envisaged 
. in the master plan will encounter very great technical, operational and 
economic difficulties.  The work in progress or on order bears witness 
to this. 

This applies to the Cross-Channel TGV, known as the "TMST"  (Trans 
Manche Super Train) also dubbed "EUROSTAR" or the PBKA 
(Paris-Brussels-Cologne-Amsterdam). 

18. It is almost always possible to build a system which is able to meet 

differing requirements and specifications.  For this it is necessary to 
bring together the components needed to cater for several types of 
power supply, collection and control-command systems, and also for 
several regulations governing, for example, fire proofing, noise, 
electromagnetic compatibility, etc. ... 

However, this not only leads to high extra development and building 
costs, but also longer deadlines and often delays and thus higher 
capital investment, and also to higher operating, maintenance and 
servicing costs.  This makes the reliability and availability of the 
system, and thus the quality of the service provided to the customer, 
less dependable. 

All of this impairs the economic viability and thus the competitiveness 
of the system - especially since, for each new link, it could be 
necessary to launch new developments. 

- 8 -

19. The provision of an adequate level of interworking, i.e. at a level 
providing an optimum balance between cost and benefits for all 
operators involved, including users, must thus be sought.  Table IV 
illustrates the effects of an inability to interwork on the cost, per 
seat, of the rolling stock. 

As such the ability to interwork does not mean that each train must be 
able to follow any route on the European high speed train network but 
must enable any transport operator so wishing, under Title XII of the 
EC Treaty and Directive 91/440/EEC, to run a commercial service on any 
route of his choice at the best economic cost. 

20. Moreover, from the point of view of the stock and equipment of all 

types making a system, it is necessary that the conditions governing 
the setting-up of an open, competitive market be met, more particularly 
on the basis of Directive 90/531/EEC on the opening up of contracts in 
previously excluded sectors. 

21. All of the above shows that achieving the intended capacity for 

interworking on the high speed train network requires harmonization at 
Community level. 

These activities concern the basic technical parameters, the interfaces 
between the various parts of the system, the provisions linked with 
operation and those contained in the national regulations on safety, 
health, the environment and consumer protection. 

22. These activities are intended to guarantee the existence of mutual 

operational relationships between the various constituent parts of the 
European high speed train network. It is all of these mutual 
relationships together which give practical shape to the concept of 
interoperability, the achievement of which requires the provision of a 
Community framework. 

That Community framework should enable a body of essential 
requirements, basic parameters, in particular at interface level, and 
procedures to be defined which are to link together all operators 
involved, i.e. in the first instance the Member States, but also 
economic operators and in particular the infrastructure operators, the 
railways and the industry which are to cooperate. 

23. Such a vehicle requires the drawing-up, in line with the principle of 

subsidiarity, of a directive on the interoperability of the European 
high speed train network. Neither the deliberate preparation of 
technical standards by the economic operators themselves, nor the 
mutual recognition of existing national provisions are able to resolve 
the political and technical problems standing in the way of the 
integration, coherence and interoperability of a transEuropean network 
such as that envisaged. 

TABLE  IV: 

EFFECTS OF INABILITY TO  INTERWORK ON THE COST OF ROLLING  STOCK 

|  TYPE 

| 

| 

(Composition of train sete| Train  sets: 

| Train sets: 

| P:  power car 

| number of  seats| unit  cost 

| 

| 

| T:  trailer 

| 

| FF x 1 million| ECUS 

Unit  seat cost 

1 

| 

Index 

|  SOUTH-EASTERN TGV  (SNCF) 

| 2 P +  8 T 

| 

386 

| 

± 70 

| 

±27.000 

| 

84 

|  ATLANTIC TGV  {SNCF) 

| 2 P + 10 T 

| 

480 

| 

± 80 

| 

±25.000 

| 

78 

|  TGV NETWORK  (SNCF) 

| 2 P 4  8 T 

| 

377 

| 

± 80 

| 

±32.000 

| 

100 

|  TGV  - 2 N  (SNCF) 

| 2 P +  8 T 

| 

545 

| 

±100 

| 

±27.500 

| 

86 

|  TMST  - EUROSTAR  (SNCF,BR, 
I  S N C B) 
|  P.B.K.A.  (SNCF, DB, SNCB, 
I NS) 

| 2 P • 18 T 
| 
| 2 P +  8 T 
| 

| 

I 

* 

|  Base 100:  TGV  - NETWORK  (Dual and triple voltage) 

794 

377 

| 
I 
| 
| 

I 

±210 

±130 

| 
I 
| 
|| 

I 

| 
I 
| 

I 

±40.000 

±52.000 

| 

| 
I 
| 

125 

162 

| 

l_ 

| 

1 

| 

| 

| 

| 

| 

| 
I 
| 

I 

| 

f 

ARCHITECTURE AMD CONTENT OF THE DIRECTIVE 

- 9 -

24. The proposal for a directive on interoperability is the basic component 

of a three-level architecture: 

the proposal for a directive as such; 
the technical specifications for interoperability  (TSI); 
all of the other European specifications and in particular the 
European standards drawn up by the European standardization bodies: 
CEN, CENELEC and ETSI. 

25. The proposal for a directive considers the European network in its 
entirety and complexity and applies to the infrastructures, static 
equipment, logistical systems and rolling stock and their components 
which play a critical part in terms of interoperability. 

For operational reasons, the overall system has been broken down into 
subsystems: 

infrastructure; 
energy; 
maintenance; 
signalling control-command; 
rolling stock; 
environment; 
operation; 

-  users. 
The components, i.e. the constituents or interfaces playing a critical 
part from the point of view of interoperability within each subsystem, 
were listed, as they already had been in the report by the Group of 
Senior Officials in December 1990. 

26. The proposal then defines in a general manner, in terms of a mandatory 

result, the essential safety, health, environmental protection, 
consumer protection, technical compatibility and operational 
requirements needed to ensure interoperability of the system. 

Where necessary those essential requirements will be set out in detail 
for each subsystem  in the "technical specifications for 
interoperability". 

27. The specifications for interoperability (TSI) themselves will form the 

second level of the proposed architecture. 

If necessary, the TSI thus set out in detail, the essential 
requirements, lay down the fundamental parameters (loading gaugers, 
voltage, etc...), for each subsystem and determine  (a) the constituents 
and interfaces which play a critical part in relation to 
interoperability, and  (b) the procedures governing the assessment of 
conformity or suitability  for use. 

The TSI are  drawn up to the order of the Commiesion by the railway and 
industry experts and are adopted by means of the procedures laid down 
in the directive. 

28. The technical specifications needed for the constituents and the 

conditions at the interfaces which are critical for interoperability 
will be drawn up by the specialist bodies, particularly as regards the 
European standards, by the CEN, CENELEC and ETSI. 

- l o 

in such instances conformity or suitability for use will be assessed, 
at the manufacturers' request, by the bodies that have been identified 
for that purpose by the Member States, and the manufacturer will draw 
up the EC declaration of conformity in accordance with the conditions 
laid down in the directive, and on the basis of the modules referred to 
in the corresponding TSI. 

As required by Directive 90/531/EEC on the opening up of contracts in 
excluded sectors, where there is a European specification the 
assessment must without fail be based on this. 

29. It must be noted here that, in the case of the railways, the assessment 
of the absolute conformity of the constituent, considered  in isolation, 
to the relevant technical specifications is not the only aim in view. 

Indeed, in several cases, it is the assessment of the suitability of 
use of a component, considered in its railway environment, and in 
particular together with its interfaces, which must be checked in 
relation to technical operational specifications. In terms of form, 
this latter instance does not differ from the previous one and the 
modules defined in Decision 90/683/EEC are to be used in implementing a 
procedure, provided that the necessary technical specifications are 
available. 

30. Checking of the conformity of the subsections with the essential 

requirements is in line with the TSI report, the procedure defined to 
that end in the directive being followed. 

That procedure is examined by a notified body at the request of an 
assessment body which draws up the EC inspection declaration. It is on 
the basis of that declaration that  the Member State concerned 
authorizes the placing in service of the subsystem in question. 

It must be stressed here that the suitability of a complex system for 
delivering a given level of performance is not equal to the sum, 
extended to all of the constituents, of the individual abilities to 
meet the performance requirements of each intended use within a 
subsystem. 

It is for this reason that each subsystem must be considered as such, 
including its operation and a more specific instance where it is-
intended to perform the public service. 

31. The notified bodies must meet the criteria set out in the directive. In 
the present case of the railways, the role of the approved bodies is 
assumed by the railways themselves which are therefore both judge and 
defendant. On entry into force of Directive 91/440/EEC on the 
development of the Community railways and the provisions of Title XII 
of the EC Treaty concerning the trans-European network this situation 
can no longer continue and the designation of notified  bodies is 
required.  However, in the majority of Member States, there are, 
outside the railways, few bodies having the material and human 
resources needed in order to accomplish this task. In order to deal 
with this situation while providing the required independence, the 
directive provides that the infrastructure operators could continue 
those activities  provided that they specifically make arrangements to 
meet the criteria of the directive. 

COOPERATION 

- 11 -

32. Although cooperation between all those involved, i.e. Member States, 

railways and the industry is one of the aims of the directive and thus 
forms part of its content, its importance with regard to the setting up 
of the transEuropean networks requires that this should emerge in its 
own right. 

33. Cooperation between Member States who are required to be regulators 

takes place, in particular, within the "Standing Committee" set up 
under the directive in order to discuss all matters deriving from the 
implementation of the directive. This is essential in ensuring an 
integrated, coherent expansion of the European high speed train network 
bearing in mind the possible increase in the number of railway 
companies which will result from the changes already being considered 
in several Member States. 

That increase will also result from the foreseeable developments which 
will arise both from Directive 91/440/EEC on the development of the 
Community's railways and from the provisions of Title XII (Trans-
European networks) of the EC Treaty. That type of problem is above all 
encountered in the United States where scores of railway companies -
generally private - use existing infrastructures in common and where, 
in particular, matters of safety are the responsibility of the FRA 
(Federal Railroad Administration). 

At European level there is also an intergovernmental agreement that was 
signed back in 1882. This is the Technical Unit, the most recent 
decisions concerning which were taken in 1938 and are currently out of 
date. 

Furthermore, not all of the Member States are signatories to the 
agreement which, moreover, includes non-member states. 

34. There is cooperation between the economic operators - in the main the 
railways and industry, within the common representative body in order 
to draw up the Technical Specifications for Interoperability  (TSI). 

Hitherto there had been no cooperation between railways and industry. 
Only the railways cooperated among themselves within the UIC 
(International Union of Railways) and via the CCFE  (Community of. 
European Railways) on matters linked with Community policy. 

35. Thus technical matters and in particular those relating to 

international movements of passenger coaches and goods wagons are 
covered by the UIC notes.  For the moment the existing UIC notes do not 
cover problems concerning high speed.  Moreover, account being taken of 
the procedure followed in order to prepare and adopt them, they do not 
in principle seem able to be used as such under Directive 90/531/EEC. 
For that to be possible it would be necessary to convert them into 
European specifications and, in particular, European standards within 
the technical committees set up by the CEN, CENELEC and ETSI, which 
constitute another forum for cooperation between the railways and 
industry. 

In order to be able to take part, as such, in all of the activities the 
European railway industry has reorganized its trade body - the European 
Railway Industries Union (UNIFE) - on an operational basis. 

- 12 -

36. Finally, the proposal for a Directive introduces cooperation between 

the notified bodies on the assessment of conformity or suitability for 
use of components, and the EC checking of subsystems. 

This cooperation is particularly important on the trans-European 
networks, in particular those carrying passengers, which are very much 
the responsibility of the states.  Indeed, ensuring system 
interoperability,  i.e. ensuring mutual operational links between its 
various parts or subsystems within a geographical area covering the 
Community  in its entirety and, subsequently, all of Europe within an 
open competitive market, requires a guarantee of the greatest possible 
transparency  as regards certification. 

That transparency can only be effective if the notified bodies are 
cooperating as vigorously and as closely as possible. 

IN CONCLUSION 

37. It must be noted from all of the above that the proposal for a 

Directive on the interoperability of the European high speed train 
network constitutes the Community  framework needed to allow the 
creation and operation of an integrated trans-European network that is 
integrated, coherent, and interoperable under optimum conditions of 
economic efficiency as far as the states, industry and the operators 
are concerned, without forgetting the essential factor:  its users. 

- 13 -

COMMENTS ON THE ARTICLES 

38. In view of the above factors the enacting terms of the Directive have 

been divided up into six chapters. 

(4) 

-  14 

-

3 9.  CHAPTER  I 

-  GENERAL  PROVISIONS 

A r t i c le 

1 

This Article concerns the aim of the Directive which consists in 
achieving interoperability on the European high speed train network at 
the various stages of its design, construction, gradual placing in 
service and operation. 

In geographical terms the Directive applies to those railway lines 
forming part of the master plan for the European high speed train 
network. 

Article 2 

This Article describes in detail the scope of the harmonizing 
provisions.  Those provisions only concern the parameters, 
constituents, interfaces and procedures that are needed and adequate in 
order to ensure and guarantee interoperability on the European high 
speed train network. 

Article 3 

This Article defines the network as a system comprising a body of 
infrastructures, trackside installations, logistical equipment and 
rolling stock.  This system itself is subdivided into subsystems which 
bring together the interoperability problems as established in the 
report by the committee of senior officials. 

This Article defines the concept of a constituent as being typified by 
its suitability for incorporation into the network. 

It also defines the concept of interoperability as being designed in 
such a way as to permit access to the network to all authorized 
operators.  The overall cohesion of the network is indeed an essential 
condition for the creation of a competitive market. 

Article 4 

This requires compliance with the essential requirements referring to 
all of the conditions which must be met in order to ensure 
interoperability. 

The essential requirements concerning safety, reliability, human 
health, environmental protection, consumer protection and technical 
compatibility and operation are defined in general terms in Annex III. 

Article 5 

- 15 -

This Article introduces the concept of "Technical Specifications for 
Interoperability"  (TSI).  These set out in detail the essential 
requirements, determine the basic components of each subsystem and 
identify, in particular, the constituents which play a critical part in 
terms of interoperability.  This Article also lays down the procedure 
to be followed in drawing up and adopting TSIs. 

40. CHAPTER II:  SENSITIVE CONSTITUENTS 

Articles  6 - 12 

These Articles bring together the provisions which must be met if 
sensitive constituents are to be used and concern, in particular, 
compliance with the essential requirements, the European specifications 
and the resultant standards, assessment of conformity or suitability 
for use, the use of the EC checking declaration, the safeguard clause 
and also the notified bodies and the cooperation among these. 

41. CHAPTER III:  SUBSYSTEMS 

Articles  1 3 - 19 

This Chapter is one of the most specific of the Directive in connection 
with the interoperability problems facing the European high speed train 
network.  The constituent articles deal with the assignment of the 
roles and prerogatives to the Member States, the assessment bodies, 
manufacturers and identified bodies.  They contain provisions 
concerning authorizations to place in service, the EC checking 
procedure and the EC checking statement as compared with the essential 
requirements and the TSI, the role of the notified bodies and 
cooperation among these. 

42. CHAPTER IV:  NOTIFIED BODIES 

Article 20 

This article sets out, in detail, the provisions applying to the 
notified bodies and the corresponding obligations that are incumbent 
upon the Member States. 

43. CHAPTER V:  COMMITTEE 

Article 21 

-  16  -

This committee is advisory in nature.  It will assist the Commission in 
any matter concerning the implementation of the Directive.  It is 
consulted on the mandates concerning the TSI and the relevant safeguard 
clause. 

44. CHAPTER VI:  FINAL PROVISIONS 

Articles 22 - 24 

The articles of this final chapter, on the final provisions, do not 
raise any particular problems as compared with what was being 
encountered in other directives that are already in force. 

45. Eight annexes dealing with the following specific areas are associated 

with the chapters of the enacting terms: 

ANNEX I 

"Geographical and physical data". 

ANNEX II 

"Subsystems". 

ANNEX III 

"Essential requirements". 

ANNEX IV 

"Basic parameters". 

ANNEX V 

Sensitive constituents 
"CE" declaration 
- of conformity 
- of suitability for use. 

ANNEX VI 

Subsystems 
"CE" checking declaration. 

ANNEX VII 

Subsystems 
"CE" checking. 

ANNEX VIII 

Minimum criteria which must be taken into account by 
the Member States when notifying bodies. 

- 17 -

PROPOSAL FOR A DIRECTIVE OF THE COUNCIL OF THE 

EUROPEAN UNION ON THE INTEROPERABILITY OF THE 

EUROPEAN HIGH SPEED TRAIN NETWORK 

"THE COUNCIL OF THE EUROPEAN UNION, 

Having regard to the Treaty establishing the European Community, and in 
particular Article 129d(3) thereof 

- Having regard to the proposal from the Commission1 

- In cooperation with the European Parliament^ 

- Having regard to the opinion of the Economic and Social Committee^ 

*- Having regard to the opinion of the Committee for the Regions* 

Whereas in order to enable citizens of the Union, economic operators and 
regional and local authorities fully to benefit from the advantages 
deriving from the establishing of an area without internal frontiers, it is 
appropriate, in particular, to further the interlinking and 
interoperability of the national networks of high speed trains, together 
with access to those networks; 

Whereas a Group of Senior Officials consisting of representatives of the 
governments of the Member States, of the European Railways and of the 
European Railway Industry convened by the Commission in order to meet the 
request expressed by the Council in its resolution of 4-5 December 1989 
drew up the master plan for a European high speed train network; 

Whereas in December 1990 the Commission sent to the Council a communication 
on this high speed train network, and whereas the Council gave a favourable 
reception to this communication in its Resolution of 17 December 1990;^ 

1 
2 
3 
4 
5  OJ No L33, 8.2.1991, p. 1. 

-  18 -

Whereas Article  129c of the Treaty  provides that  the Community  shall embark  upon 
any  activity which may prove  necessary  in order to ensure  network 
interoperability,  particularly  in respect  of the harmonization  of  technical 
standards; 

Whereas  the operation  in commercial  service of high speed trains  requires  that 
there  is excellent  coherence between  the characteristics  of the  infrastructure  and 
that  of the rolling  stock; whereas  performance  levels, service quality  and  cost 
depend  upon that  coherence  and that,  in particular, the  interoperability  of  the 
European  high  speed train  network  is  founded  upon that  coherence; 

Whereas  Council Directive  91/440/EEC of  29 July  1991^ on the development  of  the 
Community's  railways means that  the  railway  companies must  have  increased  access 
to the network, which  in turn  requires  infrastructure,  equipment  and  stock 
interoperability; 

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  in service  and operation of  those 
railways; whereas, together with  the  local authorities, they  also  have 
responsibilities  in respect  of  rights  in land, regional  planning  and  the 
protection  of the environment;  whereas that  is also especially  pertinent  with 
regard  to high  speed  train  networks; 

Whereas  Directive  85/337/EEC7  requires  an assessment  of the  impact  on the 
environment  of the building  of  lines  for  long-distance  rail traffic; 

Whereas  the national  regulations  and the railways'  internal  rules and  the 
technical  specifications that  they  apply  contain major differences; whereas  these 
national  regulations  and  internal  rules  incorporate techniques that  are  specific 
to the national  industry; whereas they  require  specific dimensions  and devices and 
lay down  special  characteristics; whereas the situation  runs counter to  complete 
trains being  able to run normally without  changing  locomotives  at  frontiers 
throughout  the European  network; 

Whereas,  over the years, this  situation  has  forged very  close  links between  the 
national  railway  industry  and the  national  railways, to the detriment  of  the 
genuine opening  up of contracts;  whereas,  in order to enhance  its  competitiveness 
at world  level that  industry must  benefit  from an open,  competitive  European 
market; 

Whereas  it  is therefore  appropriate  to define basic  safety,  health,  environmental 
and  consumer protection,  technical  compatibility  and operating  requirements  for 
all of the Community  which will  apply to the European  high  speed  train  network; 

Whereas,  in view of the extent  and  complexity  of the  system  comprising  the  high 
speed  train  network; whereas  for operating  reasons  it has proved  necessary  to 
break this down  into sub-systems; whereas  for each of these  sub-systems  it  is 

6 
7 

OJ No L 237, 24.8.1991. 
OJ L 175,  5.7.1985. 

- 19 -

necessary to describe in detail the essential requirements, lay down the basic 
parameters and determine the technical specifications needed for the whole of the 
Community, and in particular in respect of the constituents and interfaces, in 
order to meet the essential requirements; 

Whereas the European high speed train network falls within the scope of Council 
Directive 90/531/EEC of 17 September 1990 on the procurement procedures of 
entities operating in the water, energy, transport and telecommunications 
sectors;8 whereas in order to comply with that directive the procurement bodies 
must include technical specifications in the general documents or in the 
specifications for each contract; whereas it is necessary to build up a body of 
European specifications in order to serve as references for those technical 
specifications; 

Whereas, within the meaning of Directive 90/531/EEC, a European specification is 
a common technical specification, a European technical approval or a national 
standard transposing a European standard;  whereas a harmonized European standard 
is to be drawn up by a European standardization body, such as the CEN, the 
CENELEC or the ETSI, to the order of the Commission and that its reference will 
be published in the Official Journal of the European Communities; 

•Whereas an international system of standardization which is able to generate 
standards which are actually used by those involved in international trade and 
which meet the requirements of Community policy are attractive to the Community; 
whereas the European standardization bodies must therefore continue their 
cooperation with the international standardization bodies; 

Whereas the procurement bodies shall draw up the additional specifications needed 
in order to supplement the European specifications or other standards; whereas 
those specifications must not prevent the essential requirements that have been 
harmonized at Community level and which the European high speed train network 
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 Council 
Decision 90/683/EEC of 13 December 1990;9 whereas, as far as possible and in 
order to promote industrial development, it is appropriate to expand the 
procedures involving a system of quality assurance; Whereas the notion of 
constituent covers both 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 the procurement agencies will, in their specifications, lay down, in 
particular for the constituents, by referring to the European specifications, the 
characteristics which must be met, in contractual terms, by the manufacturers; 
whereas, this being the case, constituent conformity is mainly linked to their 
area of use in order to ensure and guarantee the interoperability of the system, 
and not only with their free movement on the Community market; 

Whereas it is therefore not necessary that the manufacturer should affix the CE 
logo to constituents that are now subject to the provisions of this Directive 
but, that whereas on the basis of the assessment of conformity and/or suitability 
for use 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 prejudice the obligation on the part of manufacturers 

8  OJ No L 297, 29.10.1990. 
9  OJ No L 380, 31.12.1990. 

- 20 -

to affix the CE mark to certain components in order to certify their compliance 
with other Community provisions relating to them; 

Whereas the subsystems constituting the European network must be subjected to a 
checking procedure;  whereas that checking must enable the responsible authorities 
authorizing their placing in service to be assured that at the design, 
construction and placing in service stages the result is in line with the 
regulations and technical and 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 module defining the 
principles and conditions applying to the EC checking of subsystems; 

Whereas the EC checking procedure is based on the technical specifications for 
interoperability  (TSI);  whereas those TSI are drawn up to the order of the 
Commission by the joint body representing the infrastructure managers, the railway 
companies and the industry;  whereas the reference to the TSI is required  in order 
to ensure interoperability  in the network and whereas those TSI are subject to the 
provisions of Article 13 of Directive 90/531/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 sub-systems must, in particular in the absence of 
any European specification, coordinate their decisions as closely as possible; 
whereas the Commission must ensure that this is indeed the case by enlisting, in 
particular, the opinion of the parties concerned and that of the Committee 
comprising representatives designated by the Member States as set up by the 
Directive; 

Whereas the Council Directive on the development of Community railways 
(91/440/EEC) requires a separation of activities, in accounting terms, between 
transport service operation and those concerning railway infrastructure 
management; whereas, this being the case, the specialized services provided by the 
railway infrastructure managements 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 these meet the same 
criteria; 

Whereas interoperability within the European high speed train network is 
Community-wide in scale;  whereas the Member States are in no position, on an 
individual basis, to take the action needed in order to achieve that 
interoperability;  whereas it is therefore necessary that this action bè taken at 
Community level; 

HAS ADOPTED THIS DIRECTIVE: 

- 21 -

CHAPTER I 

GENERAL 

ARTICLE 1 

This Directive applies to the conditions which must be met in order to 
achieve interoperability within the European high speed train network. 

It concerns the design, construction, gradual placing in service and 
operation of the high speed train network. 

The high speed train network consists of links likely to be travelled 
by railway rolling stock that is suitable for high speeds. 

The overall geographical and physical data relating to the system 
comprising the European high speed train network is as follows: 

- master plan; 
- different types of line; 
- rolling stock; 
- coherence of infrastructures and rolling stock, 

as described in Annex I. 

ARTICLE 2 

1.  This Directive applies to the provisions concerning, for each sub 

system, the parameters, constituents, interfaces and procedures needed 
and adequate in order to ensure and guarantee interoperability within 
the European high speed train network, while at the same time meeting 
the essential requirements of Article 4. 

2.  The provisions of this Directive shall apply without prejudice to the 
relevant provisions of other Community directives, in particular with 
regard to the European specifications concerning constituents save 
where, particularly in the case of sensitive constituents, the meeting 
of the essential requirements of this Directive requires the use of 
individual European specifications drawn up for that purpose. 

1.  For the purposes of this Directive: 

ARTICLE 3 

1.1 The expression "European network" means the European high speed 

train network. 

(5) 

1.2  The  European  network  s h a ll  be  subdivided  i n to  e i g ht  "subsystems"  as 

-  22 

-

f o l l o w s: 

* infrastructure; 
* energy; 
* maintenance; 
* signalling control/command; 
* rolling stock; 
* environment; 
* operation; 
* users 

as described in Annex II. 

1.3 The term "constituents" means any elementary component, group of 

components, sub-assembly or complete assembly of equipment 
incorporated or intended to be incorporated into a subsystem. 

1.4 The term "sensitive constituents" means constituents upon which the 
interoperability of the European network depends either directly or 
indirectly. 

Within the meaning of this Directive interoperability within the 
European high speed train network refers to all of the regulatory 
technical or operational conditions which must be met in order to 
ensure, without interruption, movements by high speed trains on 
infrastructure within that network which accomplish the specified 
levels of performance. 

ARTICLE 4 

1.  The European network or any parts of that network, subsystems and their 
constituents to which this Directive applies shall meet the essential 
requirements set out in Annex II. 

2.  The additional technical specifications, referred to in Article 13(4) 

of Directive 90/531, needed in order to supplement the European 
specifications or the other standards in use within the Community, must 
meet the basic requirements. 

ARTICLE 5 

1.  Each of the subsystems referred to in Article 3  (1.2), is covered by a 

mandatory technical specification for interoperability  (TSI). 

2.  Where necessary in order to achieve interoperability within the 

European network the TSIs: 

*  lay down the essential requirements in detail; 
*  establish the basic parameters and in particular those set out in 

Annex IV; 

- 23 -

*  determine the sensitive constituents and interfaces which must be 
covered by European specifications, the European standards for 
which are needed in order to achieve interoperability within the 
European network while meeting the essential requirements; 
*  state, in each case under consideration, which of the modules 

defined in Council Decision 90/683/EEC are to be used in order to 
assess either conformity or suitability for use. 

3.  The TSIs shall be drawn up to the order of the Commission by the joint 
body representing the infrastructure managers, railway companies and 
the industry. Those orders shall be drawn up in accordance with the 
procedure laid down in Article 21(2). 

4.  When these have been drawn up by the body provided for in paragraph 3 

the TSI should be adopted in accordance with the procedure laid down in 
Article 21(2).  The TSI shall be published by the Commission  in the 
Official Journal of the European Communities. 

- 24 -

CHAPTER II 

SENSITIVE CONSTITUENTS 

ARTICLE 6 

Member States shall take all necessary steps to ensure that the sensitive 
constituents referred to in Article 5(2): 

-  are only placed on the market if they enable interoperability to be 

achieved within the European network while at the same time meeting the 
essential requirements referred to in Article 4; 

-  are used in their area of use as intended and are suitably installed 

and maintained. 

ARTICLE 7 

Member States may not, on their territory and on the basis of this 
Directive prohibit, restrict or hinder the placing on the market of 
sensitive constituents, where intended for use on the European network, if 
they comply with the Directive. 

ARTICLE 8 

1.  Member States shall consider as complying with all of the essential 

provisions of this Directive those sensitive constituents referred to 
in Article 5 which bear the "CE" declaration of conformity or 

. suitability for use, the components of which are set out in Annex V. 

2.  Compliance of a sensitive constituent with the essential requirements 
applying to it is established in relation to any relevant European 
specifications that may exist. 

3.  The references to European specifications, which are either common 

technical specifications or European technical approvals, within the 
meaning of Directive 90/531/EEC, or are national standards transposing 
European standards, shall be published in the Official Journal of the 
European Communities. 

Member States shall publish the references to the national standards 
transposing the harmonized standards. 

4.  In the absence of any European specifications without prejudice to the 

provisions of Article 12, 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 

- 25 -

ARTICLE 9 

Where it emerges, at the request of a Member State or on the initiative of 
the Commission that the European specifications referred to in Article 8(2) 
do not fully meet the essential requirements referred to in Article 4, a 
Decision shall be taken as to whether to withdraw, or otherwise, the 
European specifications concerned from the publications referred to in 
Article 8(3) in accordance with the procedure laid down in Article 21(2), 
after consulting the Committee set up under Directive 83/189/EEC, where 
European standards are concerned. 

ARTICLE 10 

1.  Where a Member State confirms that a sensitive constituent covered by 
the "CE" declaration of conformity or suitability for use as referred 
to in Article 8(1) and placed on the market is likely, when used as 
intended, not to meet the essential requirements referred to in 
Article 4, it shall take all necessary steps to restrict its area of 
use or to prohibit said use.  That Member State shall forthwith inform 
the Commission of the measures taken and shall state its reasons for 
its decision stating, in particular, whether the failure to conform is 
due to 

(a) failure to meet the essential requirements;. 
(b) incorrect application of the European specifications referred to in 

Article 8 where application of the specifications is invoked; 

(c) where the European specifications referred to in Article 8 are 

inadequate. 

2.  The Member State shall consult the parties concerned as quickly as 
possible.  Where, following that consultation, the Commission 
establishes that the measure has been justified, it shall forthwith 
inform the Member State that has taken the initiative, together with 
the other Member States, thereof.  Where, following that consultation 
the Commission establishes that the measure is unjustified it shall 
forthwith inform the Member State having taken the initiative, together 
with the manufacturer or his authorized representative established 
within the Community, thereof. 

Where the decision referred to in paragraph 1 is iustified by the 
existence of a gap in the European specifications referred to in 
Article 8 the procedure defined in Article 9 shall apply. 

3.  Where a non-complying sensitive constituent bears the "CE" declaration 

of conformity referred to in Article 8 the competent Member State shall 
take the 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 progress made by and the results of the said procedure. 

- 26 -

ARTICLE 11 

1.  In order to be able to draw up the "CE" declaration of conformity or 

suitability for use of a sensitive constituent, its manufacturer or his 
authorized representative established within the Community shall apply 
the modules deriving from Decision 90/683/EEC under the conditions set 
out in the TSIS referred to in Article 5. 

2.  Where so required by the TSIs the assessment of conformity or 

suitability for use of a sensitive constituent shall be introduced by 
the notified body referred to in Article 20 with which the manufacturer 
or his authorized representative established within the Community has 
lodged the application. 

3.  Where the sensitive constituents are covered by other Community 

Directives covering other aspects, the "CE" declaration of conformity 
or suitability for use shall, in such instances, state that the 
constituents also meet the requirements of those other Directives. 

4.  Where neither the manufacturer nor his authorized representative 

established within the Community have not met the requirements of the 
preceding paragraphs those obligations shall rest upon any person who 
places that sensitive constituent on the market.  The same obligations 
shall apply to whomsoever assembles sensitive constituents or parts of 
sensitive constituents having diverse origins or who manufactures the 
sensitive constituents for his own use. 

5.  Without prejudice to the provisions of Article 10: 

(a) in each instance where a Member State confirms that the CE 
declaration of conformity has been drawn up improperly the 
manufacturer or his authorized agent established within the 
Community shall be required to restore the sensitive constituent to 
a state of conformity and to terminate the infringement under the 
conditions laid down by that Member State; 

(b) where the non-conformity persists the Member State shall take all 

appropriate steps to restrict or prohibit the placing on the market 
of the sensitive constituent at issue, or to ensure that it is 
withdrawn from the market in accordance with the procedures 
provided for in Article 10. 

ARTICLE 12 

1.  In order to ensure coherent application of this Directive in the 
assessment of conformity or suitability for use of sensitive 
constituents the Commission shall ensure that the decisions by the 
notified bodies shall be closely coordinated, especially where there 
are no European specifications. 

2.  The coordinating meetings by the notified bodies shall be held at the 

request either of the Commission, or of the Committee referred to in 
Article 21, or on their own initiative. 

At the request of the Commission each Member State may be called upon 
to appoint, in restricted terms, the notified bodies taking part in the 
coordinating meetings. 

3.  The activities conducted within the coordinating meetings may lead to 
the laying down of common technical specifications which describe, in 
particular, all of the operations needed to confirm compliance of the 
sensitive constituents with this Directive 

- 27 -

CHAPTER III 

SUB-SYSTEMS 

ARTICLE 13 

Each Member State shall authorize the placing in service of those 
subsystems, referred to in Annex II, constituting the European network which 
are located on its territory or which pass through it. 

For this purpose Member States shall take all necessary steps in order that 
the subsystems to which this Directive applies may only be placed in service 
if they are designed, constructed and installed and/or operated in such a 
way as not to hinder the meeting of the essential requirements concerning 
them. 

ARTICLE 14 

Member States may not, on their territory and on the basis of this 
Directive, prohibit, restrict or hamper the construction, placing in service 
and operation of subsystems constituting the European network and complying 
with the essential requirements of this Directive. 

ARTICLE 15 

1.  Member States shall consider as being interoperable and meeting the 

essential requirements concerning them, as referred to in Article 4, 
those subsystems constituting the network which are covered by the "CE" 
checking declaration, the components of which are given in Annex VI, 
accompanied by the technical file provided for in Article  17(4). 

2.  Where any of the TSIs referred to in Article 5 exist reference shall be 
made to these when checking that interoperability meets the essential 
requirements of a sub-system constituting the European network. 

3.  In the absence of TSIs and without prejudice to the provisions provided 
for in Article 18, Member States shall send the other Member States and 
the Commission  a list of the technical rules in force in order to 
implement the essential requirements. 

ARTICLE 16 

If it emerges, at the request of a Member State or on the initiative of the 
Commission that the TSIs referred to in Article 5(2) do not fully meet the 
essential requirements referred to in Article 4, a Decision shall be taken 
as to whether to withdraw those TSIs, or otherwise, from the publications in 
accordance with the procedure laid down in Article 21(2). 

- 28 -

ARTICLE 17 

1.  In order to be in a position to draw up the "CE" declaration of 

conformity, the procurement entity or its official representative shall 
apply the "CE" checking procedure defined in Annex VII. 

2.  The "CE" checking procedure shall be examined at the request of a 

procurement entity, or its official representative, by the notified body 
referred to in Article 20, which it has selected for that purpose. 

3.  The activities of  the notified body responsible for the "CE" checking 
of a sub-system shall begin at the design stage and shall cover all of 
the manufacturing period up to the type approval stage before a sub 
system is placed in service. 

4.  The notified body shall build up the technical file that has to 

accompany the "CE" declaration of conformity.  That technical file must 
contain all of the necessary documents relating to the characteristics 
of the sub-system and, where appropriate, all of the documents 
certifying conformity of the sensitive constituents.  It must also 
contain all of the aspects relating to the conditions and limits of use 
and to the instructions concerning servicing, constant or routine 
monitoring, adjustment and maintenance. 

ARTICLE 18 

1.  In order to ensure consistent application of the "CE" subsystem checking 
procedure the Commission shall ensure that the decisions of the notified 
bodies referred to in Article 20 are closely coordinated. 

2.  The meetings of the notified bodies shall be held at the request of the 
Commission, of the Committee referred to in Article 21, or on their own 
initiative. 

3.  The activities conducted within the coordinating meetings may lead to 

the laying down of technical specifications which describe, in 
particular, all of the operations needed to confirm compliance of the 
subsystems with this Directive. 

4.  These technical specifications are TSIs which are subject to the 

provisions of Article 5(3) and (4). 

ARTICLE 19 

1.  Where a Member State feels that a subsystem covered by the CE 

declaration of conformity accompanied by the technical file does not 
fully comply with this Directive and in particular does not meet the 
essential requirements referred to in Article 4, it may request 
additional checks before authorizing the placing in service of that 
subsystem on its territory. 

- 29 -

2.  Where a Member State feels that a subsystem having received the CE 

declaration of conformity accompanied by the technical file does not 
fully comply with this Directive and in particular does not meet the 
essential requirements referred to in Article 4, and its placing in 
service is likely to hamper the capacity for interworking within the 
European network, it may ask the Member State on the territory of which 
the subsystem  is located that additional checks be carried out before 
authorizing  its placing in service. 

3.  The Member State making the request shall forthwith inform the 

Commission of any additional checks requested and summarize the 
justifications for this.  The Commission shall without delay initiate 
the procedure provided for in Article 18. 

(6) 

- 30 -

CHAPTER IV 

NOTIFIED BODIES 

ARTICLE 20 

1.  Member States shall notify the Commission and the other Member States of 
the bodies responsible for carrying out the procedure for the assessment 
of conformity or suitability for use referred to in Article 11 and the 
checking procedure referred to in Article 17, stating for each of these 
the area of competence. 

The Commission  shall assign identification numbers to these and shall 
publish, in the Official Journal of the European Communities, the list 
of those bodies and their identification number, and shall keep this 
updated. 

2.  Member States shall apply the criteria provided for in Annex VIII for 

the assessment of the bodies to be notified.  Any bodies meeting the 
assessment criteria provided  for in the relevant harmonized  standards in 
the EN.45.000 series shall be assumed to meet said criteria. 

3.  Any Member State which has appointed a body must withdraw its 

notification  if it confirms that that body no longer meets the criteria 
referred to in Annex VIII. 

- 31 -

CHAPTER V 

COMMITTEE 

ARTICLE 21 

1.  The Commission shall be assisted by an Advisory Committee on guided 

transport systems consisting of representatives of the Member States and 
chaired by the Commission's representatives. 

2.  The Committee may have laid before it any matter arising from the 
implementation and practical application of this Directive, in 
accordance with the following procedure. 

The Commission's representative shall submit to this Standing Committee 
a draft of the measures to be taken.  Said Committee shall deliver its 
opinion on this draft within a deadline which the Chairman may lay down 
in the light of the urgency of the matter at issue, where appropriate by 
taking a vote.  That opinion shall be entered in the record;  moreover 
each Member State has the right to ask that is own position be set out 
in that record. 

The Commission shall take the fullest account possible of the opinion 
delivered by the Committee.  It shall inform said Committee of the 
manner in which it has taken account of that opinion. 

3.  The Committee may discuss any matter whatsoever concerning the 
interoperability of the European high speed train network. 

4.  Should it prove necessary, the Committee may set up working parties to 

aid it in carrying out its tasks. 

- 32 -

CHAPTER VI 

FINAL PROVISIONS 

ARTICLE 22 

Any decision taken in implementation of this Directive which restricts the 
awarding of contracts and/or the use within a subsystem of constituents, the 
checking of subsystems constituting the European network, and any decisions 
taken in implementation of Articles 9, 10, 16 and 19 shall be justified in 
detail.  The interested party shall be notified thereof as quickly as 
possible, together with a statement of the remedies offered by the laws in 
force in the Member State concerned and the deadlines within which those 
remedies may be introduced. 

ARTICLE 23 

1.  Member States shall amend and adopt the laws, regulations and 

administrative provisions in such a way as to authorize the use of 
sensitive constituents and the placing in service and operation of 
subsystems which comply with this Directive by, at the latest, 
30 June 1997, and shall forthwith inform the Commission thereof. 

2.  When the Member States adopt the provisions referred to in paragraph 1, 
the latter shall contain a reference to this Directive, or shall be 
accompanied by such a reference on their official publication.  The 
details of that reference shall be laid down by the Member States. 

This Directive shall enter into force 21 days after its publication in 
the Official Journal of the European Communities. 

ARTICLE 24 

Done at Brussels, 

For the Council 
The President 

- 33 -

ANNEX I 

EUROPEAN  HIGH SPEED TRAIN  NETWORK 

GEOGRAPHICAL AND PHYSICAL DATA 

The master  plan 

The master  plan  for the European  high speed  train network, which  is 
restricted  to the  reference  features that are essential  to  its 
structuring,  is that  set out  in the report by the group of  senior 
officials. 

It includes  new and  upgraded  lines and links. 

This master plan, which the Council received  favourably  in  its 
Resolution  of  17 December  1990 in order to complete this by  the  year 
2010,  is periodically  reviewed  in accordance with  the procedures  drawn 
up  for that purpose. 

The  lines 

A distinction  is drawn  in the master plan between three types of  line: 

lines equipped  for speeds of generally  not  less than  250 km/h; 
lines arranged  for speeds of about 200 km/h; 
other  lines making up the European  network. 

The urban  sections of  line, whatever their  characteristics, are  treated 
on the  same basis as the  lines of which they  are extensions. 

Rolling  stock 

The high-speed  advanced-technology  trains must  be designed  in  such  a way 
as to guarantee  a high  level of comfort  and  safety  at the  following 
speeds: 

at  least  250 km/h on the new lines; 
of  about  200 km/h on the existing  upgraded  lines; 
the highest  level possible on the other lines. 

Cohesion between  infrastructures  and rolling  stock 

High  speed train  services presuppose  the existence  of excellent  cohesion 
between  the  characteristics  of the  infrastructure  and those  of  the 
rolling  stock.  Performance  levels, service quality  and  cost depend  upon 
that  cohesion. 

- 34 -

ANNEX II 

EUROPEAN HIGH SPEED TRAIN NETWORK 

SUBSYSTEMS 

For the purposes of this directive the system constituting the European 
network is broken down into eight subsystems, as follows: 

1.1  structural subsystems: 

* 
* 
* 
* 
* 

infrastructures 
energy 
maintenance 
control-command 
rolling stock 

1.2  operational subsystems: 

* 
* 
* 

environment 
operation 
users 

2.  The aspects of each subsystem linked with the interoperability of the 

European network are as follows: 

2.1  Infrastructures 

Base parameters: speed and gradients 

2.1.1.  Profile 

1. Loading gauge 
2. Radii of curvature 
3. Tunnel geometry 
4. Bridges and viaducts 
5. Track pitch 
6. Side protection 

2.1.2  Track 

1. Gauge and tolerances 
2. Cant and cant inadequacy 
3. Length of junctions 
4. Rail turnouts 
5. Axle loadings and stressing withstood 
6. Permissible defects and wear limits 
7. Equipment  (geometry and crossing speed) 

- 35 -

2.1.3  Stations 

1. Platform geometry 

2.2 Energy 

2.2.1  Electricity supply system 

1. Type of current  (voltage and frequency) 
2. Permissible swings and surge voltages 
3. Protection of installations 

2.2.2  Catenaries 

1. Geometry and components 
2. Power factor 
3. Catenary/pantograph dynamics 
4. Materials used 

2.3 Maintenance  (dépôts, workshops) 

2.3.1  Train washers 
2.3.2  Toilet emptying system 
2.3.3  Hoisting equipment 
2.3.4  Specific equipment 

*2.4 

Signalling control and command 

2.4.1  Cabin signalling system 
2.4.2  ATP* (speed control) 
2.4.3  ATO**  (automatic train operation) 
2.4.4.  Information required on board 
2.4.5  Track-train information transmission 
2.4.6  On-board information processing and visualization for the 

driver 

2.4.7  Telecommunications: 

- ground-train radio 
- passenger telephone 

*  Automatic Train Protection. 
**  Automatic Train Operation. 

- 36 -

2.5 Rolling stock 

2.5.1  Definition of train sets 

1. Composition of train 
2. Mass 
3. Loading gauge 
4. Shell-structure characteristics 
5. The leak-tightness requirements in respect of pressure 
variations 
6. Aerodynamic characteristics 

2.5.2  Wheel-rail contact 

1. Wheel profile and wear criteria 

2.5.3  Traction 

1. Acceleration performance and residual acceleration 

2. Maximum hill start (normal and degraded state) 

2.5.4  Braking 

1. Braking performance 
2. Conditions under which braking safety is assured 
3. Possible use of supplementary brakes not affecting grip 
4. Performance of anti-lock devices 
Current collection  (as a function of the type of current 
used) 

2.5.5 

- See Item 2.2.2, catenaries 

2.5.6  Passenger safety 

1. Safety of door-close monitoring system 
2. Fire protection 
3. Alarm signal 

2.6 Environment 

2.6.1  Noise emission 
2.6.2  Vibrations 
2.6.3  Outside electromagnetic  interference 

2.7 Operation 

2.7.1 

Staff and regulations 

- 37 -

1. Ergonomics of drivers' cabin 
2. Regulations  (under normal and degraded  situations) 
3. Language used 

2.7.2 

Technology 

1. On-board diagnostic system 
2. Transmission of data between train and ground 
3. Reliability criteria 
4. Availability level 
5. Hot-box detectors 

2.8 Users 

2.8.1  Quality of on-board service 

1. Internal noise level 
2. Characteristics of air conditioning 
3. Passenger information 
4. On-board services (including restaurants) 
5. Luggage capacity 
6. Accessibility for handicapped travellers 

2.8.2 

Marketing 

1. Reservation system 
2. Information system 

\ 

- 38 -

ANNEX III 

ESSENTIAL REQUIREMENTS 

Nature of requirements 

The essential requirements which the European high speed train network 
and its constituents must meet cover the following areas: 

1.1  Safety 

In addition to obeying the general safety rules system safety is 
ensured when the risk of derailment or collision between trains or 
other obstacles have been overcome. 

This means that account must be taken of the consequences of any 
safety component failures. 

1.2 Reliability - availability 

The commercial operation of a high speed train service requires the 
permanent maintenance of a sufficient level of availability of the 
relevant functions, and thus of guaranteeing an adequate level of 
reliability for all of the components. 

The consequences of any failures of those components must be taken 
into account, thus enabling the degraded situations that are 
permissible to be defined. 

1.3. Human health 

It is a matter in this case of envisaging the consequences of the 
presence and operation of the system under abnormal or exceptional 
conditions in relation to persons, whoever they may be: users, 
railway staff, track side dwellers, etc. ... 

1.4  Environmental protection 

The requirements in this area are intended to define a framework to 
be maintained in view of the fact that the construction, presence 
and operation of a high speed train system necessarily change their 
environment, whether in visual, physical, noise, vibratory, 
electromagnetic etc. terms. 

- 39 -

1.5  Consumer protection 

This area concerns consumer expectations as regards the level of 
quality of high speed train services and the transparency of the 
transport conditions. 

1.6 Technical compatibility 

This area covers the technical measures enabling the network to 
operate.  These measures are grouped together in two complementary 
categories of condition: 

- 

conditions permitting continuity of travel by a train from one 
point to another on the network.  These conditions require that any 
train moving within the network encounters installations that are 
compatible with its own characteristics and the performance that it 
must achieve; 

conditions which, on a given section, permit satisfactory operation 
of the system in respect of performance, reliability and specified 
safety.  At each point in the network these conditions require 
control of the interfaces between the constituent subsystems. 

2.  General requirements 

2.1  Safety 

2.1.1  The design, construction or assembly, maintenance and 

monitoring of safety-critical components, and more 
particularly of the components involved in train movements 
must guarantee safety at the level corresponding to the 
aims laid down for the network, including the specific 
degraded situations. 

2.1.2  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. 

2.1.3  The components used must withstand any normal or 

exceptional stressing that has been specified during their 
period in service.  The repercussions on safety of any 
fortuitous failures must be limited by appropriate means. 

2.1.4  The design of 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. 

- 40 -

2.1.5  Any devices intended to be manipulated by users must be 
designed in such a way as not to impair their safety if 
used in a forseeable manner that is not  in accordance with 
the posted instructions. 

2.2 Reliability - availability 

- 41 -

2.2.1  The monitoring and maintenance of static or moveable 

components that are involved in train movements must be 
organized, carried out and quantified  in such a manner as 
to sustain their operation under the intended conditions. 

2.2.2 

The design of the train services and of the devices used to 
provide user information must guarantee reliable, quality 
commercial operations. 

2.3 Human health 

2.3.1  The materials used in trains and infrastructures must not 
constitute a health hazard to those persons having access 
to them. 

2.3.2  Those materials must be selected and used in such a way as 

to restrict the emission of harmful and dangerous fumes, 
particularly in the event of fire. 

2.4 Environmental protection 

2.4.1  The repercussions on the environment of the provision and 

operation of the European high speed train network must be 
assessed and taken into account during the design of that 
network.  In accordance with the provisions of 
Directives 85/337/EEC,* 79/409/EEC** and 92/43/EEC. ** * 

2.4.2  The materials used in the trains and infrastructures must 

avoid the emission of fumes or gases which are harmful and 
dangerous to the environment, above all in the event of 
fire. 

2.4.3  The rolling stock and energy supply systems must be 

designed and produced in such a way as to be compatible, in 
electromagnetic terms, with the public or private 
installations, equipment and networks with which they might 
interfere. 

*  Directive on the assessment of the effects of certain public and private 

projects on the environment, OJ L 175, July 1985. 

**  Directive on the conservation of wild birds, OJ L 103, 25.4.1979. 
*** Directive on the conservation of natural habitats and of wild fauna and 

flora, OJ L 206, 22.7.1992. 

2.5  Consumer  protection 

-  42 -

2.5.1 

The design  of  the  service offered  on  the European  high 
speed  train  network must  guarantee  that  users  receive 
reliable  and quality  commercial  operation. 

2.6 Technical  compatibility 

2.6.1 

2.6.2 

The technical  characteristics  of  the  infrastructures and 
static  installations  must  be  compatible  with  each  other  and 
with  those of  the trains  intended  to travel  within  the 
European  high  speed  train  network. 

Adherence  to these  compatible  technical  characteristics  it 
obligatory  for  all  new  infrastructures and  rolling  stock 
that  is to travel  within  the  European  high  speed  train 
network. 
If adherence  to  these characteristics  proves difficult  on 
certain  sections  of the network,  temporary  solutions,  which 
ensure  compatibility  in the  future, may  be  implemented. 

3.  Requirements  specific  to each  subsystem 

3.1  Infrastructures 

3.1.1 

Safety 

Steps must  be taken  to avoid  access  to or  undesirable 
intrusions  into the  installations  for  the  lines  that  are 
travelled  at  high  speed. 

Steps must  be taken  to restrict  the dangers  to which 
persons  are exposed,  particularly  in stations  through  which 
trains  are passing  at  high  speed. 

Infrastructures to which  the  public  has access must  be 
designed  and  produced  in such  a way  as to restrict  any 
human  health  hazards  (stability,  fire, access, 
evacuation,...). 

3.1.2 

Consumer  protection 

The geometrical  characteristics of  the platforms  must 
permit  safe access  to the carriages  making  up the  trains 
for all  categories  of  passenger. 

3.1.3 

Technical  compatibility 

Station  platforms  must  be compatible  with  access  to  the 
rolling  stock  serving  them. 

- 43 -

3.2 Energy 

3.2.1 

Safety 

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

3.2.2  Environmental protection 

The functioning of the energy supply systems must not 
interfere with the environment beyond the specified limits. 

3.2.3  Technical compatibility 

The electricity supply systems used throughout the European 
high speed train system must: 

enable trains to achieve the specified performance 
levels; 

be compatible with the collection devices fitted to 
the trains. 

3.3 Maintenance 

3.3.1  Health 

The technical installations and the procedures used in the 
maintenance centres must not constitute a danger to human 
health. 

3.3.2  Environmental protection 

The technical installations and the procedures used in the 
maintenance centres must not give rise to nuisances with 
regard to the surrounding environment. 

3.3.3  Technical compatibility 

The maintenance installations for the high speed trains 
must enable the safety, health and comfort operations to be 
carried out on all of the trains for which they have been 
designed. 

3.4  Signalling  control-command 

3.4.1 

Safety 

-  44 -

The  signalling  control-command used  on the European  high 
speed  train  network must enable trains to travel  at the 
safety  level  intended  for the network. 

3.4.2 

Technical  compatibility 

All  new high  speed  infrastructures  and all new high  speed 
stock manufactured  or developed  after adoption  of 
compatible  signalling  and automatic  stopping  systems must 
be tailored  to the use of those systems. 

•The signalling  control-command equipment  installed  within 
the train drivers' cabs must permit normal operation, under 
the specified  conditions, throughout the European  high 
speed train  network. 

3.5  Rolling  stock 

3.5.1 

Safety 

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

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

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

Measures will  have to be taken to prevent  access  to 
electrically-live  constituents  in order  not to  endanger 
human  life. 

In the event  of danger a device must  enable passengers  and 
accompanying  staff to contact the driver. 

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

Emergency  exits must be provided. 

3.5.2 

Human  health 

The  interior  appointments of the carriages must guarantee a 
high  level  of passenger  and  staff  safety. 

3.5.3  Reliability - availability 

- 45 -

The design of the vital, running, traction and braking 
equipment together with control-command must, in a specific 
degraded situation, enable the train to continue without 
adverse consequences for the equipment remaining in 
service. 

3.5.4  Consumer protect ion 

The performance of high 6peed trains must guarantee high 
quality commercial operation. 

3.5.5  Technical compatibility 

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

The characteristics of the current collection devices must 
enable trains to travel under the energy supply systems for 
the European high speed train network. 

3.6 Environment 

3.6.1  Health 

Operation of the European high speed train network must 
remain within the noise-nuisance limits laid down. 

3.6.2  Environmental protection 

Operation of the European high speed train network must not 
cause ground vibrations which are able to have adverse 
effects on activities and the environment passed through 
that are close to the infrastructure and in a normal state 
of maintenance. 

3.7 Operation 

3.7.1  Safety 

- 46 -

Alignment of the network operating rules and the 
qualification of drivers and on-board staff must guarantee 
safe international operation. 

The operations and maintenance intervals, the training and 
qualification of maintenance staff and the quality 
assurance system set up in the maintenance centres of the 
operators concerned must guarantee a high level of safety. 

3.7.2  Reliability - availability 

The operations and maintenance periods, the training and 
qualification of the maintenance staff and the quality 
assurance system set up by the operators concerned  in the 
maintenance centres must guarantee a high level of system 
reliability and availability. 

3.7.3  Technical  compatibility 

The alignment of the operating rules of the networks and 
the qualification of drivers, on-board staff and the 
management of traffic must guarantee operating efficiency 
on the European high speed train network. 

3.8 Users 

3.8.1  Safety 

An emergency lighting system having a sufficient  intensity 
and duration is an absolute requirement. 

Trains must be equipped with an internal telephone system 
permitting two-way communication between the driver and on 
board staff. 

- 47 -

ANNEX IV 

EUROPEAN HIGH SPEED TRAIN NETWORK 

BASIC PARAMETERS 

Infrastructures 

-  Minimum  loading gauges 
-  Minimum radii of curvature 
-  Track gauge 
-  Maximum track stressing 
-  Minimum platform length 

Platform height 

Energy 

-  Power supply voltage 
Catenary geometry 

Signalling control-command 

-  ERTMS* characteristic 

Rolling stock 

-  Axle loading 
-  Maximum train length 
-  Loading gauge 

Minimum braking characteristics 
-  Boundary electrical characteristics 
Boundary mechanical characteristics 

Environment 

v 

Boundary characteristics linked with noise 
-  Boundary characteristics linked with vibrations 
-  Boundary characteristics linked with electromagnetic  interference 

European  Rail Traffic  Management  System, 

Users 

- 48 -

Boundary characteristics linked with inside noise 
Boundary characteristics  linked with air conditioning 
Characteristics linked with the carriage of invalids 

- 49 -

ANNEX V 

SENSITIVE CONSTITUENTS 
"CE" declaration 

- of conformity 
- of suitability for use 

1.  Sensitive constituents 

The "CE" declaration applies to the sensitive constituents involved in 
interoperability on the European network, as referred to in Article 2. 
these 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 specifically intended  for railway 
applications. 

2.  Scope 

The "CE" declaration covers: 

either the assessment by a notified body or bodies of the intrinsic 
conformity of a sensitive constituent, considered in isolation, to the 
technical specifications to be met; 

or the assessment/judgment  by a notified body or bodies of the 
suitability for use of a sensitive constituent, considered within its 
railway environment and in particular in the case where the interfaces 
are involved, in relation to the technical specifications, and in 
particular those of a functional nature, which are to be checked. 

- 50 -

The assessment procedures implemented by the notified bodies at the design 
and production stages shall draw upon the modules defined in Council 
Decision 90/689/EEC of 13 December 19901 in accordance with the conditions 
referred to in the following TSIs. 

3.  Contents of the "CE" declaration 

The "CE" 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 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 manufacturer or constructor). 

Description of sensitive constituent  (make, type, etc.). 

Description of the procedure followed in order to declare conformity, 
suitability for use^1) (Article 11). 

All of the relevant descriptions met by the sensitive 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^1) 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. 

Where appropriate, names and specifications referring to the common 
technical specification  (Article 12). 

Identification of signatory having received powers to engage the 
manufacturer or his authorized representative established within the 
Community. 

OJ No 380, 31 December 1990. 

- 51 -

ANNEX VI 

SUBSYSTEMS 

•CE" DECLARATION OF VERIFICATION 

The "CE" 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 procurement 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 procurement entity.); 

-  brief description of subsystem; 

-  name and address of the notified body which has conducted the "CE" 

inspection referred to in Article 17; 

-  the document references contained in the technical file; 

all of the relevant temporary or final provisions to be met by the 
subsystems and in particular, where appropriate, any operating 
restrictions or conditions; 

if temporary:  duration of validity of the "CE" declaration; 

- 

identity of signatory. 

-  52 -

ANNEX VII 

SUBSYSTEMS 

"CE" CHECKING 

1.  CE checking  is the procedure whereby  a notified  body  checks  and 

certifies,  at the request of a procurement  entity  or  its  authorized 
representative  within the Community, that a  sub-system: 

- 

complies with the Directive; 
complies with the other regulations deriving  from the EEC 
Treaty. 

2.  The subsystem  is checked  in accordance with each of the  following 

stages: 

- 

- 

overall  design; 
structure of  sub-system,  including,  in particular, 
civil-engineering activities, constituent  assembly,  overall 
adjustment; 
final testing  of the  subsystem. 

3.  The notified  body  responsible  for CE checking  shall draw up the 

certificate  of  conformity  intended  for the procurement  entity  or  its 
authorized  representative within the Community, which  in turn  shall  draw 
up the CE  checking declaration  intended  for the  supervisory  authoritity 
in the Member  State within which the subsystem  is located  and/or 
operated. 

4.  The technical  record  accompanying  the checking  statement  shall be made 

up as follows: 

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 data  processing 
and  automatic  systems, operating  and maintenance manuals, 
etc. ; 

list of  constituents, as referred  to  in Article  2, 
incorporated  into the  subsystem; 

- 53 -

copies of the "CE" declarations of conformity or 
suitability for use with which said constituents must be 
provided in accordance with Article 11 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 by the notified body responsible for "CE" 
checking stating that the project complies with this 
Directive, accompanied by corresponding calculation notes 
referred to by itself, and stating, where appropriate, the 
reservations recorded during performance of the activities 
and which would not have been raised, and accompanied by 
the inspection visit and audit reports written as part of 
those activities, as stated in detail in items 5.3 and 5.4 
below. 

5.  Monitoring 

5.1 

5.2 

5.3 

5.4 

The aim of the "CE" monitoring is to ensure that the 
obligations deriving from the technical record have been 
met during production of the sub-system. 

The notified body responsible for checking production shall 
have constant access to building sites, production 
workshops, storage areas and, where appropriate, 
préfabrication or testing facilities and, more generally, 
all premises which could be considered necessary for the 
accomplishment of its intended purpose. 

The procurement entity or its authorized representative 
within the Community must send it or have sent to it all of 
the documents needed for that purpose and in particular the 
implementation plans and technical records concerning the 
subsystem. 

The body notified in order to check implementation shall 
periodically carry out "audits" in order to confirm 
compliance with the Directive.  It shall provide those 
responsible for implementation with an audit report.  It 
may require access to certain stages of the building 
operations. 

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 shall provide the persons responsible 
for implementation with a visit report and, if appropriate, 
an audit report. 

6.  The complete record referred to in paragraph 4 shall be lodged with the 
procurement entity or its authorized agent within the Community in 
support of the certificate of conformity delivered by the notified body 
responsible for checking the sub-system in working order.  The record 
shall be attached to the "CE", checking declaration which the procurement 
entity shall send to the supervisory authority in the Member State 
concerned. 

- 54 -

A copy of the record shall be kept by the procurement entity 
throughout the service life of the sub-system.  It shall be sent to 
any other Member States who so request. 

7.  Each body shall periodically pass on relevant information concerning the 

following: 

the requests for CE checking received; 
the certificates of conformity issued; 
the certificates of conformity refused. 

8.  The records and correspondence relating to the CE checking procedures 
shall be written in an official language of the Member State in which 
the procurement entity or its authorized representative is established 
within the Community, or in a language accepted by the Community. 

- 55 -

ANNEX VIII 

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 
checking operations may not become involved either directly or as 
authorized representatives in the design, manufacture, construction, 
marketing or maintenance of the sensitive constituents or of the 
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 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 incentive, 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 that are required, in 
order adequately to perform the technical and administrative tasks that 
are linked with the conducting of checks.  It should also have access to 
the equipment needed for exceptional checks. 

4.  The staff responsible for checking shall possess: 

- 

proper technical and vocational training; 
a satisfactory knowledge of the requirements relating to 
the checks that it carries out and sufficient practice in 
those checks; 
the abilities needed in order to draw up certificates, 
records and reports which are the tangible outcome 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 inspections performed or on the results of those inspections. 

6.  That body shall 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. 

- 56 -

The staff of that body are bound by professional confidentiality with 
regard to everything that they learn in the performance of their 
functions  (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. 

- S " *-

FINANCIAL STATEMENT 

SECTION 1: FINANCIAL IMPACT 

1.  TITLE OF OPERATION 

Proposal for a Council Directive on the interoperability of the European 
high speed train network. 

2.  BUDGET HEADINGS INVOLVED 

B 5.300: completion of the internal market  (partial funding of the 
preparation of the TSIs in 1994). 
Budget heading B2-704 could possibly be called upon to contribute. 

3.  LEGAL BASIS 

Article 129d of the EC Treaty. 

4.  DESCRIPTION OF OPERATION 

4.1  General objectives 

Definition of objectives, scope, essential requirements and 
procedures. 

Drawing-up of a body of technical specifications for 
interoperability  (TSI) that are mandatory in nature, and of 
harmonized standards in order to ensure interoperability within the 
European high speed train network while meeting the essential 
requirements. 

4.2  Period covered 

The budgetary request covers spending from 1993 onwards.  It is 
specific with regard to the drawing-up of the harmonized standards 
and the management of the adaptation of the technical 
specifications governing interoperability.  It is restricted in 
time to 1997 in respect of the preparation of the technical 
specifications for interoperability  (TSI). 

4.3  Target population 

In mobility terms: the general populace and economic operators; in 
terms of the interoperability of the European network: the 
administrative staff of the railway companies and of the industry. 

-S8-

5.  CLASSIFICATION  OF EXPENDITURE OR  REVENUE 

5.1  Compulsory/non-compulsory  expenditure 

Non-compu1sory 

5.2  Differentiated/non-differentiated  appropriations 

Differentiated 

5.3  Type, of  revenue  involved 

Nil 

6.  TYPE OF EXPENDITURE OR  REVENUE 

6.1  100% subsidy 

No 

6.2  Subsidy  for  joint  financing with other  sources  in the public  and/or 

private  sector 

Yes 

6.3  Interest  subsidy 

No 

6.4  Other 

Nil 

6.5  Should  the operation  prove an economic  success,  is there provision 

for all or part of the Community  contribution  to be  reimbursed? 

No 

6.6  Will the proposed  operation  cause any  change  in the  level of 

revenue? 
If so, what  sort  of change  and what  type of  revenue  is involved? 

No. 

~5"<>>-

FINANCIAL  IMPACT 

7.1  Method  of calculating  total cost of  operation 

A  distinction  should be drawn between expenditure arising  from  the 
preparation  of the technical  specifications  for  interoperability 
(TSI) and those  linked with the drafting  of  the  standards needed  in 
order  to implement  the TSI. 

As part of  the budget procedure concerned,  provision  should  be 
made, with  regard to the TSI, for the corresponding  means  for 
coordinating the activities of the ten working  parties  set up by 
the  industry  and railways  (CCFE and UIC/IUR) responsible  for 
drawing  up the technical  specifications  for  interoperability  (TSI) 
concerning  the  following eight  sub-systems:  infrastructure,  power 
supply, maintenance, control-command,  rolling  stock, environmental, 
operation, users.  There will also be two coordinating groups: 
"sub-system  interfaces" and  "conformity  assessment".  The main 
technical  activities of the working parties will  be carried  out  by 
the  industry  and the railways.  The Commission  will  provide 
financial  support  for these working parties'  activities.  The 
Commission will also pay  for the meetings of  the  technical 
committee.  The Community  contribution  to the drafting of a TSI  is 
an estimated  ECU 250 000. 

The number of standards will be specified  in each TSI.  Once  a TSI 
has been adopted the remit  for drawing up standards will be 
conferred  upon the CEN and CENELEC.  Estimate: +/- 300 standards, 
the estimated  cost of a standard being ECU  50 000. 

7.2  Itemized breakdown of cost 

Breakdown 

budget  budget  1995 
year 93  year 94 

1996 

1997 

TSI: 

MECU  1  MECU  1  MECU 

Standards 

0.5 

MECU 
1.5 

MECU 
3 

Total: 

MECU  1  MECU  1  MECU  2  MECU  3 

— 6& — 

7.3  Operating expenditure  for studies, expert meetings, etc., included 

in part B 

Breakdown 

1993 

1994 

1995 

1996 

1997 

Total  1993-1997 

expert  meeting 

MECU 
0.03 

MECU 
0.03 

MECU 
0.03 

MECU 
0.03 

MECU 
0,120 

7.4  Indicative  schedule of appropriations  for  commitment 

1993 
budget 

1994 
budget 

Indicative  programming 

1995 

1996 

1997 

MECU 
1.03 

MECU 
1.03 

MECU 
1.03 

MECU 
1.03 

Total 
1993-
1997 

MECU 
7,120 

State  if any  initial  forecasts are contained  in the  financial  statement 

8.  FRAUD  PREVENTION MEASURES PROVIDED  FOR  IN THE  PROPOSED  ACTION 

Any  inspection  and  audit procedures will be  included  in the  framework 
contract  linking  the Commission with the CEN  and  CENELEC. 

The Commission's  departments will check  subsidies  or the receipt of 
services of preparatory,  feasibility  or assessment  studies ordered 
before  payment, while taking  account of the contractual  terms and  the 
principles  of economy  and  sound  financial or overall management. 
Anti-fraund  measures  (inspection,  forwarding  reports, etc.  ...) are 
included  in all of the agreements or contracts  between the Commission 
and  the  recipients of payments. 

- 6A-

9. 

ELEMENTS  OF  COST-EFFECTIVENESS  ANALYSIS 

9.1  Objectives 

Specific  objective(s):  links with the more  general aims and the 
other activities put  forward  in the  indicative  financial programme. 

There are currently  no common measures  that  are essential  to the 
movement  of  high-speed  trains, and there  is no standardization.  As 
part of  the creation  of the European  high  speed  train  network  and 
of  the completion  of  the  internal market  by  opening  up public 
contracts and  improving  the competitiveness  of this  industrial 
sector, these activities are  intended  to pave way  for the Community 
measures  and  harmonized  standards needed  to achieve  network 
interoperability  while meeting the essential  requirements. 

9.2  Grounds  for the operation 

The  regulations  and  technical  rules currently  applying  preclude  the 
movement  of HSTs with  in the European  network. 

The  forging of  international  links such  as Transmanche  and the PBKA 
(Paris-Brussels-Cologne-Amsterdam)  which were  negotiated  on a step 
by  step basis, results  in a sharp increase  in the cost of  rolling 
stock as compared  with those applying on a  national  network.  The 
differences between  the existing national  arrangements, as  regards 
both components  and  the overall system  at  issue, require 
manufacturers, just  like the specific  requirements, to  redefine 
their equipment  for each contract, and  thus  counter to any 
economies of scale. 

This  situation  thus  restricts the development  of any European  high 
speed  train network.  It makes  it more difficult  to boost  the 
competitiveness  of  a European  industry on world  markets.  It 
prevents  railway  components  and stock  from  being produced  and  used 
at European level. 

It  is not possible  to contemplate either  voluntary  standardization 
by  those  involved  or a mutual recognition  of  the  national 
regulations.  The absence of both a common  regulatory  philosophy 
and of  common criteria does not enable  a European  network  to be set 
up or  an open-competitive market to be provided  without  prior 
definition of essential  requirements and  basic parameters. 

9.2.1 
9.2.2 

9.2.3 

Cost 
Knock-on  effects 
(Impact beyond the specific  aim(s)). 
Multiplier  effects 
(Capacity  for mobilizing other sources of  finance) 

-Gl~ 

9.3  Monitoring  and evaluation of the operation 

N/A 

9.4  Coherence with  financial  programming 

9.4.1 

9.4.2 

Is the operation  incorporated  in the DG's  financial 
programming  for the relevant  years? 
Yes 

To which broader objective defined  in the DG's  financial 
programming  does the objective of the proposed  operation 
correspond? 
-  trans-European networks; 
-  technical  harmonization; 
-  internal market. 

9.4.3 

Main  factors of uncertainty which may  affect  the  specific 
outcome of the operation. 
N/A 

10. ADMINISTRATIVE  EXPENDITURE  (PART A OF THE  BUDGET) 

This section of  the  financial  statement must, be  sent  to DGs  IX and XIX 
DG  IX will  then  forward  it to DG XIX  for  its opinion. 

10.1 Will the proposed  operation  involve an increase  in the number of 

Commission  staff? 
N/A 

10.2 Indicate the amount of  staff and administrative  expenditure 

involved  in the proposed  operation. 
Explain  the method  of  calculation. 

Item 

Breakdown 

1995 

1996 

1997 

1998 and  subsequent 
periods 

A  2510  Committee 

85 000* 

85 000* 

85 000* 

85 000' 

A 250 

Coordination**  - 

85 000* 

85 000* 

85  000* 

* 

12 EG 
12 EP 
Basis  for calculation: 

ECU  7418 x 5 meetings  = 37 090 
ECU 9420 x 5 meetings  « 47 100 

EG: ECU  618 
EP: ECU 785 

**  Coordination  of  the notified  bodies as part of  the Article  18 procedure 

— é'5  - £ l f-

IMPACT ASSESSMENT 

IMPACT OF THE PROPOSAL ON BUSINESSES AND 
IN PARTICULAR SMALL AND MEDIUM-SIZED BUSINESSES 

TITLE OF PROPOSAL: 

Directive of the Council of the European Union on the interoperability of 
the European high speed train network 

DOCUMENT REFERENCE NUMBER: 

THE PROPOSAL': 

!•  Subsidiarity: Need for Community provisions 

Main objectives 

There are at the moment no common means of ensuring the movement of 
high-speed trains throughout the European network. 
The proposed action is intended to prepare the Community arrangements 
and the harmonized standards needed for achieving  interoperability 
within the European high speed train network as part of the opening up 
of contracts and the boosting of the competitiveness of the railway 
sector as a whole. 

The regulations and technical and operational arrangements currently in 
force do not enable complete high-speed trains to move throughout the 
European network.  The links such as Transmanche and PBKA (Paris-
Brussels -Cologne-Amsterdam) , which were negotiated on a step-by-step 
basis, greatly increases the cost of rolling stock as compared with that 
achieved on a national network.  The differences between the existing 
national arrangements as regards both constituents and the system viewed 
as a whole and also the specific requirements require manufacturers, to 
redesign their equipment for each market, thus undermining the 
achievement of economies of scale. 

This situation therefore restricts the development of a European high 
speed train network.  It makes it more difficult to boost the 
competitiveness of the European industry on the world markets.  It 
hampers the production and use of railway equipment at European level. 

Voluntary standardization by those involved and the mutual recognition 
of national regulations cannot be contemplated.  The absence of both a 
common regulatory philosophy and of common criteria does not enable a 
European network and an open, competitive market to be set up without 
prior definition of essential requirements and basic parameters. 

-  6T~ 

IMPACT ON  COMPANIES 

2 *  Who will be affected  by the  proposal? 

Which business  sectors? 

Railway  equipment manufacturers, railway  companies, infrastructure 
management, building  contractors. 

What  sizes of  company? 

Railway-equipment production  is centred  on  large companies  which 
will have to adjust  to the technical  specifications  for 
interoperability.  SMBs are involved  in the  shape of 
subcontractors. 

Market  share held by  large companies  and by SMBs  for all types of 
railway  rolling  stock/estimated  value  for  1990 

GEC 
Alsthom 

ABB 

SIEMENS 

SMBs 

23% 

17.5% 

10.5% 

approx. 20% 

Number of persons employed by  railway equipment  manufacturers: 

interurban 

urban 
suburban 

signalling 

track  side 
structures 

50 000 

25 000 

15 000 

15 000 

Total:  105 000 persons 

Are these companies  located  in specific  geographical  areas of the 
Community? 

The producers of high-speed  railway  equipment  are mainly  spread 
among  Belgium, France, Germany,  Italy and the United  Kingdom. 

3.  What  action must companies take  in order to comply with the proposal? 

Manufacturers: implementation  of the technical  specifications for 
interoperability,  of the harmonized  standards  and of the  conformity 
procedures. 

The procurement  agencies: reference to the technical  specifications for 
interoperability  and the harmonized  standards when  concluding  contracts, 

CG 

The railway  companies  and the  infrastructure management: checking of 
subsystems before placing  in service  in line with  essential 
requirements, on the basis of  the technical  specifications  for 
interoperability.  Mutual  recognition of declarations  of  conformity. 

4.  What  is the  likely  economic outcome of the  proposal? 

on  investments  and the creation of  new companies: 

the  interlinking  and  interoperability  of the  high  speed  train 
network will permit  better  access to cities, and more  particular 
those of medium  size, which will  enable,  in particular, SMBs to 
expand  and develop their  activities towards  and  from these. 

- 

on  jobs: 

by promoting  the occupation  of new premises  and growth  of 
activities  by the SMBs,  interconnection  and  interoperability  will 
help to create  jobs.  This should  help to expand  the  tertiary 
sector. 

on company  competitiveness: 

interoperability  will  help to improve the  competitiveness  of  large 
companies  and of  SMBs at Community  level  and  at world market  level. 
Interoperability  will help, above all, in opening  up contracts, 
which will enable SMBs  further to specialize  in their  production 
and to maintain  commercial  relationships with  several  producers 
whereas they  are currently most often  linked to just one.  They 
will therefore be able to benefit more  from  longer production  runs 
and thus boost  their own competitiveness. 

5.  Does the proposal  contain  any measures  intended  to take account  of  the 

specific  situation  of  small  and medium-sized  businesses? 

No. 

6.  List  of bodies consulted  on the proposal  and  having  explained  their 

basic  situation: 

- 

Member  State government  experts have expressed  wide  agreement  on 
the need  for a directive  and on the approach  selected,  more 
particularly  as regards  the drawing-up of  technical  specifications 
for  interoperability  having  regulatory  force, and  cooperation 
between the Commission,  industry  and railways  in any  such 
preparatory  work, and the conformity-assessment  procedures. 

- 

The UNIFE and the main railway-equipment manufacturers were 
actively  involved  in drafting  the proposal  for a directive. 

The CCFE  (Community  of European Railways)  and the UIC  (IUR 
International  Union of Railways) approve the proposal  for a 
directive with  in respect  of both  its necessity  and  structure. 

ISSN 0254-1475 

COM(94) 107 final 

DOCUMENTS 

EN 

07 

Catalogue number : CB-CO-94-131-EN-C 

ISBN 92-77-67207-2 

Office for Official Publications of the European Communities 
L-2985 Luxembourg