Proposal for a DIRECTIVE OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL on the interoperability of the trans-European conventional rail system
Date: 1999-11-25
Institutions: European Commission
Subjects: carriage of goods, carriage of passengers, organisation of transport, rail transport, trans-European network

28.3.2000

EN

Official Journal of the European Communities

C 89 E/11

Proposal for a directive of the European Parliament and of the Council on the interoperability of
the trans-European conventional rail system

(2000/C 89 E/05)

(Text with EEA relevance)

COM(1999) 617 final (cid:151) 1999/0252(COD)

(Submitted by the Commission on 29 November 1999)

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF
THE EUROPEAN UNION,

Having regard to the Treaty establishing the European
Community, and in particular Article 156 thereof,

Having regard to the proposal from the Commission,

Having regard to the opinion of
Committee,

the Economic and Social

Having regard to the opinion of
Regions,

the Committee for

the

Whereas:

(1) In order

to enable citizens of

the Union, economic
operators and regional and local authorities to benefit to
the full from the advantages deriving from the establishing
of an area without internal frontiers, it is appropriate, in
particular, to improve the interlinking and interoperability
of the national rail networks as well as access thereto;

(2) The commercial operation of trains throughout the trans-
European rail network requires excellent compatibility
between the characteristics of
the infrastructure and
those of the rolling stock, as well as efficient intercon-
nection of the information and communication systems of
and operators.
infrastructure managers
the different
Performance levels, safety, quality of service and cost
depend upon such compatibility and interconnection, as
does,
the trans-
European conventional rail system;

the interoperability of

in particular,

(3) To achieve these objectives an initial measure was taken
by the Council on 23 July 1996 with the adoption of
Directive 96/48/EC concerning the interoperability of
the trans-European high-speed rail system (1);

(4) In its White Paper entitled (cid:145)A strategy for revitalising the
the Commission
Community’s
announced a second measure in the conventional rail

railways(cid:146) (2)

in 1996,

rail

systems,

sector and then ordered a study on the integration of
national
results of which were
the
published in May 1998 with the recommendation of the
adoption of a directive based on the approach taken in
the high-speed sector. This study also recommended that,
rather than tackling all the obstacles to interoperability
head on, problems should be solved gradually to an
order of priority based on the cost-benefit ratio of each
project. In this study the harmonisation of procedures and
rules in use and the interconnection of information and
communication systems were shown to be more effective
than measures, for example, concerning infrastructure;

(5) The Commission Communication on (cid:145)Integration of
conventional rail systems(cid:146) recommends the adoption of
this directive and justifies
the similarities and main
differences compared with the directive adopted in the
high-speed sector. The main differences lie in the adap-
tation of the geographical scope, in the extension of the
technical scope to take account of the results of the above
study and in the adoption of a gradual approach to elim-
inating obstacles to the interoperability of the rail system;

(6) Article 155 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 harmonisation of technical
standards;

(7) The Council of 6 October 1999 asked the Commission to
propose a strategy for improving rail interoperability and
eliminating bottlenecks in order to remove obstacles of a
technical, administrative and economic nature, while guar-
anteeing a high level of safety and personnel training and
qualifications;

(8) Pursuant to Council Directive 91/440/EEC of 29 July 1991
railways (3)
on the development of
railway companies must have increased access to the
network, which
infrastructure,
turn
equipment and stock interoperability;

the Community’s

requires

in

(1) OJ L 235, 17.9.1996.
(2) COM(96) 421, 30.7.1996.

(3) OJ L 237, 24.8.1991, p. 25.

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(9) 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. Together with the local authorities, they
also have responsibilities in respect of rights in land,
regional planning and environmental protection;

(10) National regulations and the railways’ internal rules and
the technical
specifications which the railways apply
contain major differences. These national regulations and
internal rules incorporate techniques that are specific to
the national industries. They prescribe specific dimensions
and devices and special characteristics. This situation runs
counter to trains being able to run smoothly throughout
the European network;

(11) Over the years, this situation has created very close links
between the national railway industries and the national
railways, to the detriment of the genuine opening-up of
contracts.
In order to enhance their competitiveness at
world level these industries require an open, competitive
European market;

(12) It

is

therefore appropriate to define basic essential
requirements for the whole of
the Community which
will apply to the trans-European conventional rail system;

(13) In view of

system,

the extent and complexity of

the trans-
European conventional
it has proved
rail
necessary, for practical reasons, to break this down into
subsystems. For each of these subsystems the essential
requirements must be specified and the technical specifi-
the Community,
cations determined for the whole of
particularly in respect of constituents and interfaces,
in
order to meet these essential requirements;

(16) To

include technical

appropriate
rail
in the

on
provisions
the
comply with
procurement procedures
sector, and in
particular directive 93/38/EEC (1), the contracting entities
must
in the general
documents or in the specifications for each contract. To
this end it is necessary to build up a body of European
specifications in order to serve as references for these
technical specifications;

specifications

(17) Within the meaning of Directive 93/98/EEC, a European
specification is a common technical
specification, a
European technical approval or a national standard trans-
posing a European standard. Harmonised European
standards are drawn up by a European standardisation
body such as the European Committee for Standardisation
(CEN), the European Committee for Electrotechnical Stan-
dardisation (Cenelec) or the European Telecommunications
Standards Institute (ETSI), to the order of the Commission
and their references published in the Official Journal of the
European Communities;

(18) An international system of standardisation capable of
generating standards which are actually used by those
involved in international
the
requirements of Community policy would be in the
interest. The European standardisation
Community’s
bodies must
therefore continue their cooperation with
the international standardisation bodies;

trade and which meet

(19) The

define

contracting

entities must

further
requirements needed to complete European specifications
or other standards. These specifications must not prevent
the essential requirements that have been harmonised at
Community level and which the trans-European conven-
tional rail system must satisfy, from being met;

the

(14) Implementation of the provisions on the interoperability
of the trans-European conventional rail system must not
create unjustified cost-benefit barriers to the preservation
of the existing rail network of each Member State, but
must endeavour to retain the objective of interoperability;

(20) The procedures governing the assessment of conformity
or of suitability of use of constituents must be based on
the modules covered by Council Decision
the use of
93/465/EEC (2). As
to
is appropriate to
promote industrial development,
expand the procedures involving a system of quality
assurance. The
covers both
tangible objects and intangible objects such as software;

far as possible and in order
it

concept of

constituent

(15) Each Member State concerned should be allowed not to
apply certain technical specifications for interoperability
in special cases, provided that there are procedures to
ensure that these derogations are justified. Article 155
of the Treaty requires the Community activities in the
field of interoperability to take account of the potential
economic viability of projects;

(1) Council Directive 93/38/EEC of 14 June 1993 coordinating the
procurement procedures of entities operating in the water, energy,
transport and telecommunications sectors (OJ L 199, 9.8.1993, p.
84), as amended by the 1994 Act of Accession and as last amended
by Directive 98/4/EC of
the
the European Parliament and of
Council of 16 February 1998 amending Directive 93/38/EEC.
(2) Council Decision of 22 July 1993 concerning the modules for the
various phases of the conformity assessment procedures and the
rules for the affixing and use of
the CE conformity marking,
which are intended to be used in the technical harmonisation
directives (OJ L 220, 30.8.1993, p. 23).

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(21) The suitability for use of the most critical constituents as
regards safety, availability or system economy should be
assessed;

(22) The contracting entities lay down in their specifications, in
the constituents, by reference to the
the characteristics which must

particular
for
European specifications,
be met, in contractual terms, by the manufacturers;

in accounting terms, between transport service operation
and those concerning railway infrastructure management.
This being the case, the specialised 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.
Other specialised bodies may be notified where these meet
the same criteria;

(23) This being the case, constituent conformity is mainly
to ensure and
linked to their area of use in order
guarantee the interoperability of
the system, and not
only to their free movement on the Community market;

(30) The measures needed to implement

this Directive are
measures of a general nature within the meaning of
Article 2 of Council Decision 99/468/EC of 28 June
1999 laying down the procedures for the exercise of
implementing powers conferred on the Commission (1);

(24) It is therefore not necessary for a manufacturer to affix
the CE marking to constituents that are now subject to the
provisions of
the
assessment of
suitability for use
conducted in accordance with the procedures provided
for
the manufacturer’s
declaration of conformity is sufficient;

this Directive. On the basis of
conformity and/or

that purpose in the Directive,

(25) That does not affect the obligation on manufacturers to
affix the CE marking to certain components in order to
certify their compliance with other Community provisions
relating to them;

(26) The subsystems constituting the trans-European conven-
tional rail system must be subjected to a verification
procedure. This verification must enable the authorities
responsible for authorising 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.
It
must also enable manufacturers to be able to count
upon equality of treatment whatever the country.
It is
therefore necessary to lay down a module defining the
principles and conditions applying to (cid:145)EC(cid:146) verification of
subsystems;

(27) The (cid:145)EC(cid:146) verification procedure is based on technical spec-
ifications for interoperability (TSIs). These TSIs are drawn
up to the order of the Commission by the joint body
representing the infrastructure managers,
the railway
companies and the industry. The reference to TSIs is
required in order to ensure interoperability of the trans-
European conventional rail system. These TSIs are subject
to the provisions of Article 18 of Directive 93/38/EEC;

(31) Interoperability within the trans-European conventional
rail system is Community-wide in scale. No individual
Member State is in a position to take the action needed
in order to achieve this interoperability.
It is therefore
necessary for this action to be taken at Community level,

HAVE ADOPTED THIS DIRECTIVE:

CHAPTER I

General provisions

Article 1

1.
In accordance with Articles 154 and 155 of the Treaty,
this Directive sets out to establish the conditions to be met to
achieve interoperability within the Community territory of the
trans-European conventional rail system, as described in Annex
I. These conditions concern the design, construction, putting
into service, upgrading, renewal, operation and maintenance of
the parts of this system put into service after the date of entry
into force of this Directive.

The resultant technical harmonisation must also make for
in the equipment and services needed to
renew, upgrade and operate the trans-European

2.
a single market
construct,
conventional rail system.

Article 2

For the purposes of this Directive:

(28) The notified bodies

for

examining the
responsible
procedures for conformity assessment and suitability for
the use of constituents, together with the procedure for
the assessment of subsystems must, in particular in the
absence of any European specification, coordinate their
decisions as closely as possible;

(a)

rail

(cid:145)trans-European conventional
system(cid:146) means
the
structure, as described in Annex I, composed of
lines
and fixed installations, of
the trans-European transport
rail
built
network,
transport and combined rail transport, plus the rolling
stock designed to travel on that infrastructure;

conventional

upgraded

for

or

(29) Council Directive 91/440/EEC on the development of
Community railways requires a separation of activities,

(1) OJ L 184, 17.7.1999, p. 23.

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(b)

(c)

(d)

(e)

(f)

(g)

(h)

(i)

(j)

(cid:145)interoperability(cid:146) means the ability of the trans-European
conventional rail system to allow the safe and uninter-
trains which accomplish the
rupted movement of
expected levels of performance for
these lines. This
ability rests on all the regulatory, technical and operational
conditions which must be met
in order to satisfy the
essential requirements;

(k)

the trans-European
(cid:145)specific case(cid:146) means any part of
conventional rail system which needs special provisions
in the TSIs, either temporary or definitive, because of
geographical,
or
compatibility with the existing system constraints;

topographical,

environment

urban

the trans-European conventional

(cid:145)subsystems(cid:146) means the subdivision, as shown in Annex II,
of
system into
structural and functional subsystems for which essential
requirements must be laid down;

rail

group of
of

constituents(cid:146) means
components,
equipment

(cid:145)interoperability
any
elementary
component,
subassembly or
or
complete
incorporated
intended to be incorporated into a subsystem upon
which the interoperability of the trans-European conven-
tional rail system depends directly or indirectly;

assembly

(cid:145)essential requirements(cid:146) means all the conditions set out in
Annex III which must be met by the trans-European
conventional rail system, the subsystems, the interoper-
ability constituents and the interfaces;

(cid:145)European specification(cid:146) means a common technical spec-
ification, a European technical approval or a national
standard transposing a European standard, as defined in
points 8 to 12 of Article 1 of Directive 93/38/EEC;

for

specifications

(cid:145)technical
interoperability(cid:146), hereinafter
referred to as (cid:145)TSIs(cid:146) means the specifications by which
each subsystem or part subsystem is covered in order to
meet the essential requirements and ensure the interoper-
ability of the trans-European conventional rail system;

(l)

(cid:145)upgrading(cid:146) means any major modification work on a
subsystem or part subsystem which requires fresh author-
isation for putting into service within the meaning of
Article 14;

(m) (cid:145)renewal(cid:146) means any major

substitution work on a
subsystem or part subsystem which requires fresh author-
isation for putting into service within the meaning of
Article 14.

Article 3

This Directive applies to the provisions concerning, for
1.
each subsystem, the interoperability constituents, the interfaces
and procedures as well as the conditions of overall compati-
bility of the trans-European conventional rail system required
achieve its interoperability.

The provisions of

to any other
in the case of

this Directive shall apply without
2.
relevant Community provisions.
prejudice
However,
interoperability constituents and
interfaces compliance with the essential requirements of this
Directive may require the use of individual European specifi-
cations drawn up for that purpose.

Article 4

The trans-European conventional rail system, subsystems,
the

1.
interoperability constituents and interfaces must meet
relevant essential requirements.

representative body(cid:146) means

the body bringing
(cid:145)joint
together representatives of
the infrastructure managers,
railway companies and industry which is responsible for
drawing up the TSIs. (cid:145)Infrastructure managers(cid:146) means those
referred to in Articles 3 and 7 of Directive 91/440/EEC;

2.
The further technical specifications referred to in Article
18(4) of Directive 93/38/EEC which are necessary to complete
European specifications or other standards in use within the
Community must not conflict with the essential requirements.

(cid:145)notified bodies(cid:146) means the bodies which are responsible
for assessing the conformity or suitability for use of the
interoperability constituents or
for appraising the (cid:145)EC(cid:146)
procedure for verification of the subsystems;

CHAPTER II

Technical specifications for interoperability

Article 5

(cid:145)basic parameters(cid:146) means any regulatory, technical or oper-
ational condition which is critical to interoperability and
requires a decision in accordance with the procedure laid
down in Article 21 before any development of draft TSIs
by the joint representative body;

Each of the subsystems shall be covered by a TSI. Where
1.
necessary, especially for treating categories of
lines, hubs or
rolling stock separately, or to solve certain interoperability
problems as a matter of priority, a subsystem may be
covered by several TSIs.
In this case the provisions of this
Article also apply to the part of the subsystem concerned.

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Subsystems must comply with the TSIs; this compliance
2.
must be permanently maintained while each subsystem is in
use.

or does not have the authority needed to draw up a particular
TSI another authorised body shall be designated by the same
procedure.

3.
To the extent necessary in order to achieve interoper-
ability of the trans-European conventional rail system and the
single market referred to in Article 1, each TSI shall:

(a) lay down essential

requirements

for

each subsystem

concerned and its interfaces vis-(cid:224)-vis other subsystems;

(b) establish the functional and technical specifications to be
met by the subsystem and its interfaces vis-(cid:224)-vis other
subsystems, for each of the categories of line and/or hub
provided for in Annex I;

(c) establish possible implementing rules in specific cases;

(d) determine the interoperability constituents and interfaces
which must be
covered by European specifications,
including European standards, which are necessary to
achieve interoperability within the trans-European conven-
tional rail system;

(e) state,

in each case under consideration, which of
the
modules defined in Decision 93/465/EEC or, where appro-
priate, which specific procedures are to be used to assess
either the conformity or the suitability for use of interoper-
ability constituents and (cid:145)EC(cid:146) verification of subsystems;

for

(f) propose, where necessary, an indicative timetable and a
strategy
the
technical and/or geographical stages to be completed for
achieving
trans-European
conventional rail system.

interoperability within

implementing

the TSIs,

including

the

4.
Each TSI shall be drawn up on the basis of an exam-
ination of an existing subsystem and indicate a target
subsystem that may be obtained gradually within a reasonable
the gradual adoption of TSIs and
time-scale. Accordingly,
compliance therewith will help gradually to achieve the inter-
operability of
rail system
while retaining, as far as possible, the compatibility of the
existing railway network in each Member State.

the trans-European conventional

Article 6

Draft TSIs

shall be drawn up to the order of

the
1.
Commission in accordance with the procedure set out
in
Article 21(2). TSIs shall be adopted and reviewed by the
same procedure. They shall be published by the Commission
in the Official Journal of the European Communities.

3.
The joint representative body or, where appropriate, the
authorised body in question shall be responsible for preparing
the review and updating of TSIs and making recommendations
to the Committee referred to in Article 21 in order to take
account of developments in technology or social requirements.

4.

Each draft TSI shall be drawn up in two stages.

First of all, the joint representative body shall identify the basic
parameters for this TSI. The most viable solutions accompanied
by technical and economic justification shall be put forward for
each of these parameters and a decision taken in accordance
with the procedure set out in Article 21(2).

The joint representative body shall then draw up the draft TSI
on the basis of those basic parameters. Where necessary, the
joint representative body shall take account of standardisation
work already carried out, of working parties already in place
and of acknowledged research work.

The drafting, adoption and review of TSIs shall

5.
account of
required so as to establish and put
viable solutions.

the estimated cost of

the technical
into effect

take
solutions
the most

To this end, the joint representative body or, where appro-
priate, the authorised body shall attach to each draft TSI a
global assessment of the estimated costs and benefits of the
solution put forward. This evaluation shall note the impact
anticipated for
and agents
concerned. Member States shall participate in this assessment
by providing the requisite data.

economic operators

the

all

The Committee referred to in Article 21 shall be kept
6.
regularly informed of
the preparatory work on the TSI.
During this work the Committee may formulate any useful
recommendations concerning the design of the TSIs and the
cost-benefit analysis.

The date of entry into force of each TSI adopted shall be
7.
established in accordance with the procedure provided for in
Article 21(2).

The joint representative body shall be designated in
2.
accordance with the procedure set out
it
shall comply with the rules laid down in Annex VIII. Where
the joint representative body does not comply with these rules

in Article 21(2);

Article 7

A Member State may opt not to apply certain TSIs, including in
connection with rolling stock,
in the following cases and
circumstances:

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(cid:151) for any element referred to Article 1(1) at an advanced
stage of development when these TSIs are published, or

(cid:151) for any project concerning the renewal or upgrading of an
existing line where the basic parameters of these TSIs are
the existing line and the
not compatible with those of
application
the
of
economic viability of the project and the compatibility of
the rail system in the Member State.

TSIs would

compromise

these

In both of these cases the Member State concerned shall serve
prior notice of its intended derogation to the Commission and
shall forward to it a file setting out the TSIs or the parts of TSIs
that it wishes not to apply as well as the corresponding spec-
ifications that it does wish to apply. The Commission shall
the measures envisaged by the Member
examine whether
take a decision in accordance
State are justified and shall
with the procedure in Article 21(2). Where necessary, a recom-
mendation shall be drawn up concerning the specifications to
be applied.

CHAPTER III

Interoperability constituents

Article 8

Member States shall take all necessary steps to ensure that
interoperability constituents:

(cid:151) are placed on the market only if they enable interoper-
ability to be achieved within the trans-European conven-
tional rail system while at
the same time meeting the
essential requirements,

Compliance of an interoperability constituent with the
2.
respective essential requirements or
the suitability for use
shall be established in relation to the conditions laid down
by the corresponding TSI,
including any relevant European
specifications that may exist.

The

references

to European specifications

3.
shall be
published in the Official
the European Communities
Journal of
and mentioned in the respective TSI. When the relevant
European specifications are published after adoption of
the
TSI, they must be taken into account as soon as the TSI are
revised.

4. Member States shall publish the references to national
standards transposing European standards.

5.
As regards the period prior to the publication of a TSI, in
the absence of any European specifications and without
prejudice to Article 20(5), Member States shall
inform the
other Member States and the Commission of the standards
and technical specifications in use in order to implement the
essential requirements. This notification shall be made within
12 months of the date of entry into force of the Directive.

6. Where a European specification is not yet available at the
time of adoption of a TSI, the TSI shall refer to the most
advanced version available of the draft specification that has
to be complied with or shall incorporate all or part of that
draft.

(cid:151) are used in their area of use as intended and are suitably

installed and maintained.

Article 11

These provisions shall not obstruct the placing on the market
of these constituents for other applications.

Article 9

Member States may not, in their territory and on the grounds
of this Directive, prohibit, restrict or hinder the placing on the
market of interoperability constituents for use in the trans-
European conventional rail system where they comply with
this Directive.
they may not require checks
which have already been carried out as part of the procedure
of (cid:145)EC(cid:146) declaration of conformity or suitability for use.

In particular,

Article 10

1. Member States shall consider as complying with the
essential provisions of this Directive applying to them those
interoperability constituents which bear the (cid:145)EC(cid:146) declaration of
conformity or suitability for use, the components of which are
set out in Annex IV.

Where it appears to a Member State or the Commission that
European specifications do not meet the essential requirements,
partial or total withdrawal of the specifications from the publi-
cations containing them, or their amendments, may be decided
upon in accordance with the procedure laid down in Article
the Committee set up under
21(2) after consultation of
Directive 98/34/EC of
the
Council of 22 June 1998 laying down a procedure for the
provision of information in the field of technical standards
and regulations.

the European Parliament and of

Article 12

1. Where a Member State finds that an interoperability
constituent covered by the (cid:145)EC(cid:146) declaration of conformity or
suitability for use and placed on the market is likely, when used
as intended, not to meet the essential requirements, it shall take
all necessary steps to restrict its area of application, prohibit its
use or withdraw it from the market. The Member States shall
forthwith inform the Commission of the measures taken and
give the reasons for its decision, stating in particular whether
failure to conform is due to:

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(cid:151) failure to meet the essential requirements,

5.

Without prejudice to the provisions of Article 12:

(cid:151) incorrect application of European specifications where

application of such specifications is invoked,

(cid:151) inadequacy of the European specifications.

that has

The Commission shall consult the parties concerned as
2.
quickly as possible. Where,
following that consultation, the
Commission establishes that the measure is justified it shall
forthwith inform the Member States
taken the
initiative as well as the other Member States thereof. Where,
after that consultation, the Commission establishes that the
measure is unjustified it shall forthwith inform the Member
State that has taken the initiative and the manufacturer or
established within
his
the
the decision referred to in
Community thereof. Where
paragraph 1 is
justified by the existence of a gap in
European specifications, the procedure defined in Article 11
shall apply.

representative

authorised

3. Where an interoperability constituent bearing the (cid:145)EC(cid:146)
declaration of conformity fails to comply,
the competent
Member State shall take appropriate measures against whom-
inform the
soever has drawn up the declaration and shall
Commission and the other Member States thereof.

4.
The Commission shall ensure that the Member States are
kept informed of the progress and results of that procedure.

Article 13

In order to establish the (cid:145)EC(cid:146) declaration of conformity or
1.
suitability for use of an interoperability constituent, the manu-
facturer or his authorised representative established in the
Community shall apply the provisions provided for by the
respective TSIs.

2.
Assessment of the conformity or suitability for use of an
interoperability constituent shall be appraised by the notified
body with which the manufacturer or his authorised represen-
tative established in the Community has lodged the application.

3. Where interoperability constituents are the subject of
other Community directives covering other aspects, the (cid:145)EC(cid:146)
declaration of conformity or suitability for use shall, in such
instances, state that the interoperability constituents also meet
the requirements of those other directives.

4. Where neither
the manufacturer nor his authorised
representative established in the Community has met the obli-
gations arising out of paragraphs 1, 2 and 3, those obligations
shall be incumbent on any person who places interoperability
constituents on the market. The same obligations shall apply to
whomsoever assembles interoperability constituents or parts of
interoperability constituents having diverse origins or who
manufactures interoperability constituents for his own use,
for the purposes of this Directive.

(a) in each instance where the Member State finds that the (cid:145)EC(cid:146)
declaration of conformity has been drawn up improperly,
the manufacturer or his authorised representative estab-
lished in the Community shall be required to restore the
interoperability constituent to a state of conformity and to
terminate the infringement under the conditions laid down
by that Member State;

(b) where non-conformity persists, the Member State shall take
all appropriate steps to restrict or prohibit the placing on
the market of the interoperability constituent at issue, or to
ensure that it is withdrawn from the market in accordance
with the procedures provided for in Article 12.

CHAPTER IV

Subsystems

Article 14

1.
Each Member State shall authorise the placing in service
of those structural subsystems constituting the trans-European
conventional rail system which are located in its territory or
operated by railway undertakings established there.

To this end, Member States shall take all necessary steps to
ensure that these subsystems may be placed in service only if
they are designed, constructed and installed in such a way as
not
requirements
concerning them when integrated into the trans-European
conventional rail system.

the meeting of

the essential

to hinder

Each Member State shall check at the placing in service,
2.
and at regular intervals thereafter, that these subsystems are
operated and maintained in accordance with the essential
requirements concerning them.

Article 15

Without prejudice to the provisions of Article 19, Member
States may not, in their territory and on the grounds of this
Directive, prohibit, restrict or hinder the construction, placing
in service and operating of structural subsystems constituting
the trans-European conventional rail system which meet the
essential requirements.
they may not require
In particular,
checks which have already been carried out as part of the
procedure leading to the (cid:145)EC(cid:146) declaration of verification.

Article 16

1. Member States shall consider as being interoperable and
meeting the essential requirements those structural subsystems
constituting the trans-European conventional rail system which
are covered by the (cid:145)EC(cid:146) declaration of verification.

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Verification of the interoperability, in accordance with the
2.
essential requirements, of a structural subsystem constituting
the trans-European conventional rail system shall be established
by reference to TSIs where they exist.

3.
As regards the period prior to the publication of TSIs,
Member States shall send the other Member States and the
Commission, for each subsystem, a list of the technical rules
in use for implementing the essential requirements. This shall
be notified within 12 months of the date of entry into force of
this Directive.

Article 17

Where it emerges that the TSIs do not fully meet the essential
requirements the Committee referred to in Article 21 may be
consulted at the request of a Member State or on the initiative
of the Commission.

Article 18

1.
In order to establish the (cid:145)EC(cid:146) declaration of verification,
the procurement entity or its official representative shall have
the (cid:145)EC(cid:146) verification procedure examined by the notified body
that it has selected for that purpose.

2.
The activities of the notified body responsible for the (cid:145)EC(cid:146)
verification of a subsystem shall begin at the design stage and
cover the entire manufacturing period through to the type-
It
approval stage before a subsystem is placed in service.
shall also cover verification of
the
subsystem in question with the system into which it is incor-
porated.

the compatibility of

technical

3.
The notified body shall be responsible for compiling the
technical file that has to accompany the (cid:145)EC(cid:146) declaration of
the
verification. This
file must contain all of
the
necessary documents relating to the characteristics of
subsystem and, where appropriate, all the documents certifying
conformity of the interoperability constituents.
It must also
contain all of
the elements relating to the conditions and
limits of use and to the instructions concerning servicing,
constant or routine monitoring, adjustment and maintenance.

Article 19

1. Where a Member State finds that a structural subsystem
covered by the (cid:145)EC(cid:146) declaration of verification accompanied by
the technical file does not fully comply with this Directive and
in particular does not meet the essential requirements, it may
request that additional checks be carried out.

The Member State making the request shall

2.
forthwith
inform the Commission of any additional checks requested
therefor. The
and
substantiating
the
Commission shall without delay
the procedure
provided for in Article 21(2).

reasons
initiate

set out

CHAPTER V

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 13 and the verification procedure
referred to in Article 18, indicating each body’s area of respon-
sibility.

The Commission shall assign identification numbers. It shall
publish in the Official Journal of the European Communities the
list of bodies,
identification numbers and areas of
competence, and shall keep the list updated.

their

2. Member States shall apply the criteria provided for in
Annex VII for the assessment of the bodies to be notified.
Bodies meeting the assessment criteria provided for in the
relevant European standards shall be deemed to meet the said
criteria.

3.
A Member State shall withdraw approval from a body
which no longer meets the criteria referred to in Annex VII.
It
forthwith inform the Commission and the other
Member States thereof.

shall

Should a Member State or the Commission consider that
4.
a body notified by another Member State does not meet the
relevant criteria, the matter shall be referred to the Committee
provided for in Article 21, which shall deliver its opinion
the
In the light of
within three months.
the opinion of
Committee, the Commission shall
inform the Member State
in question of any changes that are necessary for the notified
body to retain the status conferred upon it.

5. Where appropriate, coordination of the notified bodies
shall be implemented in accordance with Article 1(4).

CHAPTER VI

Committee and work programme

Article 21

1.
The Commission shall be assisted by the Committee
established by Article 21 of Directive 96/48/EC on the inter-
operability of the trans-European high-speed rail system and
composed of the representatives of the Member States and
chaired by the representative of the Commission (hereinafter
referred to as (cid:145)Committee(cid:146)).

2. Where reference is made to this paragraph, the regulatory
in Article 5 of Council Decision
procedure provided for
99/458/EC of 28 June 1999 shall apply, pursuant
to the
provisions of Article 8 thereof.

The periods provided for in Article 5(6) of Decision

3.
99/468/EC shall be set at two months.

Once this Directive enters into force,

the Committee
4.
referred to in Directive 96/48/EC may discuss any matter
relating to the interoperability of the trans-European conven-
tional rail system. Initiatives may also be taken to ensure inter-
operability between the trans-European rail system and the rail
system of third countries.

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Should it prove necessary, the Committee may set up
5.
working parties to aid it in carrying out its tasks, in particular
with a view to coordinating the notified bodies.

Article 22

1.
The Committee shall draw up a work programme which
takes account of the order of priority in drawing up the TSIs,
on the one hand, and the respective priorities of its own tasks,
on the other. This work programme shall be adopted by the
Commission in accordance with the procedure set out
in
Article 21(2).

the development of TSIs

After consultation of the joint representative body the
2.
shall be
order of priority for
for example, according to subsystems or parts of
adopted,
subsystems, categories of
rolling stock, network
hubs. The order of priority shall be established by comparing
the advantages that each TSI is likely to generate in respect of
estimated costs.

lines or

The following aspects shall be considered as priorities in the
control/command and signalling;
first work programme:
telematic applications for freight services;
traffic operation
(including staff qualifications); noise; and
and management
rolling stock.

The first work programme shall consist of the following

3.
stages:

(a) designation of the joint representative body;

(b) development on the basis of a draft established by the joint
representative body of a representative architecture of the
conventional rail system, based on the list of subsystems
to guarantee consistency between TSIs. This
(Annex 2),
architecture must
the different
in particular
constituents of this system and their interfaces and act as
a reference framework for defining the areas of use of each
TSI;

include

(c) adoption of a model structure for developing TSIs;

(d) adoption of a method of cost-benefit analysis of

the

solutions set out in the TSIs;

(e) adoption of the mandates needed to draw up the TSIs;

(f) adoption of the basic parameters for each TSI;

(g) approval of draft standardisation programmes;

CHAPTER VII

Final provisions

Article 23

Any decision taken pursuant to this Directive concerning the
assessment of conformity or suitability for use of interoper-
ability constituents, the checking of subsystems constituting
the trans-European conventional rail system and any decision
taken pursuant to Articles 11, 12, 17 and 19 shall set out in
detail the reasons on which it is based. It shall be notified as
soon as possible to the party concerned, together with an
indication of the remedies available under the laws in force
the time limits
in the Member States concerned and of
allowed for the exercise of such remedies.

Article 24

1. Member States shall bring into force the laws, regulations
and administrative provisions needed to comply with this
Directive no later than 18 months after entry into force of
this Directive. They shall forthwith inform the Commission
thereof. The fact that TSIs have not been published shall not
the above
under any circumstances justify failure to meet
deadline.

2. When Member States adopt these provisions, they shall
contain a reference to this Directive or be accompanied by
such reference on the occasion of their official publication.
The methods of making such reference shall be laid down by
the Member States.

Article 25

Every two years the Commission shall report to the European
Parliament and the Council on the progress made towards
achieving interoperability of the trans-European conventional
rail system.

To this end, the joint representative body shall develop and
regularly update a tool capable of providing, at the request
of a Member State or the Commission, a chart of the trans-
each
European conventional
component of
rolling stock
the system (lines and hubs,
series), the principal characteristics (e.g. basic parameters) and
their compliance with the characteristics laid down by the TSIs.

system showing,

rail

for

Article 26

This Directive shall enter into force on the twentieth day
following its publication in the Official Journal of the European
Communities.

(h) management of the transition period between the date of
entry into force of this Directive and publication of the
TSIs.

Article 27

This Directive is addressed to the Member States.

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ANNEX I

THE TRANS-EUROPEAN CONVENTIONAL RAIL SYSTEM

Infrastructure

The infrastructure of the trans-European conventional rail system shall be that on the lines of the trans-European
transport network identified in Decision No 1692/96/EC of the European Parliament and of the Council of 23 July 1996
on Community guidelines for the development of the trans-European transport network or listed in any update to the
same Decision as a result of the revision provided for in Article 21 of the guidelines.

For the purposes of this Directive, this network may be subdivided into the following categories:

(cid:151) lines intended for long-distance passenger services;

(cid:151) lines intended for mixed services (passengers and freight);

(cid:151) lines specially designed or upgraded for freight services (freight corridor);

(cid:151) lines intended for regional services;

(cid:151) passenger hubs;

(cid:151) freight hubs;

(cid:151) lines connecting the abovementioned components.

Rolling stock

The rolling stock shall comprise all the stock likely to travel on all or part of the trans-European conventional rail
network, including:

(cid:151) self-propelling thermal or electric trains;

(cid:151) thermal or electric traction units;

(cid:151) passenger carriages;

(cid:151) freight wagons.

Compatibility of the trans-european conventional rail system

The quality of rail services in Europe depends, inter alia, on excellent compatibility between the characteristics of the
infrastructure (in the broadest sense, i.e. the fixed parts of all the subsystems concerned) and those of the rolling stock
(including the onboard components of all the subsystems concerned). Performance levels, safety, quality of service and
cost depend upon that compatibility.

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ANNEX II

SUBSYSTEMS

1.

List of subsystems

For the purposes of this Directive, the system constituting the trans-European conventional rail system may be
broken down into subsystems, as follows:

(a) basically structural areas:

(cid:151) infrastructure;

(cid:151) energy;

(cid:151) control and command and signalling;

(cid:151) traffic operation and management;

(cid:151) telematics applications for passenger and freight services;

(cid:151) rolling stock;

(b) basically operational areas:

(cid:151) maintenance.

2. Description of the subsystems

For each subsystem or part of a subsystem, the list of constituents and aspects relating to interoperability is
proposed by the joint representative body at the time of drawing up the relevant draft TSI.

Without prejudging the choice of constituents and aspects relating to interoperability or the order in which they
will be made subject to TSIs, the subsystems include, in particular:

2.1.

Infrastructure:

The track, points, engineering structures (bridges, tunnels, etc.), associated station infrastructure (platforms, means
of access, etc.), safety and protective equipment.

2.2. Energy:

The electrification system, overhead lines and current collectors.

2.3. Control and command and signalling:

All the equipment necessary to ensure safety and to command and control movements of trains authorised to travel
on the network.

2.4. Traffic operation and management:

The procedures and related equipement enabling a coherent operation of the different structural sub-systems, both
during normal and degraded operation, incuding in particular train driving, traffic planning and management.

2.5. Telematics applications:

This sub-system comprises two elements:

(cid:151) applications for passenger services, including systems providing passengers with information before and during
the journey, reservation and payment systems, luggage management and management of connections between
trains and with other modes of transport;

(cid:151) applications for freight services, including information systems (real-time monitoring of freight and trains),
marshalling and allocation systems, reservation, payment and invoicing systems, management of connections
with other modes of transport and production of electronic accompanying documents.

2.6. Rolling stock:

Structure, command and control system for all train equipment, traction and energy conversion units, braking,
coupling and running gear (bogies, axles, etc.) and suspension, doors, man/machine interfaces (driver, on-board staff
and passengers), passive or active safety devices and requisites for the health of passengers and on-board staff.

2.7. Maintenance:

The procedures, associated equipment, logistics centres for maintenance work and reserves allowing the mandatory
the rail system and guarantee the
corrective and preventive maintenance to ensure the interoperability of
performance required.

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ANNEX III

ESSENTIAL REQUIREMENTS

1.

General requirements

1.1.

Safety

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

1.1.2. The parameters involved in the wheel/rail contact must meet the stability requirements needed in order to

guarantee safe movement at the maximum authorised speed.

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

1.1.4. The design of fixed installations and rolling stock and the choice of the materials used must be aimed at limiting

the generation, propagation and effects of fire and smoke in the event of a fire.

1.1.5. Any devices intended to be handled by users must be so designed as not to impair their safety if used foreseeably

in a manner not in accordance with the posted instructions.

1.2.

Reliability and availability

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

1.3. Health

1.3.1. Materials likely, by virtue of the way they are used, to constitute a health hazard to those having access to them

must not be used in trains and railway infrastructure.

1.3.2. Those materials must be selected, deployed and used in such a way as to restrict the emission of harmful and

dangerous fumes or gases, particularly in the event of fire.

1.4.

Environmental protection

1.4.1. The environmental impact of establishment and operation of the trans-European conventional rail system must
be assessed and taken into account at the design stage of the system in accordance with the Community
provisions in force.

1.4.2. The materials used in the trains and infrastructure must prevent the emission of fumes or gases which are

harmful and dangerous to the environment, particularly in the event of fire.

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

1.4.4. Operation of the trans-European conventional rail system must respect existing regulations on noise pollution.

1.4.5. Operation of the trans-European conventional rail system must not give rise to an inadmissable level of ground
vibrations for the activies and areas close to the infrastructure and in a normal state of maintenance.

1.5.

Technical compatibility

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

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

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2.

Requirements specific to each subsystem

2.1.

Infrastructure

2.1.1. Safety

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

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

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

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

2.2.

Energy

2.2.1. Safety

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

2.2.2. Environmental protection

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

2.2.3. Technical compatibility

The electricity/thermal energy supply systems used must:

(cid:151) enable trains to achieve the specified performance levels;

(cid:151) in the case of electricity, be compatible with the collection devices fitted to the trains.

2.3.

Control and command and signalling

2.3.1. Safety

The control and command and signalling installations and procedures used must enable trains to travel with a
level of safety which corresponds to the objectives set for the network.

2.3.2. Technical compatibility

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

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

2.4.

Rolling stock

2.4.1. Safety

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

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

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

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

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

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

Emergency exits must be provided and indicated.

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

An emergency lighting system of sufficient intensity and duration is an absolute requirement on board trains.

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

2.4.2. Reliability and availability

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

2.4.3. Technical compatibility

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

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

The characteristics of the rolling stock must be such as to allow it to travel on any line on which it is expected to
operate.

2.5. Maintenance

2.5.1. Health

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

2.5.2. Environmental protection

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

2.5.3. Technical compatibility

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

2.6. Operation and traffic management

2.6.1. Safety

Alignment of the network operating rules and the qualifications of drivers and on-board staff and of the staff in
the control centres must be such as to ensure safe operation.

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

2.6.2. Reliability and availability

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

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2.6.3. Technical compatibility

Alignment of the network operating rules and the qualifications of drivers, on-board staff and traffic managers
must be such as to ensure operating efficiency on the trans-European conventional rail system.

2.7.

Telematics applications for freight and passenger services

2.7.1. Technical compatibility

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

Steps must be taken to ensure that the data bases, software and data communication protocols are developed in a
manner allowing maximum data interchange between different applications and operators, as well as a full access
to the information for users.

2.7.2. Reliability and Availability

The methods of use, management, updating and maintenance of these data bases, software and data communi-
cation protocols must guarantee the efficiency of these systems and the quality of the service.

2.7.3. Health

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

CONFORMITY AND SUITABILITY FOR USE OF INTEROPERABILITY CONSTITUENTS

ANNEX IV

1.

Interoperability constituents

The EC declaration applies to the interoperability constituents involved in the interoperability of the trans-European
conventional rail system, as referred to in Article 3. These interoperability constituents may be:

1.1. Multiple-use constituents

These are constituents that are not specific to the railway system and which may be used as such in other areas.

1.2. Multiple-use constituents having specific characteristics

These are constituents which are not, as such, specific to the railway system, but which must display specific
performance levels when used for railway purposes.

1.3. Specific constituents

These are constituents that are specific to railway applications.

2.

Scope

The EC declaration covers:

(cid:151) either the assessment by a notified body or bodies of the intrinsic conformity of an interoperability constituent,

considered in isolation, to the technical specifications to be met;

(cid:151) or the assessment/judgment by a notified body or bodies of the suitability for use of an interoperability
constituent, considered within its railway environment and, in particular in cases where the interfaces are
involved, in relation to the technical specifications, particularly those of a functional nature, which are to be
checked.

The assessment procedures implemented by the notified bodies at the design and production stages will draw upon
the modules defined in Decision 93/465/EEC, in accordance with the conditions referred to in the TSIs.

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3. Contents of the EC declaration

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

That declaration must be written in the same language as the instructions and must contain the following:

(cid:151) the Directive references;

(cid:151) the name and address of the manufacturer or his authorised representative established within the Community
(give trade name and full address and, in the case of the authorised representative, also give the trade name of
the manufacturer or constructor);

(cid:151) description of interoperability constituent (make, type, etc.);

(cid:151) description of the procedure followed in order to declare conformity or suitability for use (Article 13);

(cid:151) all the relevant descriptions met by the interoperability constituent and, in particular, its conditions of use;

(cid:151) name and address of the notified body or bodies involved in the procedure followed in respect of conformity or
suitability for use and date of examination certificate together, where appropriate, with the duration and
conditions of validity of the certificate;

(cid:151) where appropriate, reference to the European specifications;

(cid:151) identification of signatory empowered to enter into commitments on behalf of the manufacturer or of the

manufacturer’s authorised representative established within the Community.

ANNEX V

DECLARATION OF VERIFICATION OF SUBSYSTEMS

The EC declaration of verification and the accompanying documents must be dated and signed.

That declaration must be written in the same language as the technical file and must contain the following:

(cid:151) the Directive references;

(cid:151) name and address of the contracting entity or its authorised representative established within the Community (give
trade name and full address and, in the case of the authorised representative, also give the trade name of the
contracting entity);

(cid:151) a brief description of the subsystem;

(cid:151) name and address of the notified body which conducted the EC verification referred to in Article 18;

(cid:151) the references of the documents contained in the technical file;

(cid:151) all the relevant temporary or definitive provisions to be complied with by the subsystems and in particular, where

appropriate, any operating restrictions or conditions;

(cid:151) if temporary: duration of validity of the EC declaration;

(cid:151) identity of signatory.

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ANNEX VI

VERIFICATION PROCEDURE FOR SUBSYSTEMS

1.

Introduction

EC verification is the procedure whereby a notified body checks and certifies, at the request of a contracting entity
or of its authorised representative established within the Community, that a subsystem:

(cid:151) complies with the Directive,

(cid:151) complies with the other regulations deriving from the Treaty,

and may be put into operation.

2.

Stages

The subsystem is checked at each of the following stages:

(cid:151) overall design;

(cid:151) construction of subsystem, including,

in particular, civil-engineering activities, constituent assembly, overall

adjustment;

(cid:151) final testing of the subsystem.

3. Certificate

The notified body responsible for EC verification draws up the certificate of conformity intended for the
contracting entity or its authorised representative established within the Community, which in turn draws up
the EC declaration of verification intended for the supervisory authority in the Member State in which the
subsystem is located and/or operates.

4.

Technical file

The technical file accompanying the declaration of verification must be made up as follows:

(cid:151) for infrastructure: engineering-structure plans, approval records for excavations and reinforcement, testing and

inspection reports on concrete;

(cid:151) 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 main-
tenance manuals, etc.;

(cid:151) list of interoperability constituents, as referred to in Article 3, incorporated into the subsystem;

(cid:151) copies of the EC declarations of conformity or suitability for use with which the abovementioned constituents
must be provided in accordance with Article 13 of the Directive accompanied, where appropriate, by the
corresponding calculation notes and a copy of the records of the tests and examinations carried out by the
notified bodies on the basis of the common technical specifications;

(cid:151) certificate from the notified body responsible for EC verification, accompanied by corresponding calculation
notes and countersigned by itself, stating that the project complies with this Directive and mentioning any
reservations recorded during performance of the activities and not withdrawn; the certificate should also be
accompanied by the inspection and audit reports drawn up by the same body in connection with its task, as
specified in points 5.3 and 5.4.

5. Monitoring

5.1. The aim of EC monitoring is to ensure that the obligations deriving from the technical file have been met during

production of the subsystem.

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5.2. The notified body responsible for checking production must have permanent access to building sites, production
workshops, storage areas and, where appropriate, prefabrication or testing facilities and, more generally, to all
premises which it considers necessary for its task. The contracting entity or its authorised representative within the
Community must send it or have sent to it all the documents needed for that purpose and, in particular, the
implementation plans and technical documentation concerning the subsystem.

5.3. The notified body responsible for checking implementation must periodically carry out audits in order to confirm
compliance with the Directive. It must provide those responsible for implementation with an audit report. It may
require to be present at certain stages of the building operations.

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

6.

Submission

The complete file referred to in paragraph 4 must be lodged with the contracting entity or its authorised agent
established within the Community in support of
the certificate of conformity issued by the notified body
responsible for verification of the subsystem in working order. The file must be attached to the EC declaration
of verification which the contracting entity sends to the supervisory authority in the Member State concerned.

A copy of the file must be kept by the contracting entity throughout the service life of the subsystem. It must be
sent to any other Member States which so request.

7.

Publication

Each notified body must periodically publish relevant information concerning:

(cid:151) requests for EC verification received;

(cid:151) certificates of conformity issued;

(cid:151) certificates of conformity refused.

8.

Language

The files and correspondence relating to the EC verification procedures must be written in an official language of
the Member State in which the contracting entity or its authorised representative within the Community is
established or in a language accepted by the entity.

28.3.2000

EN

Official Journal of the European Communities

C 89 E/29

ANNEX VII

MINIMUM CRITERIA WHICH MUST BE TAKEN INTO ACCOUNT BY THE MEMBER STATES WHEN
NOTIFYING BODIES

1. The body, its Director and the staff responsible for carrying out the checks may not become involved, either directly
or as authorised representatives, in the design, manufacture, construction, marketing or maintenance of the inter-
operability constituents or subsystems or in their use. This does not exclude the possibility of an exchange of
technical information between the manufacturer or constructor and that body.

2. The body and the staff responsible for the checks must carry out the checks with the greatest possible professional
integrity and the greatest possible technical competence and must be free of any pressure and incentive, in particular
of a financial type, which could affect their judgment or the results of their inspection, in particular from persons or
groups of persons affected by the results of the checks.

3. The body must employ staff and possess the means required to perform adequately the technical and administrative

tasks linked with the checks. It should also have access to the equipment needed for exceptional checks.

4. The staff responsible for the checks must possess:

(cid:151) proper technical and vocational training;

(cid:151) a satisfactory knowledge of the requirements relating to the checks that they carry out and sufficient practice in

those checks;

(cid:151) the ability to draw up the certificates, records and reports which constitute the formal record of the inspections

conducted.

5. The independence of the staff responsible for the checks must be guaranteed. No official must be remunerated either

on the basis of the number of checks performed or of the results of those checks.

6. The body must take out civil liability insurance unless that liability is covered by the State under national law or

unless the checks are carried out directly by that Member State.

7. The staff of the body are bound by professional secrecy with regard to everything they learn in the performance of
their duties (with the exception of the competent administrative authorities in the State where they perform those
activities) in pursuance of this Directive or any provision of national law implementing the Directive.

C 89 E/30

EN

Official Journal of the European Communities

28.3.2000

GENERAL RULES TO BE OBSERVED BY THE JOINT REPRESENTATIVE BODY (JRB)

ANNEX VIII

1. In line with the general Community standardisation procedures, the JRB must work openly and transparently, based
on consensus and independent of any particular interests. To this end, all members of the three categories represented
on the JRB - infrastructure managers, railway companies and industry - must have the opportunity to express their
opinion during the process of drafting TSIs, in accordance with the JRB’s rules of procedure and before finalisation of
the draft TSIs by the JRB.

2. If the JRB lacks the expertise required in order to draft a particular TSI, it must inform the Commission immediately.

3. The JRB must set up the working parties necessary for the purposes of drafting TSIs; these working parties must have
a flexible, efficient structure. To this end, the number of experts must be limited. Balanced representation must be
ensured between infrastructure managers and railway companies on the one hand and industry on the other; an
appropriate balance must be struck between different nationalities. Experts from non-Community countries may sit in
on working parties as observers.

4. Any difficulties which emerge in relation with the Directive and which cannot be resolved by the JRB’s working

parties must be reported to the Commission without delay.

5. All the working papers necessary in order to monitor the JRB’s work must be placed at the Commission’s disposal.

6. The JRB must take all measures necessary to safeguard the confidentiality of any critical information which comes to

its knowledge in the course of its activities.

7. The JRB must take all measures necessary to inform all its members and all experts participating in the working
parties of the results of the work of the committee referred to in Article 21 and of the recommendations made by the
committee and by the Commission.