Directive 2001/16/EC of the European Parliament and of the Council of 19 March 2001 on the interoperability of the trans-European conventional rail system
Date: 2001-03-19
Institutions: Council of the European Union, European Parliament
Subjects: harmonisation of standards, rail transport, technical rule, trans-European network

20.4.2001

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Official Journal of the European Communities

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(Acts whose publication is obligatory)

DIRECTIVE 2001/16/EC OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL

of 19 March 2001

on the interoperability of the trans-European conventional rail system

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE
EUROPEAN UNION,

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

Having regard to the Commission proposal (1),

Having regard to the opinion of
Committee (2),

the Economic and Social

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)

the Union, economic
In order to enable citizens of
operators and regional and local authorities to benefit
from the advantages deriving from the
to the full
establishing of an area without internal frontiers,
it is
appropriate,
in particular, to improve the interlinking
and interoperability of the national rail networks as well
as access thereto, implementing any measures that may
prove necessary in the field of technical standardisation,
as provided for in Article 155 of the Treaty.

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

(1) OJ C 89 E, 28.3.2000, p. 1.
(2) OJ C 204, 18.7.2000, p. 13.
(3) OJ C 317, 6.11.2000, p. 22.
(4) Opinion of the European Parliament of 17 May 2000 (OJ C 59,
23.2.2001, p. 106), Council Common Position of 10 November
2000 (OJ C 23, 24.1.2001, p. 15) and Decision of the European
Parliament of 13 February 2001.

(3)

(4)

(5)

(6)

strategy
and

the
for
the
The Council
environment
into
sustainable
Community transport policy highlights the need to act
to reduce the environmental impact of transport.

integration of
development

interconnection

trains throughout

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

service

the

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).

rail

systems,

in 1996,

In its White Paper entitled (cid:145)A strategy for revitalising
the Community’s railways(cid:146)
the Commission
announced a second measure in the conventional rail
sector and then ordered a study on the integration of
results of which were
the
national
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,
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
information and
use
shown to be more
communication systems were
effective than measures,
for example, concerning the
infrastructure loading gauge.

interconnection of

and the

obstacles

tackling

rather

than

the

all

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

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(7)

(8)

(9)

(10)

(11)

(12)

differences

The Commission communication on (cid:145)Integration of
conventional rail systems(cid:146) recommends the adoption of
this Directive and justifies the similarities and main
differences compared with Directive 96/48/EC. The
lie
main
the
in the extension of the technical
geographical scope,
scope to take account of the results of the above study
and in the
approach to
eliminating obstacles to the interoperability of the rail
system, which includes
an order of
priorities and a timetable for drawing it up.

adoption of

establishing

a gradual

adaptation

the

of

in

that gradual approach and of

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

the adoption of all

the objective of

interoperability of

The adoption of a gradual approach satisfies the special
the
needs of
conventional rail system, which is characterised by old
national
requiring heavy
investment
for adaptation or renewal, and particular
care should be taken not to penalise rail economically
vis-(cid:224)-vis other modes of transport.

infrastructure

and stock

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

technical

effective

possible

of

rail

The Council meeting on 6 October 1999 asked the
Commission to propose a strategy on improving the
reducing
interoperability
bottlenecks with a view to eliminating technical,
administrative
the
economic
to
interoperability of networks without
delay while
guaranteeing a high level of safety as well as personnel
training and qualifications.

transport

obstacles

and

and

development of

interoperability of

to Member States’
the

Pursuant to Council Directive 91/440/EEC of 29 July
1991 on the
the Community’s
railways (1),
railway companies must have increased
rail networks, which in
access
turn requires
infrastructure,
equipment, rolling stock and systems of management
and operation,
including those staff qualifications and
hygiene and safety conditions at work required for the
operation and maintenance of
in
the
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.

subsystems

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

(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
industries and prescribe
are specific to the national
specific
special
and
devices
and
characteristics. This situation prevents trains from being
able
the
Community network.

run without hindrance

throughout

dimensions

to

(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,
an open,
competitive European market.

industries

require

these

(16)

(17)

(18)

(19)

(20)

is

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

the

and

extent

complexity of

In view of
the
trans-European conventional rail system, it has proved
necessary, for practical reasons, to break this down into
subsystems. For each of these subsystems the essential
technical
requirements must be
specifications
the
of
Community, particularly in respect of constituents and
interfaces, in order to meet these essential requirements.

specified and the
the whole

determined

for

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.

specifications

The technical
have an impact on the conditions of use of
transport by users, and it
consult these users on aspects concerning them.

interoperability also
rail
is therefore necessary to

for

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
the potential
economic viability of projects.

interoperability to take account of

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(21)

The drawing up of TSIs and their application to the
impede
rail
conventional
technological
innovation, which should be directed
towards improving economic performance.

system should

not

(22) Advantage should be taken of the interoperability of the
conventional rail system, particularly in the case of
freight,
for greater
interoperability between modes of transport.

to bring about

the conditions

(23)

appropriate provisions on
To comply with the
sector and in
in the rail
procurement procedures
particular Directive 93/38/EEC (1),
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.

the

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

trade and which meet

(25)

(26)

needed

The contracting entities are to define the further
requirements
European
to
specifications or other standards. These specifications
should meet the essential requirements that have been
harmonised at Community
and which the
trans-European conventional rail system must satisfy.

complete

level

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,
is appropriate to
draw up the procedures involving a system of quality
assurance.

it

(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

(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
the conformity assessment
modules for the various phases of
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).

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.

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.

subsystems
rail

trans-European
the
constituting
The
conventional
system should be subjected to a
verification procedure. This verification must enable the
authorities responsible for authorising their putting into
service to be certain that, at the design, construction
and putting into service stages, the result is in line with
the regulations and technical and operational provisions
in force.
to be
able to count upon equality of treatment whatever the
country. It is therefore necessary to lay down a module
defining the principles and conditions applying to (cid:145)EC(cid:146)
verification of subsystems.

It must also enable manufacturers

The (cid:145)EC(cid:146) 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.

the

joint body

are drawn up to the order of
representing

the
These TSIs
Commission by
the
infrastructure managers, the railway companies and the
industry. Representatives of non-member countries,
in
particular those of the applicant countries, may from
the outset be authorised to attend meetings of the joint
representative body as observers.

(28)

(29)

(30)

(31)

terms,

between

transport

accounting

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

(33)

The measures necessary for the implementation of this
Directive should be adopted in accordance with Council
Decision 99/468/EC of 28 June 1999 laying down the
procedures for the exercise of
implementing powers
conferred on the Commission (3).

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

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(34)

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

HAVE ADOPTED THIS DIRECTIVE:

CHAPTER ONE

General provisions

Article 1

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

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

(a)

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

of

installations,

fixed
transport
the
network, built or upgraded for conventional rail transport
and combined rail
rolling stock
transport, plus
designed to travel on that infrastructure;

trans-European

the

(b)

(c)

(d)

(e)

rail

system to

(cid:145)interoperability(cid:146) means the ability of the trans-European
conventional
and
uninterrupted movement of trains which accomplish the
required levels of performance for these lines. This ability
technical and operational
rests on all
conditions which must be met
in order to satisfy the
essential requirements;

the regulatory,

allow the

safe

the result of

the
(cid:145)subsystems(cid:146) means
shown in
trans-European conventional
Annex
essential
requirements must be laid down, are structural and
functional;

system, as
for which

rail
subsystems,

the division of

These

II.

group of

constituents(cid:146) means
components,

elementary
any
(cid:145)interoperability
component,
subassembly or
complete assembly of equipment incorporated or intended
to be incorporated into a subsystem upon which the
interoperability of
rail
system depends directly or indirectly. The concept of a
(cid:145)constituent(cid:146) covers both tangible objects and intangible
objects such as software;

the trans-European conventional

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

and

rail

the

(f)

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

a

(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;

(g)

for

specifications

interoperability(cid:146), hereinafter
(cid:145)technical
referred to as (cid:145)TSIs(cid:146), means the specifications by which
each subsystem or part subsystem is covered in order to
the
meet
the
interoperability of
rail
system;

ensure
the trans-European conventional

requirements

essential

and

(c) contribute to the interoperability of

the trans-European

conventional rail system.

Article 2

For the purposes of this Directive:

(a)

(cid:145)trans-European conventional
the
structure, as described in Annex I, composed of lines and

system(cid:146) means

rail

(h)

representatives of

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

(i)

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

(j)

(k)

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(cid:145)basic parameters(cid:146) 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;

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

or

urban

(cid:145)specific case(cid:146) means any part of
the trans-European
conventional rail system which needs special provisions
in the TSIs, either temporary or definitive, because of
environment
topographical
geographical,
constraints or
those affecting compatibility with the
existing system. This may include in particular railway
lines
the
Community, the loading gauge, the track gauge or space
between the tracks and rolling stock strictly intended for
local, regional or historical use, as well as rolling stock
originating from or destined for third countries, as long as
this stock does not cross the border between two Member
States;

isolated from the

and networks

rest of

(l)

(cid:145)upgrading(cid:146) means any major modification work on a
subsystem or part
fresh
authorisation for putting into service within the meaning
of Article 14(1);

subsystem which requires

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

any major

substitution work on a
subsystem or part
fresh
authorisation for putting into service within the meaning
of Article 14(1);

subsystem which requires

(n) (cid:145)existing rail system(cid:146) 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.

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);

Article 3

(b)

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

requirements

each subsystem

for

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

as well

the

(c) establish the functional and technical specifications to be
met by the subsystem and its interfaces vis-(cid:224)-vis other
these specifications may vary
subsystems.
according to the use of
for example
according to the categories of
line, hub and/or rolling
stock provided for in Annex I;

the subsystem,

If need be,

to any other

The provisions of

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

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

interoperability within

the

Article 4

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

(e) state, in each case under consideration, the procedures for
the assessment of conformity or suitability of use. This
includes in particular the modules defined in Decision
93/465/EEC or, where appropriate, the specific procedures,
to be used to assess either the conformity or the suitability
for use of interoperability constituents and (cid:145)EC(cid:146) verification
of subsystems;

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(f)

(g)

the
it

implementing the TSIs.

indicate
particular,
completed in order to make a gradual
the existing situation to the final
compliance with the TSIs shall be the norm;

strategy for
In
is necessary to specify the stages to be
transition from
situation in which

for

the

staff

indicate,
professional
qualifications and health and safety conditions at work
required for the operation and maintenance of the above
subsystem, as well as for the implementation of the TSIs.

concerned,

the

Each TSI

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

The TSIs shall retain,

in an appropriate manner,

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

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

Article 6

Draft TSIs shall be drawn up by the joint representative
1.
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
the
published by the Commission in the Official
European Communities.

Journal of

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.
the joint representative body
must be associated with the work of the other body.

In the latter case,

The joint representative body or, where appropriate, the
3.
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
if
necessary, specific cases shall be cited.

in Article 21(2);

representative body shall

The joint representative body shall then draw up the draft TSI
on the basis of these basic parameters. Where appropriate, the
joint
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.

The Committee referred to in Article 21 shall be kept
6.
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,

that TSI

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

joint

end the

To that
representative body or, where
appropriate, the authorised body shall consult associations and
representing users during the drafting and review
bodies
phases of the TSIs.

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

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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
Commission.

the request of a Member State or

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).

(e) where,

following an accident or a natural disaster,

the
conditions for the rapid restoration of the network do not
economically or
total
application of the relevant TSIs;

technically allow for partial or

(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.

To this end, the social partners shall be consulted before the
draft TSI
to the
Committee referred to in Article 21.

for adoption or

submitted,

review,

is

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

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
it does wish to apply. The Committee
specifications that
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
applied.
Nevertheless, in the case of (b) the Commission’s decision shall
not cover the loading gauge and the track gauge.

specifications

to be

Article 7

CHAPTER III

Interoperability constituents

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

Article 8

(a)

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

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

(c)

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

the rest of

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

(a) are

on

placed

the market

enable
interoperability to be achieved within the trans-European
conventional rail system while at the same time meeting
the essential requirements;

only

they

if

(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

(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;

(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).

restrict or hinder

in their territory and on grounds
Member States may not,
concerning this Directive, prohibit,
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 (cid:145)EC(cid:146) declaration of conformity or suitability for
use, the components of which are set out in Annex IV.

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Article 10

Article 12

1. Member States shall consider as complying with the
essential requirements of this Directive applying to them those
interoperability constituents which bear the (cid:145)EC(cid:146) declaration of
conformity or suitability for use.

Compliance of an interoperability constituent with the
2.
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.

The

references

to European specifications

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

1. Where a Member State finds that an interoperability
constituent covered by the (cid:145)EC(cid:146) declaration of conformity or
suitability for use and placed on the market is 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.

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

5.
As regards the period prior to the publication of a TSI, in
the absence of any European specifications and without
prejudice to Article 20(5), Member States shall notify to the
other Member States and the Commission a list of
the
to
in use in order
standards and technical
implement the essential requirements. This notification shall be
made not later than 20 March 2002.

specifications

The Commission shall consult the parties concerned as
2.
quickly as possible. Where,
following that consultation, the
Commission establishes that the measure is justified it shall
forthwith inform the Member 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
established within the Community thereof.
representative
Where the decision referred to in paragraph 1 is justified by
the
the
existence of a gap in European specifications,
procedure defined in Article 11 shall apply.

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

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

appropriate measures

State

shall

Article 11

The Commission shall ensure that the Member States are

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

do

not meet

specifications

Where it appears to a Member State or the Commission that
European
essential
requirements, partial or total withdrawal of these specifications
from the publications containing them, or their amendment,
may be decided upon in accordance with the procedure laid
down in Article 21(2) after consultation, where European
standards are involved, of
the Committee set up under
Directive 98/34/EC (1).

the

Article 13

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

(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).

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

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

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.

the manufacturer nor his authorised
4. Where neither
the
representative established in the Community has met
obligations arising out of paragraphs 1, 2 and 3,
those
obligations shall be incumbent on any person who places
interoperability
same
assembles
obligations
interoperability
interoperability
or manufactures
constituents
interoperability constituents for his own use, for the purposes
of this Directive.

to
constituents or parts of

constituents on the market. The

whomsoever

diverse

origins

having

apply

shall

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.

5. Without prejudice to the provisions of Article 12:

Article 15

(a)

the manufacturer

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

his

or

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

(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.

Article 16

CHAPTER IV

Subsystems

Article 14

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

constituting

subsystems

rail

the

Verification of the interoperability,
requirements,
essential

in accordance with
2.
the
subsystem
constituting the trans-European conventional rail system shall
be established by reference to TSIs where they exist.

structural

of

a

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

constituting

subsystems

structural

those

As regards the period prior to the publication of TSIs,
3.
Member States shall send the other Member States and the
Commission, for each subsystem, a list of the technical rules in
use for implementing the essential requirements. This shall be
notified not later than 20 March 2002.

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,
these
subsystems with the system into which they are being
integrated.

they shall check the compatibility of

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.

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Article 18

1.
In order to establish the (cid:145)EC(cid:146) 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 (cid:145)EC(cid:146) verification procedure referred to in Annex VI.

the

2.
The task of the notified body responsible for the (cid:145)EC(cid:146)
verification of a subsystem shall begin at the design stage and
cover
entire manufacturing period through to the
acceptance stage before the subsystem is put into service. It
shall also cover verification of the interfaces of the subsystem
in question with the system into which it is incorporated,
based on the information available in the relevant TSI and in
the registers provided for in Article 24.

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

Article 19

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

The Member State making the request shall

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

CHAPTER V

Notified bodies

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

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

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

the opinion of

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

CHAPTER VI

Committee and work programme

Article 21

1.
The Commission shall be assisted by the Committee
established by Article 21 of Directive 96/48/EC (hereinafter
referred to as (cid:145)the Committee(cid:146)).

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

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

Article 20

3.

The Committee shall adopt its rules of procedure.

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
indicating each body’s area of
referred to in Article 18,
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.

Article 22

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

relating to the interoperability of

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Article 23

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

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):

(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;

(a)

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

II and III);

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

(g) approval of draft standardisation programmes;

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

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

including the adoption of

the

resources of

(b) the following aspects shall also be discussed in the light
joint
of
representative body:
telematic applications for passenger
services, maintenance, with particular regard to safety,
passenger
locomotives,
traction units
infrastructure, energy and air pollution.

the Commission and the

carriages,

and

CHAPTER VII

Registers of infrastructure and rolling stock

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

Article 24

representative body,

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

an additional

for

that

ensure

The Member States

1.
registers of
shall
infrastructure and of rolling stock are published and updated
indicate the main features of
annually. Those registers shall
each subsystem or part subsystem involved (e.g.
the basic
parameters) and their correlation with the features laid down
by the applicable TSIs. To that end, each TSI shall
indicate
precisely which information must be included in the registers
of infrastructure and of rolling stock.

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

The TSIs mentioned in the first work programme referred to in
paragraph 1(a) shall be drawn up not later than 20 April
2004.

The work programme shall consist of

3.
stages:

the following

(a) designation of the joint representative body;

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

CHAPTER VIII

Transitional provisions

Article 25

(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
the different
constituents of this system and their interfaces and act as a
reference framework for defining the areas of use of each
TSI;

in particular

include

and 16(3),

technical documents by

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

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the abovementioned reference
2.
Following adoption of
inform the Committee of their
system, Member States shall
intention to adopt
the
development of any project in their territory which diverges
from the reference system.

any national provision or of

CHAPTER IX

Final provisions

Article 26

the

checking of

conformity or

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

Article 28

the first

Every two years, and for
time 20 April 2005
the Commission shall report to the European Parliament and
achieving
the Council on the progress made
interoperability of the trans-European conventional rail system.
That report shall also include an analysis of the cases set out in
Article 7.

towards

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
publication in the Official Journal of the European Communities.

into force on the day of

its

Article 27

Article 30

1. Member States shall bring into force the laws, regulations
and administrative provisions needed to comply with this
Directive no later than 20 April 2003, with the exception of
the provisions specific to each TSI which shall be implemented
in accordance with the arrangements specific to each TSI. They
shall forthwith inform the Commission thereof.

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

This Directive is addressed to the Member States.

Done at Brussels, 19 March 2001.

For the European Parliament

The President

N. FONTAINE

For the Council

The President

A. LINDH

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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:

(cid:151) lines intended for passenger services;

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

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

(cid:151) passenger hubs;

(cid:151) freight hubs, including intermodal terminals;

(cid:151) lines connecting the abovementioned components.

This infrastructure includes traffic management,
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.

tracking, and navigation systems:

technical

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:

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

(cid:151) thermal or electric traction units;

(cid:151) passenger carriages;

(cid:151) freight wagons, including rolling stock designed to carry lorries.

Each of the above categories must be subdivided into:

(cid:151) rolling stock for international use;

(cid:151) 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:

(cid:151) infrastructure;

(cid:151) energy;

(cid:151) control and command and signalling;

(cid:151) traffic operation and management;

(cid:151) rolling stock; or

(b) operational areas:

(cid:151) maintenance;

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

2. DESCRIPTION OF THE SUBSYSTEMS

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

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

2.1.

Infrastructure:

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

2.2. Energy:

The electrification system, overhead lines and current collectors.

2.3. Control and command and signalling:

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

2.4. Traffic operation and management:

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

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

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2.5. Telematics applications:

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

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

(b) applications for freight services,

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.

including information systems (real-time monitoring of

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.

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.

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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. S a f e t y

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. S a f e t y

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. E n v i r o n m e n t a l p r o t e c t i o n

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

2.2.3. T e c h n i c a l c o m p a t i b i l i t y

The electricity/thermal energy supply systems used must:

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

(cid:151) in the case of electricity energy supply systems, be compatible with the collection devices fitted to the

trains.

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2.3.

Control and command and signalling

2.3.1. S a f e t y

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. T e c h n i c a l c o m p a t i b i l i t y

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. S a f e t y

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

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

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

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

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

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

Emergency exits must be provided and indicated.

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

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

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

2.4.2. R e l i a b i l i t y a n d a v a i l a b i l i t y

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.

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2.4.3. T e c h n i c a l c o m p a t i b i l i t y

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. H e a l t h a n d s a f e t y

The technical
subsystem and not constitute a danger to health and safety.

installations and the procedures used in the centres must ensure the safe operation of the

2.5.2. E n v i r o n m e n t a l p r o t e c t i o n

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

2.5.3. T e c h n i c a l c o m p a t i b i l i t y

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. S a f e t y

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. R e l i a b i l i t y a n d a v a i l a b i l i t y

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

2.6.3. T e c h n i c a l c o m p a t i b i l i t y

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.

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2.7.

Telematics applications for freight and passengers

2.7.1. T e c h n i c a l c o m p a t i b i l i t y

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:

(cid:151) that the databases, software and data communication protocols are developed in a manner allowing
excluding confidential

interchange between different

and operators,

applications

maximum data
commercial data;

(cid:151) easy access to the information for users.

2.7.2. R e l i a b i l i t y a n d a v a i l a b i l i t y

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

these databases,

software and data

2.7.3. H e a l t h

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

2.7.4. S a f e t y

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

involved in the interoperability of
The (cid:145)EC(cid:146) declaration applies
trans-European conventional rail system, as referred to in Article 3. These interoperability constituents may be:

to the interoperability constituents

the

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 (cid:145)EC(cid:146) declaration covers:

(cid:151) either the assessment by a notified body or bodies of

the intrinsic conformity of an interoperability

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

(cid:151) or the assessment/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 (cid:145)EC(cid:146) DECLARATION

The (cid:145)EC(cid:146) declaration of conformity or of suitability for use and the accompanying documents must be dated and
signed.

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

(cid:151) the Directive references;

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

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

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

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

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

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

(cid:151) 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 (cid:145)EC(cid:146) declaration of verification and the accompanying documents must be dated and signed.

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

(cid:151) the Directive references;

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

trade name and full address;
contracting entity);

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

(cid:151) name and address of the notified body which conducted the (cid:145)EC(cid:146) verification referred to in Article 18;

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

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

appropriate, any operating restrictions or conditions;

(cid:151) if temporary: duration of validity of the (cid:145)EC(cid:146) declaration;

(cid:151) identity of the signatory.

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ANNEX VI

VERIFICATION PROCEDURE FOR SUBSYSTEMS

1.

INTRODUCTION

(cid:145)EC(cid:146) verification is the procedure whereby a notified body checks and certifies, at the request of a contracting
entity or of its authorised representative established within the Community, that a subsystem:

(cid:151) complies with the Directive;

(cid:151) complies with the other regulations deriving from the Treaty, and may be put into operation.

2.

STAGES

The subsystem is checked at each of the following stages:

(cid:151) overall design;

(cid:151) construction of subsystem, including, in particular, civil-engineering activities, constituent assembly, overall

adjustment;

(cid:151) final testing of the subsystem.

3.

CERTIFICATE

The notified body responsible for (cid:145)EC(cid:146) 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
(cid:145)EC(cid:146) declaration of verification intended for the supervisory authority in the Member State in which the subsystem
is located and/or operates.

4.

TECHNICAL FILE

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

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

and inspection reports on concrete;

(cid:151) for the other subsystems: general and detailed drawings in line with execution, electrical and hydraulic
diagrams, control-circuit diagrams, description of data-processing and automatic systems, operating and
maintenance manuals, etc.;

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

(cid:151) copies of

the (cid:145)EC(cid:146) declarations of conformity or suitability for use with which the abovementioned
the Directive accompanied, where
constituents must be provided in accordance with Article 13 of
appropriate, by the corresponding calculation notes and a copy of the records of the tests and examinations
carried out by the notified bodies on the basis of the common technical specifications;

(cid:151) certificate from the notified body responsible for (cid:145)EC(cid:146) verification, accompanied by corresponding calculation
notes and countersigned by itself, stating that the project complies with this Directive and mentioning any
reservations recorded during performance of the activities and not withdrawn; the certificate should also be
accompanied by the inspection and audit reports drawn up by the same body in connection with its task, as
specified in sections 5.3 and 5.4.

5. MONITORING

5.1. The aim of (cid:145)EC(cid:146) monitoring is to ensure that the obligations deriving from the technical file have been met during

production of the subsystem.

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

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

5.4.

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

6.

SUBMISSION

The complete file referred to in paragraph 4 must be lodged with the contracting entity or its authorised agent
established within the Community in support of the certificate of conformity issued by the notified body
responsible for verification of the subsystem in working order. The file must be attached to the (cid:145)EC(cid:146) declaration of
verification which the contracting entity sends to the supervisory authority in the Member State concerned.

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

7.

PUBLICATION

Each notified body must periodically publish relevant information concerning:

(cid:151) requests for (cid:145)EC(cid:146) verification received;

(cid:151) certificates of conformity issued;

(cid:151) certificates of conformity refused.

8.

LANGUAGE

The files and correspondence relating to the (cid:145)EC(cid:146) 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. The body, its Director and the staff responsible for carrying out the checks may not become involved, either
directly or as authorised representatives, in the design, manufacture, construction, marketing or maintenance of the
interoperability constituents or subsystems or in their use. This does not exclude the possibility of an exchange of
technical information between the manufacturer or constructor and that body.

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

3. The body must employ staff and possess the means

required to perform adequately the technical and
administrative tasks linked with the checks; it should also have access to the equipment needed for exceptional
checks.

4. The staff responsible for the checks must possess:

(cid:151) proper technical and vocational training;

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

in those checks;

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

the

inspections conducted.

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

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

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

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

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

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ANNEX VIII

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

1.

2.

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 (cid:151) infrastructure managers, railway companies and industry (cid:151) 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.

the JRB lacks the expertise required in order to draft a particular TSI,

If
immediately.

it must

inform the Commission

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

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

parties must be reported to the Commission without delay.

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

Commission and the Committee referred to in Article 21.

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

to its knowledge in the course of its activities.

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