Common Position (EC) No 2/2001 of 10 November 2000 adopted by the Council, acting in accordance with the procedure referred to in Article 251 of the Treaty establishing the European Community, with a view to adopting a Directive of the European Parliament and of the Council on the interoperability of the trans-European conventional rail system
Date: 2000-11-10
Institutions: Council of the European Union
Subjects: harmonisation of standards, rail transport, technical regulations, trans-European network

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COMMON POSITION (EC) No 2/2001

adopted by the Council on 10 November 2000

with a view to adopting the Directive 2000/.../EC of the European Parliament and of the Council
of ... on the interoperability of the trans-European conventional rail system

(2001/C 23/02)

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE
EUROPEAN UNION,

Having regard to the Treaty establishing the European Com-
munity, and in particular Article 156 thereof,

Having regard to the Commission proposal (1),

Having regard to the opinion of the Economic and Social
Committee (2),

Having regard to the opinion of
Regions (3),

the Committee of

the

Acting in accordance with the procedure referred to in
Article 251 of the Treaty (4),

Whereas:

(1)

(2)

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 estab-
lishing of an area without
is
appropriate, in particular, to improve the interlinking
and interoperability of the national rail networks as well
as access thereto, implementing any measures that may
prove necessary in the field of technical standardisation,
as provided for in Article 155 of the Treaty.

frontiers,

internal

it

By signing the Protocol adopted in Kyoto on 12 Decem-
ber 1997 the European Union has undertaken to reduce
its gas emissions. These objectives require an adjustment
to the balance between the various modes of transport,
and consequently an increase in the competitiveness of
rail transport.

(1) OJ C 89, 28.3.2000, p. 1.
(2) OJ C 204, 18.7.2000, p. 13.
(3) Opinion delivered on 14 June 2000 (not yet published in the

Official Journal).

(4) Opinion of the European Parliament of 17 May 2000 (not yet
published in the Official Journal), Council Common Position of
10 November 2000 and Decision of the European Parliament
of ... (not yet published in the Official Journal).

(3)

(4)

(5)

(6)

The Council strategy for the integration of the environ-
ment and sustainable development into Community
transport policy highlights the need to act to reduce the
environmental impact of transport.

interconnection of

The commercial operation of trains throughout the
trans-European rail network requires in particular excel-
lent compatibility between the characteristics of the
infrastructure and those of the rolling stock, as well
as efficient
the information and
communication systems of the different infrastructure
managers and operators. Performance levels, safety,
quality of service and cost depend upon such compati-
bility and interconnection, as does, in particular, the
interoperability of the trans-European conventional rail
system.

To achieve these objectives an initial measure was taken
by the Council on 23 July 1996 with the adoption of
Directive 96/48/EC concerning the interoperability of
the trans-European high-speed rail system (5).

In its White Paper entitled ‘A strategy for revitalising
the Community’s railways’ in 1996, the Commission
announced a second measure in the conventional rail
sector and then ordered a study on the integration of
national rail systems, the results of which were published
in May 1998 with the recommendation of the adoption
of a Directive based on the approach taken in the high-
speed sector. This study also recommended that, rather
than tackling all the obstacles to interoperability head
on, problems should be solved gradually according to
an order of priority based on the cost-benefit ratio of
each proposed measure. In this study the harmonisation
of procedures and rules in use and the interconnection
of information and communication systems were shown
to be more effective than measures, for example, con-
cerning the infrastructure loading gauge.

(5) OJ L 235, 17.9.1996, p. 6.

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(7)

(8)

(9)

The Commission communication ‘Integration of con-
ventional rail systems’ recommends the adoption of
this Directive and justifies the similarities and main
differences compared with Directive 96/48/EC. The
main differences lie in the adaptation of the geographical
scope, in the extension of the technical scope to take
account of the results of the above study and in the
adoption of a gradual approach to eliminating obstacles
to the interoperability of the rail system, which includes
establishing an order of priorities and a timetable for
drawing it up.

In view of that gradual approach and of the time
consequently required for the adoption of all the techni-
cal specifications for interoperability (TSIs), steps should
be taken to avoid a situation where Member States adopt
new national rules or undertake projects that increase
the heterogeneity of the present system.

The adoption of a gradual approach satisfies the special
needs of the objective of interoperability of the conven-
tional rail system, which is characterised by old national
infrastructure and stock requiring heavy investment for
adaptation or renewal, and particular care should be
taken not to penalise rail economically vis-à-vis other
modes of transport.

maintenance of the subsystems in question and for the
implementation of each TSI. However, it is not the aim
of this Directive, directly or indirectly, to harmonise
working conditions in the rail sector.

(13) Member States are responsible for ensuring compliance
with the safety, health and consumer protection rules
applying to the railway networks in general during the
design, construction, putting into service and operation
of those railways.

(14) There are major differences in the national regulations
and internal rules and technical specifications which the
railways apply, since they incorporate techniques that
are specific to the national
industries and prescribe
specific dimensions and devices and special character-
istics. This situation prevents trains from being able to
the Community
run without hindrance throughout
network.

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

(10)

In its resolution of 10 March 1999 on the rail package
Parliament asked that the progressive opening up of the
rail sector go hand in hand with the fastest and most
effective possible technical harmonisation measures.

(16)

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

(11) The Council meeting on 6 October 1999 asked the
Commission to propose a strategy on improving the
interoperability of rail transport and reducing bottle-
necks with a view to eliminating technical, administrat-
ive and economic obstacles to the interoperability of
networks without delay while guaranteeing a high level
of safety as well as personnel training and qualifications.

(17)

for practical reasons,

In view of the extent and complexity of the trans-
European conventional rail system, it has proved necess-
ary,
to break this down into
subsystems. For each of these subsystems the essential
requirements must be specified and the technical specifi-
cations determined for the whole of the Community,
particularly in respect of constituents and interfaces, in
order to meet these essential requirements.

(12) Pursuant to Council Directive 91/440/EEC of 29 July
1991 on the development of the Community’s rail-
ways (1), railway companies must have increased access
to Member States’ rail networks, which in turn requires
the interoperability of infrastructure, equipment, rolling
stock and systems of management and operation, includ-
ing those staff qualifications and hygiene and safety
conditions at work required for the operation and

(18)

Implementation of the provisions on the interoperability
of the trans-European conventional rail system should
not create unjustified barriers in cost-benefit terms to
the preservation of the existing rail network of each
Member State, but must endeavour to retain the objective
of interoperability.

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

(19) The technical specifications for interoperability also have
an impact on the conditions of use of rail transport by
users, and it is therefore necessary to consult these users
on aspects concerning them.

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

(21) The drawing up of TSIs and their application to the
conventional rail system should not impede technologi-
innovation, which should be directed towards
cal
improving economic performance.

(22) Advantage should be taken of the interoperability of the
conventional rail system, particularly in the case of
freight, to bring about the conditions for greater interop-
erability between modes of transport.

(23) To comply with the appropriate provisions on procure-
ment procedures in the rail sector and in particular
Directive 93/38/EEC (1), the contracting entities should
include technical specifications in the general documents
or in the terms and conditions for each contract. To this
end it is necessary to build up a body of European
specifications in order to serve as references for these
technical specifications.

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

(25) The contracting entities are to define the further require-
ments needed to complete European specifications or
other standards. These specifications should meet the
essential requirements that have been harmonised at
Community level and which the trans-European conven-
tional rail system must satisfy.

(26) The procedures governing the assessment of conformity
or of suitability of use of constituents should be based
the modules covered by Decision
on the use of

93/465/EEC (2). As far as possible and in order to
promote industrial development,
it is appropriate to
draw up the procedures involving a system of quality
assurance.

(27) Conformity of constituents is mainly linked to their area
of use in order to guarantee the interoperability of the
system and not only to their free movement on the
Community market. The suitability for use of the most
critical constituents as regards safety, availability or
system economy should be assessed. It is therefore not
necessary for a manufacturer to affix the CE marking to
constituents that are now subject to the provisions of
this Directive. On the basis of
the assessment of
conformity and/or suitability for use, the manufacturer’s
declaration of conformity should be sufficient.

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

(29) The subsystems constituting the trans-European conven-
tional rail system should be subjected to a verification
procedure. This verification must enable the authorities
responsible for authorising their putting into service to
be certain that, at the design, construction and putting
into service stages, the result is in line with the regu-
lations and technical and operational provisions in force.
It must also enable manufacturers to be able to count
upon equality of treatment whatever the country. It is
therefore necessary to lay down a module defining the
principles and conditions applying to ‘EC’ verification of
subsystems.

(30) The ‘EC’ verification procedure should be based on TSIs.
These TSIs are subject to the provisions of Article 18 of
Directive 93/38/EEC. The notified bodies responsible for
examining the procedures for conformity assessment
and suitability for the use of constituents, together with
the procedure for the assessment of subsystems must, in
particular in the absence of any European specification,
coordinate their decisions as closely as possible.

(31) These TSIs are drawn up to the order of the Commission
by the joint body representing the infrastructure man-
agers, the railway companies and the industry. Represen-
tatives of non-member countries, in particular those of
the applicant countries, may from the outset be author-
ised to attend meetings of the joint representative body
as observers.

(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). Directive as last amended by Directive 98/4/EC (OJ L 101,
1.4.1998, p. 1).

(2) Council Decision 93/465/EEC of 22 July 1993 concerning the
modules for the various phases of the conformity assessment
procedures and the rules for the affixing and use of the CE
conformity marking, which are intended to be used in the
technical harmonisation directives (OJ L 220, 30.8.1993, p. 23).

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(32) Directive 91/440/EEC requires a separation of activities,
in accounting terms, between transport service operation
and railway infrastructure management. This being
the case, the specialised services provided by railway
infrastructure managers designated as notified bodies
should be structured in such a way as to meet the criteria
which must apply to this type of body. Other specialised
bodies may be notified where these meet the same
criteria.

(33) The measures necessary for the implementation of this
Directive should be adopted in accordance with Council
Decision 1999/468/EC of 28 June 1999 laying down
the procedures for the exercise of implementing powers
conferred on the Commission (1).

(34)

Interoperability within the trans-European conventional
rail system is Community-wide in scale. No individual
Member State is in a position to take the action needed
in order to achieve this interoperability. In accordance
with the principle of subsidiarity, the objectives of the
proposed action cannot be sufficiently achieved by the
Member States and can therefore by reason of the scale
or effects of the proposed action be better achieved by
the Community,

HAVE ADOPTED THIS DIRECTIVE:

CHAPTER ONE

GENERAL PROVISIONS

Article 1

1.
This Directive sets out to establish the conditions to be
met to achieve interoperability within the Community territory
of the trans-European conventional rail system, as described in
Annex I. These conditions concern the design, construction,
putting into service, upgrading, renewal, operation and main-
tenance of the parts of this system put into service after the
date of entry into force of this Directive, as well as the
professional qualifications and health and safety conditions of
the staff who contribute to its operation.

2.
The pursuit of this objective must lead to the definition
of a minimum level of technical harmonisation and make it
possible to:

(a)

facilitate, improve and develop international rail transport
services within the European Union and with third
countries;

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

(b)

contribute to the progressive creation of the internal
market in equipment and services for the construction,
renewal, upgrading and operation of the trans-European
conventional rail system;

(c)

contribute to the interoperability of the trans-European
conventional rail system.

Article 2

For the purposes of this Directive:

(a)

(b)

(c)

(d)

(e)

(f)

‘trans-European conventional rail system’ means the
structure, as described in Annex I, composed of lines
and fixed installations, of the trans-European transport
network, built or upgraded for conventional rail transport
and combined rail
transport, plus the rolling stock
designed to travel on that infrastructure;

‘interoperability’ means the ability of the trans-European
conventional rail system to allow the safe and uninterrup-
ted movement of trains which accomplish the required
levels of performance for these lines. This ability rests on
all the regulatory, technical and operational conditions
which must be met in order to satisfy the essential
requirements;

‘subsystems’ means the result of the division of the trans-
European conventional rail system, as shown in Annex II.
These subsystems, for which essential requirements must
be laid down, are structural and functional;

‘interoperability constituents’ means any elementary com-
ponent, group of components, subassembly or complete
assembly of equipment incorporated or intended to be
incorporated into a subsystem upon which the interop-
erability of the trans-European conventional rail system
depends directly or indirectly. The concept of a ‘constitu-
ent’ covers both tangible objects and intangible objects
such as software;

‘essential requirements’ means all the conditions set out
in Annex III which must be met by the trans-European
conventional rail system, the subsystems, and the interop-
erability constituents including interfaces;

‘European specification’ means a common technical speci-
fication, a European technical approval or a national
standard transposing a European standard, as defined in
Article 1(8) to (12) of Directive 93/38/EEC;

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(g)

(h)

(i)

(j)

(k)

‘technical specifications for interoperability’, hereinafter
referred to as ‘TSIs’, means the specifications by which
each subsystem or part subsystem is covered in order to
meet the essential requirements and ensure the interop-
erability of the trans-European conventional rail system;

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

Article 3

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

in the case of interoperability constituents,

2.
The provisions of this Directive shall apply without
prejudice to any other relevant Community provisions. How-
ever,
including
interfaces, compliance with the essential requirements of
this Directive may require the use of individual European
specifications drawn up for that purpose.

‘notified bodies’ means the bodies which are responsible
for assessing the conformity or suitability for use of the
interoperability constituents or for appraising the ‘EC’
procedure for verification of the subsystems;

Article 4

‘basic parameters’ means any regulatory, technical or
operational condition which is critical to interoperability
and requires a decision in accordance with the procedure
laid down in Article 21(2) before any development of
draft TSIs by the joint representative body;

‘specific case’ means any part of the trans-European
conventional rail system which needs special provisions
in the TSIs, either temporary or definitive, because
of geographical, topographical or urban environment
constraints or those affecting compatibility with the
existing system. This may include in particular railway
lines and networks isolated from the rest of the Com-
munity, the loading gauge, the track gauge or space
between the tracks and rolling stock strictly intended for
local, regional or historical use, as well as rolling stock
originating from or destined for third countries, as long
as this stock does not cross the border between two
Member States;

(l)

‘upgrading’ means any major modification work on
a subsystem or part subsystem which requires fresh
authorisation for putting into service within the meaning
of Article 14(1);

(m)

‘renewal’ means any major substitution work on a
subsystem or part subsystem which requires fresh author-
isation for putting into service within the meaning of
Article 14(1);

(n)

‘existing rail system’ means the structure composed of
lines and fixed installations of the existing rail system
plus the rolling stock of all categories and origin travelling
on that infrastructure.

1.
The trans-European conventional rail system, subsystems
and interoperability constituents including interfaces shall
meet the relevant essential requirements.

technical

The further

specifications

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

CHAPTER II

TECHNICAL SPECIFICATIONS FOR INTEROPERABILITY
(TSIs)

Article 5

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

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

To the extent necessary in order to achieve the objectives

3.
referred to in Article 1, each TSI shall:

(a)

indicate its intended scope (part of network or rolling
stock referred to in Annex I: subsystem or part of
subsystem referred to in Annex II);

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(b)

lay down essential requirements for each subsystem
concerned and its interfaces vis-à-vis other subsystems;

6.
The TSIs shall not be an impediment to decisions by the
Member States concerning the use of infrastructures for the
movement of rolling stock not covered by the TSIs.

(c)

establish the functional and technical specifications to be
met by the subsystem and its interfaces vis-à-vis other
subsystems. If need be, these specifications may vary
according to the use of the subsystem, for example
according to the categories of line, hub and/or rolling
stock provided for in Annex I;

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

(e)

(f)

(g)

state, in each case under consideration, the procedures
for the assessment of conformity or suitability of use. This
includes in particular the modules defined in Decision
93/465/EEC or, where appropriate, the specific pro-
cedures, to be used to assess either the conformity or the
suitability for use of interoperability constituents and ‘EC’
verification of subsystems;

In
indicate the strategy for implementing the TSIs.
particular,
it is necessary to specify the stages to be
completed in order to make a gradual transition from
the existing situation to the final situation in which
compliance with the TSIs shall be the norm;

indicate, for the staff concerned, the professional qualifi-
cations and health and safety conditions at work required
for the operation and maintenance of the above subsys-
tem, as well as for the implementation of the TSIs.

4.
Each TSI shall be drawn up on the basis of an examin-
ation of an existing subsystem and indicate a target subsystem
that may be obtained gradually within a reasonable time scale.
Accordingly, the gradual adoption of the TSIs and compliance
therewith will help gradually to achieve the interoperability of
the trans-European conventional rail system.

5.
The TSIs shall retain, in an appropriate manner, the
compatibility of the existing rail system of each Member State.
With this objective, provision may be made for specific cases
for each set of TSIs, with regard to both infrastructure and
rolling stock; special attention must be given to the loading
gauge, the track gauge or space between the tracks and wagons
from or going to third countries. For each specific case, the
TSIs stipulate the implementing rules of the elements of the
TSIs indicated in paragraphs 3(c) to (g).

Article 6

1.
Draft TSIs shall be drawn up by the joint representative
body under a mandate from the Commission in accordance
with the procedure set out in Article 21(2). TSIs shall be
adopted and reviewed by the same procedure. They shall be
published by the Commission in the Official Journal of the
European Communities.

2.
The joint representative body shall be designated in
accordance with the procedure set out in Article 21(2); it shall
comply with the rules laid down in Annex VIII. Where the
joint representative body does not comply with these rules or
does not have the authority needed to draw up a particular
TSI, another authorised body shall be designated by the same
procedure. In the latter case, the joint representative body
must be associated with the work of the other body.

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

4.

Each draft TSI shall be drawn up in two stages.

First of all, the joint representative body shall identify the basic
parameters for this TSI as well as the interfaces with the other
subsystems and any other specific cases that may be necessary.
The most viable alternative solutions accompanied by technical
and economic justification shall be put forward for each of
these parameters and interfaces. A decision shall be taken in
accordance with the procedure set out in Article 21(2); if
necessary, specific cases shall be cited.

The joint representative body shall then draw up the draft TSI
on the basis of these basic parameters. Where appropriate, the
joint representative body shall
technical
progress, of standardisation work already carried out, of
working parties already in place and of acknowledged research
work. An overall assessment of the estimated costs and benefits
of the implementation of the TSIs shall be attached to the draft
TSI; this assessment shall indicate the likely impact for all the
operators and economic agents involved.

take account of

5.
The drafting, adoption and review of each TSI (including
the basic parameters) shall take account of the estimated costs
and benefits of all the technical solutions considered together
with the interfaces between them, so as to establish and
implement the most viable solutions. The Member States shall
participate in this assessment by providing the requisite data.

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6.
The Committee referred to in Article 21 shall be kept
regularly informed of the preparatory work on the TSIs.
During this work the Committee may formulate any terms of
reference or useful recommendations concerning the design of
the TSIs and the cost-benefit analysis.
the
Committee may, at the request of a Member State, require that
alternative solutions be examined and that the assessment of
the cost and benefits of these alternative solutions be set out
in the report annexed to the draft TSI.

In particular,

On the adoption of each TSI, the date of entry into force
7.
of
that TSI shall be established in accordance with the
procedure provided for in Article 21(2). Where different
subsystems have to be put into service simultaneously for
reasons of technical compatibility, the dates of entry into force
of the corresponding TSIs shall be the same.

8.
The drafting and review of the TSIs shall take account of
the opinions of the users, as regards the characteristics which
have a direct impact on the conditions in which they use the
subsystems.

To that end the joint representative body or, where appropri-
ate, the authorised body shall consult associations and bodies
representing users during the drafting and review phases of
the TSIs.

They shall enclose with the draft TSI a report on the results of
this consultation.

The list of associations and bodies to be consulted shall be
finalised by the Committee referred to in Article 21 before
adopting the mandate of the first TSI and may be re-examined
and updated at
the request of a Member State or the
Commission.

9.
The drafting and review of the TSIs shall take account of
the opinion of the social partners as regards the conditions
referred to in Article 5(3)(g).

To this end, the social partners shall be consulted before the
draft TSI is submitted, for adoption or review, to the Com-
mittee referred to in Article 21.

The social partners shall be consulted in the context of the
Sectoral Dialogue Committee set up in accordance with
Commission Decision 98/500/EC (1).

The social partners shall
months.

issue their opinion within three

(1) Commission Decision 98/500/EC of 20 May 1998 on the
establishment of Sectoral Dialogue Committees promoting the
dialogue between the social partners at European level (OJ L 255,
12.8.1998, p. 27).

Article 7

A Member State need not apply one or more TSIs, including
those relating to rolling stock,
in the following cases and
circumstances:

(a)

(b)

(c)

for a proposed new line, for the upgrading of an existing
line, or for any element referred to Article 1(1) at an
advanced stage of development or the subject of a
contract in course of performance when these TSIs are
published;

for any project concerning the renewal or upgrading of
an existing line where the loading gauge, track gauge,
space between the tracks, or electrification voltage in
these TSIs is not compatible with those of the existing
line;

for a proposed new line or for the proposed renewal or
upgrading of an existing line in the territory of that
Member State when its rail network is separated or
isolated by the sea from the rail network of the rest of the
Community;

(d)

for any proposed renewal, extension or upgrading of an
existing line, when the application of these TSIs would
compromise the economic viability of the project and/or
the compatibility of the rail system in the Member State;

(e) where, following an accident or a natural disaster, the
conditions for the rapid restoration of the network do
not economically or technically allow for partial or total
application of the relevant TSIs;

(f)

for wagons from or going to third countries the track
gauge of which is different from that of the main rail
network of the Community.

In all cases the Member State concerned shall serve prior notice
of
its intended derogation to the Commission and shall
forward to it a file setting out the TSIs or the parts of TSIs that
it does not wish to be applied as well as the corresponding
specifications that it does wish to apply. The Committee
provided for in Article 21 shall analyse the measures envisaged
by the Member State. In cases (b), (d) and (f), the Commission
shall take a decision in accordance with the procedure in
Article 21(2). Where necessary, a recommendation shall
be drawn up concerning the specifications to be applied.
Nevertheless, in the case of (b) the Commission’s decision shall
not cover the loading gauge and the track gauge.

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CHAPTER III

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

INTEROPERABILITY CONSTITUENTS

Article 8

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

(a)

are placed on the market only if they enable interopera-
bility to be achieved within the trans-European conven-
tional rail system while at the same time meeting the
essential requirements;

(b)

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

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

Article 9

Member States may not, in their territory and on grounds
concerning this Directive, prohibit, restrict or hinder the
placing on the market of interoperability constituents for use
in the trans-European conventional rail system where they
comply with this Directive. In particular, they may not require
checks which have already been carried out as part of the
procedure of ‘EC’ declaration of conformity or suitability for
use, the components of which are set out in Annex IV.

Article 10

1. Member States shall consider as complying with the
essential requirements of this Directive applying to them those
interoperability constituents which bear the ‘EC’ declaration of
conformity or suitability for use.

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

5.
As regards the period prior to the publication of a TSI,
in the absence of any European specifications and without
prejudice to Article 20(5), Member States shall notify to the
the
other Member States and the Commission a list of
standards and technical specifications in use in order to
implement the essential requirements. This notification shall
be made not later than ... (*).

6. Where a European specification is not yet available at
the time of adoption of a TSI and compliance with this
specification is an essential precondition to guarantee interop-
erability, the TSI may refer to the most advanced version
available of the draft European specification that has to be
complied with or that incorporates all or part of that draft.

Article 11

Where it appears to a Member State or the Commission that
European specifications do not meet the essential require-
ments, partial or total withdrawal of these specifications from
the publications containing them, or their amendment, may
be decided upon in accordance with the procedure laid down
in Article 21(2) after consultation, where European standards
are involved, of
the Committee set up under Directive
98/34/EC (1).

Article 12

1. Where a Member State finds that an interoperability
constituent covered by the ‘EC’ declaration of conformity or
suitability for use and placed on the market is unlikely, when
used as intended, to meet the essential requirements, it shall
take all necessary steps to restrict its field of application,
prohibit its use or withdraw it from the market. The Member
States shall forthwith inform the Commission of the measures
taken and give the reasons for its decision, stating in particular
whether failure to conform is due to:

(a)

failure to meet the essential requirements;

(b)

incorrect application of European specifications where
application of such specifications is relied upon;

(c)

inadequacy of European specifications.

3.
The references to European specifications shall be publi-
shed in the Official Journal of the European Communities and
mentioned in the respective TSI. When the relevant European
specifications are published after adoption of the TSI, they
shall be taken into account as soon as the TSIs are revised.

(*) Twelve months after the entry into force of this Directive.
(1) Directive 98/34/EC of the European Parliament and of the Council
of 22 June 1998 laying down a procedure for the provision of
information in the field of technical standards and regulations and
of rules on information society services (OJ L 204, 21.7.1998, p.
37). Directive as amended by Directive 98/48/EC (OJ L 217,
5.8.1998, p. 18).

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

improperly, the manufacturer or his authorised represen-
tative established in the Community shall be required to
to a state of
restore the interoperability constituent
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.

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

The Commission shall ensure that the Member States are

4.
kept informed of the course and results of that procedure.

Article 13

1.
In order to establish the ‘EC’ declaration of conformity
or suitability for use of an interoperability constituent, the
manufacturer or his authorised representative established in
the Community shall apply the provisions laid down by the
relevant TSIs.

2.
Assessment of the conformity or suitability for use of an
interoperability constituent shall be carried out by the notified
body with which the manufacturer or his authorised 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 ‘EC’
declaration of conformity or suitability for use shall, in such
instances, state that the interoperability constituents also meet
the requirements of those other directives.

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

5. Without prejudice to the provisions of Article 12:

(a)

in each instance where the Member State finds that
the ‘EC’ declaration of conformity has been drawn up

CHAPTER IV

SUBSYSTEMS

Article 14

1.
Each Member State shall authorise the putting into
service of those structural subsystems constituting the trans-
European conventional rail system which are located or
operated in its territory.

To this end, Member States shall take all appropriate steps to
ensure that these subsystems may be put into service only if
they are designed, constructed and installed in such a way as
to meet the essential requirements concerning them when
integrated into the trans-European conventional rail system. In
particular, they shall check the compatibility of these subsys-
tems with the system into which they are being integrated.

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

In the event of renewal or upgrading, the manager of the
3.
rail infrastructure or enterprise shall send the Member State
concerned a file describing the project. The Member State shall
examine this file and, taking account of the implementation
strategy indicated in the applicable TSI, shall decide whether
the size of the works means that a new authorisation for
putting into service within the meaning of this Directive is
needed. This authorisation for putting into service is required
each time the safety level may be affected by the works
envisaged.

Article 15

Without prejudice to the provisions of Article 19, Member
States may not, in their territory and on grounds concerning
this Directive, prohibit, restrict or hinder the construction,
putting into service and operating of structural subsystems
constituting the trans-European conventional
rail system
which meet the essential requirements. In particular, they may

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not require checks which have already been carried out as part
of the procedure leading to the ‘EC’ declaration of verification,
the components of which are set out in Annex V.

Article 19

Article 16

1. Member States shall consider as being interoperable and
meeting the essential requirements concerning them, those
structural subsystems constituting the trans-European conven-
tional rail system which are covered by the ‘EC’ declaration of
verification.

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

3.
As regards the period prior to the publication of TSIs,
Member States shall send the other Member States and the
Commission, for each subsystem, a list of the technical rules
in use for implementing the essential requirements. This shall
be notified not later than ...(*).

Article 17

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

Article 18

1.
In order to establish the ‘EC’ declaration of verification,
the procurement entity or its official representative shall invite
the notified body that it has selected for that purpose to apply
the ‘EC’ verification procedure referred to in Annex VI.

2.
The task of the notified body responsible for the ‘EC’
verification of a subsystem shall begin at the design stage
and cover the entire manufacturing period through to the
acceptance stage before the subsystem is put into service. It
shall also cover verification of the interfaces of the subsystem
in question with the system into which it is incorporated,
based on the information available in the relevant TSI and in
the registers provided for in Article 24.

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

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

2.
The Member State making the request shall forthwith
inform the Commission of any additional checks requested
and set out the substantiating reasons therefor. The Com-
mission shall without delay initiate the procedure provided for
in Article 21(2).

CHAPTER V

NOTIFIED BODIES

Article 20

1. Member States shall notify to the Commission and the
other Member States the bodies responsible for carrying out
the procedure for the assessment of conformity or suitability
for use referred to in Article 13 and the verification procedure
referred to in Article 18,
indicating each body’s area of
responsibility, and the identification numbers obtained in
advance from the Commission. The Commission shall publish
in the Official Journal of the European Communities the list of
bodies, their identification numbers and areas of responsibility,
and shall keep the list updated.

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

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

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
within three months.
In the light of the opinion of the
Committee, the Commission shall inform the Member State in
question of any changes that are necessary for the notified
body to retain the status conferred upon it.

(*) Twelve months after the entry into force of this Directive.

5. Where appropriate, coordination of the notified bodies
shall be implemented in accordance with Articles 21 and 22.

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CHAPTER VI

COMMITTEE AND WORK PROGRAMME

Article 21

1.
The Commission shall be assisted by the Committee
established by Article 21 of Directive 96/48/EC (hereinafter
referred to as ‘the Committee’).

2. Where reference is made to this paragraph, Articles 5
and 7 of Decision 1999/468/EC shall apply, having regard to
the provisions of Article 8 thereof.

(c)

at the request of the Commission, a Member State or the
joint representative body, the Committee may decide,
according to the procedure laid down in Article 21(2), to
draw up a TSI for an additional subject without prejudi-
cing the order of priorities set out above in so far as it
concerns a subsystem mentioned in Annex II.

2.
The Committee, following the procedure laid down in
Article 21(2), shall draw up a work programme observing the
order of priority referred to in paragraph 1 and that of the
other tasks entrusted to it by this Directive.

The TSIs mentioned in the first work programme referred to
in paragraph 1(a) shall be drawn up not later than ...(*).

The work programme shall consist of the following

3.
stages:

The period laid down in Article 5(6) of Decision 1999/468/EC
shall be set at three months.

(a)

designation of the joint representative body;

3.

The Committee shall adopt its Rules of Procedure.

Article 22

Once this Directive enters into force, the Committee may
discuss any matter relating to the interoperability of the
trans-European conventional rail system, including questions
relating to interoperability between the trans-European rail
system and the rail system of third countries.

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

(c)

adoption of a model structure for developing TSIs;

(d)

adoption of a method of cost-benefit analysis of the
solutions set out in the TSIs;

(e)

adoption of the mandates needed to draw up the TSIs;

Article 23

(f)

adoption of the basic parameters for each TSI;

1.
The order of priority for the adoption of the TSIs shall
be as follows, without prejudice to the order of adoption of
the mandates provided for in Article 6(1):

(a)

(b)

the first group of TSIs will cover control/command and
signalling;
telematic applications for freight services;
traffic operation and management (including staff qualifi-
cations for cross-border services respecting the criteria
defined in Annexes II and III); freight wagons; noise
problems deriving from rolling stock and infrastructure.

As regards rolling stock, that intended for international
use will be developed first;

the resources of

the following aspects shall also be discussed in the light
of
the Commission and the joint
representative body: telematic applications for passenger
services, maintenance, with particular regard to safety,
passenger carriages, traction units and locomotives, infra-
structure, energy and air pollution.

(g)

approval of draft standardisation programmes;

(h) management of the transition period between the date of
entry into force of this Directive and publication of the
including the adoption of the reference system
TSIs,
mentioned in Article 25.

CHAPTER VII

REGISTERS OF INFRASTRUCTURE AND ROLLING STOCK

Article 24

1.
The Member States shall ensure that registers of infra-
structure and of rolling stock are published and updated
annually. Those registers shall indicate the main features of
each subsystem or part subsystem involved (e.g. the basic
parameters) and their correlation with the features laid down
by the applicable TSIs. To that end, each TSI shall indicate

As regards rolling stock, that intended for international
use will be developed first;

(*) Three years from the entry into force of this Directive.

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precisely which information must be included in the registers
of infrastructure and of rolling stock.

Article 27

2.
A copy of those registers shall be sent to the Member
States concerned and to the joint representative body and shall
be made available to the public.

CHAPTER VIII

TRANSITIONAL PROVISIONS

Article 25

1.
The joint representative body shall develop, on the basis
of the information notified by the Member States under
Articles 10(5) and 16(3), technical documents by the pro-
fession and texts of the relevant international agreements, a
draft reference system of technical rules ensuring the current
degree of interoperability of the trans-European conventional
rail system. The Committee shall examine this draft and decide
whether it may constitute a reference system pending the
adoption of TSIs.

2.
Following adoption of the abovementioned reference
system, Member States shall inform the Committee of their
intention to adopt any national provision or of the develop-
ment of any project in their territory which diverges from the
reference system.

CHAPTER IX

FINAL PROVISIONS

Article 26

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

1. Member States shall bring into force the laws, regulations
and administrative provisions needed to comply with this
Directive no later than … (*), with the exception of the
provisions specific to each TSI which shall be implemented in
accordance with the arrangements specific to each TSI. They
shall forthwith inform the Commission thereof.

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

Article 28

Every two years, and for the first time ... (**) the Commission
shall report to the European Parliament and the Council on
the progress made towards achieving interoperability of the
trans-European conventional rail system. That report shall also
include an analysis of the cases set out in Article 7.

The joint representative body shall develop and regularly
update a tool capable of providing, at the request of a Member
State or the Commission, a chart of the interoperability level
of the trans-European conventional rail system. That tool shall
use the information available in the registers provided for in
Article 24.

Article 29

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

Article 30

This Directive is addressed to the Member States.

Done at ...

For the European Parliament

For the Council

The President

The President

(*) Twenty-four months after the entry into force of this Directive.
(**) Four years after the entry into force of this Directive.

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ANNEX I

THE TRANS-EUROPEAN CONVENTIONAL RAIL SYSTEM

1.

INFRASTRUCTURE

The infrastructure of the trans-European conventional rail system shall be that on the lines of the trans-European
transport network identified in Decision No 1692/96/EC of the European Parliament and of the Council of 23 July
1996 on Community guidelines for the development of the trans-European transport network (1) or listed in any
update to the same Decision as a result of the revision provided for in Article 21 of that Decision.

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

— lines intended for passenger services,

— lines intended for mixed traffic (passengers and freight),

— lines specially designed or upgraded for freight services,

— passenger hubs,

— freight hubs, including intermodal terminals,

— ines connecting the abovementioned components.

This infrastructure includes traffic management, tracking, and navigation systems: technical installations for data
processing and telecommunications intended for long-distance passenger services and freight services on the network
in order to guarantee the safe and harmonious operation of the network and efficient traffic management.

2.

ROLLING STOCK

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

— self-propelling thermal or electric trains,

— thermal or electric traction units,

— passenger carriages,

— freight wagons, including rolling stock designed to carry lorries.

Each of the above categories must be subdivided into:

— rolling stock for international use,

— rolling stock for national use;

taking due account of the local, regional or long-distance use of the stock.

3.

COMPATIBILITY OF THE TRANS-EUROPEAN CONVENTIONAL RAILWAY SYSTEM

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

(1) OJ L 228, 9.9.1996, p. 1.

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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 the following two subsystems, either:

(a)

structural areas:

— infrastructure,

— energy,

— control and command and signalling,

— traffic operation and management,

— rolling stock, or

(b)

operational areas:

— maintenance,

— telematics applications for passenger and freight services.

2.

DESCRIPTION OF THE SUBSYSTEMS

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

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

2.1.

Infrastructure

The track, points, engineering structures (bridges, tunnels, etc.), associated station infrastructure (platforms, zones of
access, including the needs of persons with reduced mobility, etc.), safety and protective equipment.

2.2. Energy

The electrification system, overhead lines and current collectors.

2.3. Control and command and signalling

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

2.4. Traffic operation and management

The procedures and related equipment enabling a coherent operation of the different structural subsystems, both
during normal and degraded operation, including in particular train driving, traffic planning and management.

The professional qualifications which may be required for carrying out cross-border services.

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2.5. Telematics applications

In accordance with Annex I, this subsystem comprises two elements:

(a)

(b)

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;

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

2.6. Rolling stock

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

2.7. Maintenance

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

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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 the safe operation of the
devices or the health and safety of users if used foreseeably in a manner not in accordance with the posted
instructions.

1.2.

Reliability and availability

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

1.3.

Health

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

them must not be used in trains and railway infrastructure.

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

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

1.4.

Environmental protection

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

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

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

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

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

pollution.

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

1.5.

Technical compatibility

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

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

2.

REQUIREMENTS SPECIFIC TO EACH SUBSYSTEM

2.1.

Infrastructure

2.1.1.

Safety

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

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

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

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

2.2.

Energy

2.2.1.

Safety

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

2.2.2.

Environmental protection

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

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2.2.3. Technical compatibility

The electricity/thermal energy supply systems used must:

— enable trains to achieve the specified performance levels,

— in the case of electricity energy supply systems, be compatible with the collection devices fitted to the

trains.

2.3.

Control and command and signalling

2.3.1.

Safety

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

2.3.2. Technical compatibility

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

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

2.4.

Rolling stock

2.4.1.

Safety

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

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

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

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

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

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

Emergency exits must be provided and indicated.

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

An emergency lighting system of sufficient intensity and duration is compulsory on board trains.

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

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2.4.2. Reliability and availability

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

2.4.3. Technical compatibility

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

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

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

2.5.

Maintenance

2.5.1. Health and safety

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

2.5.2.

Environmental protection

The technical
permissible levels of nuisance with regard to the surrounding environment.

installations and the procedures used in the maintenance centres must not exceed the

2.5.3. Technical compatibility

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

2.6.

Operation and traffic management

2.6.1.

Safety

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

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

2.6.2. Reliability and availability

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

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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,
bearing in mind the different requirements of cross-border and domestic services.

2.7.

Telematics applications for freight and passengers

2.7.1. Technical compatibility

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

Steps must be taken to ensure:

— that the databases, software and data-communication protocols are developed in a manner allowing
maximum data interchange between different applications and operators, excluding confidential
commercial data,

— easy access to the information for users.

2.7.2. Reliability and availability

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

2.7.3. Health

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

2.7.4.

Safety

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

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ANNEX IV

CONFORMITY AND SUITABILITY FOR USE OF INTEROPERABILITY CONSTITUENTS

1.

INTEROPERABILITY CONSTITUENTS

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

1.1. Multiple-use constituents

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

1.2. Multiple-use constituents having specific characteristics

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

1.3. Specific constituents

These are constituents that are specific to railway applications.

2.

SCOPE

The ‘EC’ declaration covers:

— either the assessment by a notified body or bodies of the intrinsic conformity of an interoperability

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

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

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

3.

CONTENTS OF THE ‘EC’ DECLARATION

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

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

— the Directive references,

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

— description of interoperability constituent (make, type, etc.),

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— description of the procedure followed in order to declare conformity or suitability for use (Article 13),

— all the relevant descriptions met by the interoperability constituent and, in particular, its conditions of use,

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

— where appropriate, reference to the European specifications,

— identification of the signatory empowered to enter into commitments on behalf of the manufacturer or of

the manufacturer’s authorised representative established within the Community.

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ANNEX V

DECLARATION OF VERIFICATION OF SUBSYSTEMS

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

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

— the Directive references,

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

— a brief description of the subsystem,

— name and address of the notified body which conducted the ‘EC’ verification referred to in Article 18,

— the references of the documents contained in the technical file;

— all the relevant temporary or definitive provisions to be complied with by the subsystems and in particular,

where appropriate, any operating restrictions or conditions,

— if temporary: duration of validity of the ‘EC’ declaration,

— identity of the signatory.

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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:

— complies with the Directive,

— complies with the other regulations deriving from the Treaty, and may be put into operation.

2.

STAGES

The subsystem is checked at each of the following stages:

— overall design,

— construction of subsystem,

including,

in particular, civil-engineering activities, constituent assembly,

overall adjustment,

— final testing of the subsystem.

3.

CERTIFICATE

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

4.

TECHNICAL FILE

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

— for infrastructure: engineering-structure plans, approval records for excavations and reinforcement, testing

and inspection reports on concrete,

— for the other subsystems: general and detailed drawings in line with execution, electrical and hydraulic
diagrams, control-circuit diagrams, description of data-processing and automatic systems, operating and
maintenance manuals, etc.,

— list of interoperability constituents, as referred to in Article 3, incorporated into the subsystem,

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

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

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5. MONITORING

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

during production of the subsystem.

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

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

5.4.

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

6.

SUBMISSION

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

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

7.

PUBLICATION

Each notified body must periodically publish relevant information concerning:

— requests for ‘EC’ verification received,

— certificates of conformity issued,

— certificates of conformity refused.

8.

LANGUAGE

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

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ANNEX VII

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

1.

2.

3.

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

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

The body must employ staff and possess the means required to perform adequately the technical and
administrative tasks linked with the checks; it should also have access to the equipment needed for exceptional
checks.

4.

The staff responsible for the checks must possess:

— proper technical and vocational training,

— a satisfactory knowledge of the requirements relating to the checks that they carry out and sufficient

practice in those checks,

— the ability to draw up the certificates, records and reports which constitute the formal record of the

inspections conducted.

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.

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.

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.

5.

6.

7.

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ANNEX VIII

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

1.

2.

3.

4.

5.

6.

7.

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.

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

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.

Any difficulties which emerge in relation with this Directive and which cannot be resolved by the JRB’s working
parties must be reported to the Commission without delay.

All the working papers necessary in order to monitor the JRB’s work must be placed at the disposal of the
Commission and the Committee referred to in Article 21.

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.

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.

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STATEMENT OF THE COUNCIL’S REASONS

I.

INTRODUCTION

The Commission sent the above proposal for a Directive (1) to the Council on 29 November 1999.
This proposal is based on Article 156 of the Treaty.

The European Parliament delivered its opinion on 17 May 2000 (2). The Economic and Social
Committee delivered its opinion on 24 May 2000 (3). The Committee of the Regions delivered its
Opinion on 14 June 2000 (4).

The Council adopted its Common Position pursuant to Article 251 of the Treaty on 10 November
2000.

II.

AIM OF THE PROPOSAL

This proposal for a Directive aims to promote the interoperability of Member States’ conventional
rail systems, facilitate international rail transport services within the European Union and with non-
member countries and contribute to the progressive creation of the internal market in railway
equipment.

III. ANALYSIS OF THE COMMON POSITION

The Common Position is the product of not only discussions in the Council but also dialogue
between European Parliament and Council bodies, in accordance with the joint declaration of the
three institutions of 4 May 1999 on practical arrangements for the new co-decision procedure
(Article 251 of the Treaty establishing the European Community) (5). As a result of this dialogue the
amendments made to the Commission’s proposal by Parliament and the Council are fairly similar.
The statement of reasons is, therefore, based on the European Parliament’s amendments, most of
which have been accepted by the Council (see Section IV). The statement then describes the other
amendments which the Council has made to the Commission’s proposal (Section V). It should also
be noted that in the main the Common Position follows the content of the Commission proposal.

IV.

EUROPEAN PARLIAMENT AMENDMENTS

1.

European Parliament amendments adopted by the Council

Most of the Parliament’s amendments have been adopted either fully or partially in the Council’s
Common Position, as indicated below:

— 1: recital 7, end of sentence,

— 44: recital 9. However, the Council has not kept the reference to secondary networks, as it

felt that they would not be jeopardised by the adoption of TSIs,

— Amendment 3 has been partly incorporated into the Common Position (recital 10). The
Council has included a reference to the European Parliament resolution of 10 March 1999
and highlighted the part of that resolution which it considers to be most closely linked to
interoperability,

(1) OJ C 89, 28.3.2000, p. 11.
(2) Opinion of the European Parliament of 17 May 2000 (not yet published in the Official Journal).
(3) OJ C 204, 18.7.2000, p. 13.
(4) OJ C 317, 6.11.2000, p. 22.
(5) OJ C 148, 28.5.1999, p. 1.

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— 36: recital 12,

— 5: recital 21,

— 6: recital 22,

— 47: recital 31,

— 48: Article 1,

— 41: Article 2(k),

— 10: Article 2(n),

— 11: Article 5(3)(f). However, the Council did not consider it necessary to include in the
Common Position the phrase ‘the technical and/or geographical’, which was in the
proposal,

— 42: Article 5(4) and (5),

— 13: Article 5(6),

— 49: Article 6(1),

— 14: Article 6(2),

— 15: Article 6(4),

— 16: Article 6(5),

— 17: Article 6(6). The Council has also added a sentence to the end of this paragraph which
allows the Committee referred to in Article 21 to assess alternative solutions at the request
of a Member State,

— 18: Article 6(7),

— 19: Article 6(8). The Council has also added a further recital 19 to the Common Position

to justify this new paragraph,

— 50: Article 6(9),

— 51, 20, 35 and 37 re Article 7 of the proposal: The Council has acted on a large number
of Parliament’s requests but has also introduced other amendments into its Common
Position. In particular, for the sake of clarity, the Council has split the text proposed by
Parliament into two Articles: hence, the first paragraph has become Article 7 of the
Common Position and the second and third paragraphs added by Parliament have become
the first and second paragraphs of the new Article 24 of the Common Position. The text
produced as a result of these amendments is described below:

— Article 7(1)(a), (b), (c), (d) and (e) have been amended in line with Parliament’s

amendments,

— Article 7(1)(f) in the Common Position follows the spirit of Parliament’s amendment.
However, the Council has changed the wording proposed by the Parliament; the
amendment limits the scope of this derogation to situations deemed to be justified
(in particular Russian wagons operating in Finland),

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— Article 7, second paragraph, which defines the (notice or authorisation) procedure
for the various derogations authorised has been revised by the Council. Thus, under
the Common Position the cases referred to under (a) and (c) would be subject to the
notice procedure; the cases referred to under (d) and (f) would come under the
authorisation procedure; finally, the derogations provided for under (b) would also
be subject to authorisation, except for the gauge or the space between the tracks,

— the wording of Article 24(1) of the Common Position is very similar to that proposed
by the European Parliament (re Article 7(2) of the proposal). However, the scopes of
these texts are different: Parliament’s text refers only to a register of derogations
provided for under Article 7, whereas the Council’s text covers all infrastructures and
conventional trans-European rail system rolling stock,

— Article 24(2) of the Common Position coincides with the text proposed by Parliament

(re Article 7(3)),

— 21: Article 10(2),

— 52: Article 10(6),

— 53 and 23: Article 14,

— 24: Article 18(2). The Council has also amended the second sentence of this paragraph by
replacing ‘verification of the compatibility’ with ‘verification of the interfaces’. The reason
for this amendment is that verification of the compatibility of rail subsystems comes
under the competence of the Member States (see last sentence of Article 14(1), second
paragraph) and the notified bodies simply verify the interfaces of each subsystem,

— 45: Article 23(1),

— 27: Article 23(2). However, the Council thought it better to refer to the whole of Article 21

instead of to just the second paragraph,

— 29 and 54: Article 27(1). The Common Position incorporates Parliament’s amendment
but it extends the deadline for transposing the Directive to 24 months. In so doing, the
Council has taken account of Member States’ experience in transposing Directive 96/48/EC
concerning the interoperability of the trans-European high speed rail system and of the
fact that the scope of this Directive is much broader than that of the 1996 Directive, as it
covers trans-European rail networks in all the Member States. It should also be borne in
mind that both of these Directives require not only the application of TSIs but also
substantial changes to the institutions and procedures governing rail markets in the
Member States,

— 55: Article 25,

— 46: Article 28. However, the Common Position does not contain the addition requested
by Parliament on inclusion in the report of non-priority aspects of interoperability
(referred to in Article 23(1)(b) of the Common Position), as the Council did not consider
this to be necessary. Furthermore, the Council has added a new recital 8 to the Common
Position to justify Article 28,

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— 43: (Annex I),

— Oral amendment re Annex II, point 1,

— 33: Annex II, point 2.4, second paragraph,

— 56: Annex III, point 2.6.1, first paragraph,

— 57: Annex III, point 2.6.3,

— 34: Annex VIII, point 5.

2. Amendments proposed by the European Parliament but not adopted by the Council

— 39:

(Article 18(3)). The Council considered that there was no need to require the
monitoring of the operation of installations and rolling stock to be entrusted to external
verification and certification bodies.

— 25: the Council has amended the Commission’s proposal for Article 21 in order to bring
it into line with the rules generally applicable to committee procedure (see Articles 21
and 22 of the Common Position).

— 28: (Article 23(3)(h)). The Common Position has taken up the first part of the amendment
relating to the reference to Article 25. It has not, however, taken up Parliament’s other
request, as the Council considered that a uniform standard for tracks and electricity supply
should be drawn up following the usual procedure and not be entrusted directly to the
Commission.

— 40: (Annex VII(1)). The Common Position has not included the addition requested by

Parliament for the same reason as given above with regard to Amendment 39.

V. OTHER AMENDMENTS MADE BY THE COUNCIL

The main amendments incorporated into the Common Position other than those based on the
Parliament’s amendments are the following:

— the addition of recitals 2 and 3, stressing the link between the development of railways and

environmental protection,

— the addition of references to the needs of people with reduced mobility in Annex II, points 2.1

and 2.6.